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The tasks evaluate a diverse range of challenges, including", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "continuous and discrete actions, dense and sparse rewards, proprioceptive and camera inputs, as well", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "score": 1.0, + "content": "as sensor fusion of multiple input modalities. Learning successfully using the same hyperparameters", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 709, + 470, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 470, + 722 + ], + "score": 1.0, + "content": "across all experiments, Dreamer establishes a strong baseline for real world robot learning.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 37.5 + } + ], + "index": 35.25 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 72, + 190, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 70, + 192, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 192, + 87 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 100, + 337, + 252 + ], + "lines": [ + { + "bbox": [ + 106, + 101, + 336, + 112 + ], + "spans": [ + { + "bbox": [ + 106, + 101, + 336, + 112 + ], + "score": 1.0, + "content": "Teaching robots to solve complex tasks in the real world", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 112, + 337, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 112, + 337, + 124 + ], + "score": 1.0, + "content": "is a foundational problem of robotics research. 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Recently, modern world models", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 182, + 336, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 336, + 194 + ], + "score": 1.0, + "content": "have shown great promise for data efficient learning in", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 194, + 338, + 206 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 338, + 206 + ], + "score": 1.0, + "content": "simulated domains and video games (Hafner et al., 2019;", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 205, + 338, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 205, + 338, + 218 + ], + "score": 1.0, + "content": "2020). Learning world models from past experience en-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 217, + 337, + 228 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 337, + 228 + ], + "score": 1.0, + "content": "ables robots to imagine the future outcomes of potential", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 229, + 337, + 240 + ], + "spans": [ + { + "bbox": [ + 106, + 229, + 337, + 240 + ], + "score": 1.0, + "content": "actions, reducing the amount of trial and error in the real", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 241, + 225, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 225, + 252 + ], + "score": 1.0, + "content": "environment needed to learn.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 262, + 336, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 260, + 338, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 338, + 275 + ], + "score": 1.0, + "content": "While learning accurate world models can be challenging,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 274, + 336, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 274, + 336, + 286 + ], + "score": 1.0, + "content": "they offer compelling properties for robot learning. By", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 286, + 338, + 297 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 338, + 297 + ], + "score": 1.0, + "content": "predicting future outcomes, world models allow for plan-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 297, + 338, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 338, + 308 + ], + "score": 1.0, + "content": "ning and behavior learning given only small amounts of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 308, + 338, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 338, + 320 + ], + "score": 1.0, + "content": "real world interaction (Gal et al., 2016; Ebert et al., 2018).", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 320, + 337, + 332 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 337, + 332 + ], + "score": 1.0, + "content": "Moreover, world models summarize general dynamics", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 333, + 337, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 337, + 344 + ], + "score": 1.0, + "content": "knowledge about the environment that, once learned, could", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 343, + 337, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 337, + 355 + ], + "score": 1.0, + "content": "be reused for a wide range of downstream tasks (Sekar", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 356, + 337, + 367 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 337, + 367 + ], + "score": 1.0, + "content": "et al., 2020). 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An actor", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 343, + 332, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 343, + 332, + 506, + 344 + ], + "score": 1.0, + "content": "critic algorithm optimizes a neural net-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 343, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 343, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "work policy from imagined rollouts in", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 343, + 354, + 506, + 366 + ], + "spans": [ + { + "bbox": [ + 343, + 354, + 506, + 366 + ], + "score": 1.0, + "content": "the latent space of the world model. We", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 343, + 366, + 507, + 377 + ], + "spans": [ + { + "bbox": [ + 343, + 366, + 507, + 377 + ], + "score": 1.0, + "content": "parallelize data collection and neural net-", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 343, + 376, + 405, + 390 + ], + "spans": [ + { + "bbox": [ + 343, + 376, + 405, + 390 + ], + "score": 1.0, + "content": "work learning.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 44 + } + ], + "index": 38.25 + }, + { + "type": "text", + "bbox": [ + 106, + 435, + 505, + 541 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 505, + 449 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 449 + ], + "score": 1.0, + "content": "Despite the promises of world models, learning accurate world models for the real world is a open", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 446, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 460 + ], + "score": 1.0, + "content": "challenge. In this paper, we leverage recent advances of the Dreamer world model for training a", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 460, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 505, + 471 + ], + "score": 1.0, + "content": "variety of robots in the most straight-forward and fundamental problem setting: online reinforcement", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 106, + 471, + 505, + 483 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 505, + 483 + ], + "score": 1.0, + "content": "learning in the real world, without simulators or demonstrations. As shown in Figure 2, Dreamer", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 483, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 506, + 495 + ], + "score": 1.0, + "content": "learns a world model from a replay buffer of past experience, learns behaviors from rollouts imagined", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 495, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 505, + 506 + ], + "score": 1.0, + "content": "in the latent space of the world model, and continuously interacts with the environment to explore", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 506, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 517 + ], + "score": 1.0, + "content": "and improve its behaviors. Our aim is to push the limits of robot learning directly in the real world", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 106, + 518, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 518, + 506, + 530 + ], + "score": 1.0, + "content": "and offer a robust platform to enable future work that develops the benefits of world models for robot", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 106, + 529, + 399, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 399, + 541 + ], + "score": 1.0, + "content": "learning. The key contributions of this paper are summarized as follows:", + "type": "text" + } + ], + "index": 59 + } + ], + "index": 55 + }, + { + "type": "text", + "bbox": [ + 106, + 553, + 506, + 717 + ], + "lines": [ + { + "bbox": [ + 106, + 554, + 504, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 504, + 566 + ], + "score": 1.0, + "content": "• Dreamer on Robots We apply Dreamer to 4 robots, demonstrating successful learning directly", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 115, + 564, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 115, + 564, + 506, + 578 + ], + "score": 1.0, + "content": "in the real world, without introducing new algorithms. 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Dreamer consists of two main neural network components,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "score": 1.0, + "content": "the world model and the policy. Left: The world model follows the structure of a deep Kalman", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 255, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 269 + ], + "score": 1.0, + "content": "filter that is trained on subsequences drawn from the replay buffer. The encoder fuses all sensory", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "score": 1.0, + "content": "modalities into discrete codes. The decoder reconstructs the inputs from the codes, providing a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 280, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 505, + 291 + ], + "score": 1.0, + "content": "rich learning signal and enabling human inspection of model predictions. A recurrent state-space", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 290, + 507, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 507, + 303 + ], + "score": 1.0, + "content": "model (RSSM) is trained to predict future codes given actions, without observing intermediate inputs.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 302, + 506, + 347 + ], + "lines": [ + { + "bbox": [ + 105, + 300, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 506, + 313 + ], + "score": 1.0, + "content": "Right: The world model enables massively parallel policy optimization from imagined rollouts", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 313, + 507, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 507, + 325 + ], + "score": 1.0, + "content": "in the compact latent space using a large batch size, without having to reconstruct sensory inputs.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "Dreamer trains a policy network and value network from the imagined rollouts and a learned", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 336, + 180, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 180, + 346 + ], + "score": 1.0, + "content": "reward function.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + }, + { + "type": "title", + "bbox": [ + 107, + 355, + 177, + 369 + ], + "lines": [ + { + "bbox": [ + 104, + 353, + 178, + 372 + ], + "spans": [ + { + "bbox": [ + 104, + 353, + 178, + 372 + ], + "score": 1.0, + "content": "2 Approach", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 377, + 505, + 471 + ], + "lines": [ + { + "bbox": [ + 105, + 376, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 506, + 391 + ], + "score": 1.0, + "content": "We leverage the Dreamer algorithm (Hafner et al., 2019; 2020) for online learning on physical robots,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "without the need for simulators. Figure 2 shows an overview of the approach. Dreamer learns a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "world model from a replay buffer of past experiences, uses an actor critic algorithm to learn behaviors", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "from trajectories predicted by the learned model, and deploys its behavior in the environment", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "to continuously grow the replay buffer. 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In our", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 448, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 505, + 460 + ], + "score": 1.0, + "content": "implementation, a learner thread continuously trains the world model and actor critic behavior, while", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 460, + 397, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 397, + 471 + ], + "score": 1.0, + "content": "an actor thread in parallel computes actions for environment interaction.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 505, + 557 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 488 + ], + "score": 1.0, + "content": "World Model Learning The world model is a deep neural network that learns to predict the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "environment dynamics, as shown in Figure 3 (left). 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In our experiments, the robot has to discover", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 664, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 506, + 679 + ], + "score": 1.0, + "content": "task rewards by interacting with the real world, which the reward network learns to predict. Using", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 678, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 689 + ], + "score": 1.0, + "content": "manually specified rewards as a function of the decoded sensory inputs is also possible. We optimize", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "all components of the world model jointly by stochastic backpropagation (Kingma and Welling, 2013;", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 700, + 196, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 196, + 712 + ], + "score": 1.0, + "content": "Rezende et al., 2014).", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 37.5 + } + ], + "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": "image", + "bbox": [ + 104, + 52, + 506, + 216 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 104, + 52, + 506, + 216 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 52, + 506, + 216 + ], + "spans": [ + { + "bbox": [ + 104, + 52, + 506, + 216 + ], + "score": 0.972, + "type": "image", + "image_path": "bbd9aa6b3f541685e1ecf9dd1c4451b92904b361a6547ee2e39414769cb64de4.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 104, + 52, + 506, + 106.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 104, + 106.66666666666666, + 506, + 161.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 104, + 161.33333333333331, + 506, + 215.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 222, + 506, + 302 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 222, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 506, + 236 + ], + "score": 1.0, + "content": "Figure 3: Neural Network Training We leverage the Dreamer algorithm (Hafner et al., 2019;", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 233, + 507, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 507, + 247 + ], + "score": 1.0, + "content": "2020) for fast robot learning in real world. Dreamer consists of two main neural network components,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "score": 1.0, + "content": "the world model and the policy. Left: The world model follows the structure of a deep Kalman", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 255, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 269 + ], + "score": 1.0, + "content": "filter that is trained on subsequences drawn from the replay buffer. The encoder fuses all sensory", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 280 + ], + "score": 1.0, + "content": "modalities into discrete codes. The decoder reconstructs the inputs from the codes, providing a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 280, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 505, + 291 + ], + "score": 1.0, + "content": "rich learning signal and enabling human inspection of model predictions. A recurrent state-space", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 290, + 507, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 507, + 303 + ], + "score": 1.0, + "content": "model (RSSM) is trained to predict future codes given actions, without observing intermediate inputs.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 302, + 506, + 347 + ], + "lines": [ + { + "bbox": [ + 105, + 300, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 506, + 313 + ], + "score": 1.0, + "content": "Right: The world model enables massively parallel policy optimization from imagined rollouts", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 313, + 507, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 507, + 325 + ], + "score": 1.0, + "content": "in the compact latent space using a large batch size, without having to reconstruct sensory inputs.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "Dreamer trains a policy network and value network from the imagined rollouts and a learned", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 336, + 180, + 346 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 180, + 346 + ], + "score": 1.0, + "content": "reward function.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 300, + 507, + 346 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 355, + 177, + 369 + ], + "lines": [ + { + "bbox": [ + 104, + 353, + 178, + 372 + ], + "spans": [ + { + "bbox": [ + 104, + 353, + 178, + 372 + ], + "score": 1.0, + "content": "2 Approach", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 377, + 505, + 471 + ], + "lines": [ + { + "bbox": [ + 105, + 376, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 506, + 391 + ], + "score": 1.0, + "content": "We leverage the Dreamer algorithm (Hafner et al., 2019; 2020) for online learning on physical robots,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "without the need for simulators. Figure 2 shows an overview of the approach. Dreamer learns a", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "world model from a replay buffer of past experiences, uses an actor critic algorithm to learn behaviors", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 505, + 425 + ], + "score": 1.0, + "content": "from trajectories predicted by the learned model, and deploys its behavior in the environment", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "to continuously grow the replay buffer. We decouple learning updates from data collection to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "score": 1.0, + "content": "meet latency requirements and to enable fast training without waiting for the environment. In our", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 448, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 106, + 448, + 505, + 460 + ], + "score": 1.0, + "content": "implementation, a learner thread continuously trains the world model and actor critic behavior, while", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 460, + 397, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 397, + 471 + ], + "score": 1.0, + "content": "an actor thread in parallel computes actions for environment interaction.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 376, + 506, + 471 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 505, + 557 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 488 + ], + "score": 1.0, + "content": "World Model Learning The world model is a deep neural network that learns to predict the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 500 + ], + "score": 1.0, + "content": "environment dynamics, as shown in Figure 3 (left). Because sensory inputs can be large images, we", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 499, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 505, + 511 + ], + "score": 1.0, + "content": "predict future representations rather than future inputs. This reduces accumulating errors and enables", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 510, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 506, + 523 + ], + "score": 1.0, + "content": "massively parallel training with a large batch size. Thus, the world model can be thought of as a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 522, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 106, + 522, + 505, + 534 + ], + "score": 1.0, + "content": "fast simulator of the environment that the robot learns autonomously, starting from a blank slate and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 534, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 545 + ], + "score": 1.0, + "content": "continuously improving its model as it explores the real world. The world model is based on the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 546, + 488, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 488, + 558 + ], + "score": 1.0, + "content": "Recurrent State-Space Model (RSSM; Hafner et al., 2018), which consists of four components:", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 474, + 506, + 558 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 561, + 482, + 592 + ], + "lines": [ + { + "bbox": [ + 201, + 561, + 482, + 592 + ], + "spans": [ + { + "bbox": [ + 201, + 561, + 482, + 592 + ], + "score": 0.74, + "content": "{ \\begin{array} { r l r l } & { \\operatorname { e n c } _ { \\theta } { \\big ( } s _ { t } \\ { \\big | } \\ s _ { t - 1 } , a _ { t - 1 } , x _ { t } { \\big ) } } & & { { \\mathrm { D e c o d e r ~ N e t w o r k : } } \\quad \\operatorname* { d e c } _ { \\theta } { \\big ( } s _ { t } { \\big ) } \\approx x _ { t } } \\\\ & { \\operatorname { d y n } _ { \\theta } { \\big ( } s _ { t } \\ { \\big | } \\ s _ { t - 1 } , a _ { t - 1 } { \\big ) } } & & { { \\mathrm { R e w a r d ~ N e t w o r k : } } \\quad \\operatorname { r e w } _ { \\theta } { \\big ( } s _ { t + 1 } { \\big ) } \\approx r _ { t } } \\end{array} }", + "type": "interline_equation", + "image_path": "bd74dd0968c35c4dc8ffeba6cc51d9f109521ca66008a561e30a7fcccfe148a6.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 201, + 561, + 482, + 571.3333333333334 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 201, + 571.3333333333334, + 482, + 581.6666666666667 + ], + "spans": [], + "index": 31 + }, + { + "bbox": [ + 201, + 581.6666666666667, + 482, + 592.0000000000001 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 595, + 506, + 712 + ], + "lines": [ + { + "bbox": [ + 105, + 595, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 608 + ], + "score": 1.0, + "content": "Physical robots are often equipped with multiple sensors of different modalities, such as proprioceptive", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 606, + 507, + 620 + ], + "spans": [ + { + "bbox": [ + 104, + 606, + 507, + 620 + ], + "score": 1.0, + "content": "joint readings, force sensors, and high-dimensional inputs such as RGB and depth camera images.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 618, + 505, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 289, + 631 + ], + "score": 1.0, + "content": "The encoder network fuses all sensory inputs", + "type": "text" + }, + { + "bbox": [ + 289, + 621, + 299, + 630 + ], + "score": 0.84, + "content": "x _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 618, + 473, + 631 + ], + "score": 1.0, + "content": "together into the stochastic representations", + "type": "text" + }, + { + "bbox": [ + 473, + 621, + 482, + 630 + ], + "score": 0.84, + "content": "z _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 618, + 505, + 631 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 630, + 505, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 505, + 643 + ], + "score": 1.0, + "content": "dynamics model learns to predict the sequence of stochastic representations by using its recurrent state", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 642, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 106, + 642, + 117, + 653 + ], + "score": 0.86, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 642, + 505, + 655 + ], + "score": 1.0, + "content": ". The decoder reconstructs the sensory inputs to provide a rich signal for learning representations", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 654, + 506, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 506, + 666 + ], + "score": 1.0, + "content": "and enables human inspection of model predictions. In our experiments, the robot has to discover", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 664, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 506, + 679 + ], + "score": 1.0, + "content": "task rewards by interacting with the real world, which the reward network learns to predict. Using", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 678, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 689 + ], + "score": 1.0, + "content": "manually specified rewards as a function of the decoded sensory inputs is also possible. We optimize", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "all components of the world model jointly by stochastic backpropagation (Kingma and Welling, 2013;", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 700, + 196, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 196, + 712 + ], + "score": 1.0, + "content": "Rezende et al., 2014).", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 37.5, + "bbox_fs": [ + 104, + 595, + 507, + 712 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 143 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Actor Critic Learning While the world model represents task-agnostic knowledge about the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "dynamics, the actor critic algorithm learns a behavior that is specific to the task at hand. As shown in", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 96, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 96, + 505, + 108 + ], + "score": 1.0, + "content": "Figure 3 (right), we learn behaviors from rollouts that are predicted in the latent space of the world", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 107, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 107, + 506, + 120 + ], + "score": 1.0, + "content": "model, without decoding observations. This enables massively parallel behavior learning with typical", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 118, + 505, + 132 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 470, + 132 + ], + "score": 1.0, + "content": "batch sizes of 16K on a single GPU. The actor critic algorithm consists of an actor network", + "type": "text" + }, + { + "bbox": [ + 470, + 119, + 505, + 131 + ], + "score": 0.93, + "content": "\\pi ( a _ { t } | s _ { t } )", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 129, + 215, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 188, + 145 + ], + "score": 1.0, + "content": "and a critic network", + "type": "text" + }, + { + "bbox": [ + 189, + 131, + 210, + 143 + ], + "score": 0.93, + "content": "v ( s _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 129, + 215, + 145 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 149, + 505, + 220 + ], + "lines": [ + { + "bbox": [ + 106, + 150, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 408, + 162 + ], + "score": 1.0, + "content": "The role of the actor network is to learn a distribution over successful actions", + "type": "text" + }, + { + "bbox": [ + 409, + 152, + 419, + 161 + ], + "score": 0.85, + "content": "a _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 150, + 505, + 162 + ], + "score": 1.0, + "content": "for each latent model", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 162, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 127, + 174 + ], + "score": 1.0, + "content": "state", + "type": "text" + }, + { + "bbox": [ + 127, + 163, + 136, + 173 + ], + "score": 0.86, + "content": "s _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 162, + 505, + 174 + ], + "score": 1.0, + "content": "that maximizes the sum of future predicted task rewards. The critic network learns to predict", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 174, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 106, + 174, + 505, + 186 + ], + "score": 1.0, + "content": "the sum of future task rewards through temporal difference learning (Sutton and Barto, 2018). This", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 437, + 198 + ], + "score": 1.0, + "content": "allows the algorithm to take into account rewards beyond the planning horizon of", + "type": "text" + }, + { + "bbox": [ + 437, + 185, + 471, + 195 + ], + "score": 0.9, + "content": "H = 1 6", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 185, + 505, + 198 + ], + "score": 1.0, + "content": "steps to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 196, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 506, + 210 + ], + "score": 1.0, + "content": "learn long-term strategies. Given a predicted trajectory of model states, the critic is trained to regress", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 208, + 457, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 268, + 221 + ], + "score": 1.0, + "content": "the return of the trajectory. We compute", + "type": "text" + }, + { + "bbox": [ + 268, + 209, + 275, + 218 + ], + "score": 0.82, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 208, + 457, + 221 + ], + "score": 1.0, + "content": "-returns following Hafner et al. (2020; 2019):", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5 + }, + { + "type": "interline_equation", + "bbox": [ + 187, + 223, + 423, + 245 + ], + "lines": [ + { + "bbox": [ + 187, + 223, + 423, + 245 + ], + "spans": [ + { + "bbox": [ + 187, + 223, + 423, + 245 + ], + "score": 0.93, + "content": "V _ { t } ^ { \\lambda } \\doteq r _ { t } + \\gamma \\Big ( ( 1 - \\lambda ) v ( s _ { t + 1 } ) + \\lambda V _ { t + 1 } ^ { \\lambda } \\Big ) , \\quad V _ { H } ^ { \\lambda } \\doteq v ( s _ { H } ) .", + "type": "interline_equation", + "image_path": "bced559cf73caae8b60315e212417c82fda960dadfbf4c1dc28fc8ea7be19aee.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 187, + 223, + 423, + 245 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 249, + 505, + 343 + ], + "lines": [ + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 300, + 262 + ], + "score": 1.0, + "content": "While the critic network is trained to regress the", + "type": "text" + }, + { + "bbox": [ + 300, + 250, + 307, + 259 + ], + "score": 0.83, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 249, + 505, + 262 + ], + "score": 1.0, + "content": "-returns, the actor network is trained to maximize", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "them. Different gradient estimators are available for computing the policy gradient for optimizing", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 272, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 506, + 286 + ], + "score": 1.0, + "content": "the actor, such as Reinforce (Williams, 1992) and the reparameterization trick (Kingma and Welling,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "2013; Rezende et al., 2014) that directly backpropagates return gradients through the differentiable", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 296, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 296, + 505, + 309 + ], + "score": 1.0, + "content": "dynamics network (Henaff et al., 2019). Following Hafner et al. (2020), we choose reparameterization", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "gradients for continuous control tasks and Reinforce gradients for tasks with discrete actions. In", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 319, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 506, + 333 + ], + "score": 1.0, + "content": "addition to maximizing returns, the actor is also incentivized to maintain high entropy to prevent", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 330, + 492, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 492, + 345 + ], + "score": 1.0, + "content": "collapse to a deterministic policy and maintain some amount of exploration throughout training:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 16.5 + }, + { + "type": "interline_equation", + "bbox": [ + 166, + 349, + 444, + 366 + ], + "lines": [ + { + "bbox": [ + 166, + 349, + 444, + 366 + ], + "spans": [ + { + "bbox": [ + 166, + 349, + 444, + 366 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\mathcal { L } ( \\pi ) \\doteq - \\operatorname { E } \\bigl [ \\sum _ { t = 1 } ^ { H } \\ln \\pi ( a _ { t } \\mid s _ { t } ) \\mathrm { s g } ( V _ { t } ^ { \\lambda } - v ( s _ { t } ) ) + \\eta \\mathrm { H } \\bigl [ \\pi ( a _ { t } \\mid s _ { t } ) \\bigr ] \\bigr ] } \\end{array}", + "type": "interline_equation", + "image_path": "29586778ea39548465206a088f601c3e740302c103692a574d7a70d8188b3983.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 166, + 349, + 444, + 366 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 369, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "We optimize the actor and critic using the Adam optimizer (Kingma and Ba, 2014). To compute the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 107, + 380, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 107, + 382, + 113, + 391 + ], + "score": 0.74, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 380, + 505, + 394 + ], + "score": 1.0, + "content": "-returns, we use a slowly updated copy of the critic network as common in the literature (Mnih", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 393, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 405 + ], + "score": 1.0, + "content": "et al., 2015; Lillicrap et al., 2015). The actor and critic gradients do not affect the world model, as", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "score": 1.0, + "content": "this would lead to incorrect and overly optimistic model predictions. The hyperparameters are listed", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 171, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 171, + 428 + ], + "score": 1.0, + "content": "in Appendix D.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24 + }, + { + "type": "title", + "bbox": [ + 107, + 447, + 191, + 461 + ], + "lines": [ + { + "bbox": [ + 103, + 445, + 193, + 465 + ], + "spans": [ + { + "bbox": [ + 103, + 445, + 193, + 465 + ], + "score": 1.0, + "content": "3 Experiments", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 473, + 506, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "We evaluate Dreamer on 4 robots, each with a different task, and compare its performance to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "appropriate algorithmic and human baselines. The experiments are representative of common robotic", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 495, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 506, + 511 + ], + "score": 1.0, + "content": "tasks, such as locomotion, manipulation, and navigation. The tasks pose a diverse range of challenges,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 508, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 522 + ], + "score": 1.0, + "content": "including continuous and discrete actions, dense and sparse rewards, proprioceptive and image", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 519, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 533 + ], + "score": 1.0, + "content": "observations, and sensor fusion. The goal of the experiments is to evaluate whether the recent", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 533, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 506, + 544 + ], + "score": 1.0, + "content": "successes of learned world models enables sample-efficient robot learning directly in the real world.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 544, + 365, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 365, + 557 + ], + "score": 1.0, + "content": "Specifically, we aim to answer the following research questions:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 564, + 506, + 608 + ], + "lines": [ + { + "bbox": [ + 104, + 564, + 449, + 577 + ], + "spans": [ + { + "bbox": [ + 104, + 564, + 449, + 577 + ], + "score": 1.0, + "content": "• Does Dreamer enable robot learning directly in the real world, without simulators?", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 579, + 493, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 493, + 593 + ], + "score": 1.0, + "content": "• Does Dreamer succeed across various robot platforms, sensory modalities, and action spaces?", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "score": 1.0, + "content": "• How does the data-efficiency of Dreamer compare to previous reinforcement learning algorithms?", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 106, + 617, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "Implementation We build on the official implementation of DreamerV2 (Hafner et al., 2020). We", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "develop an asynchronous actor and learner setup, which is essential in environments with high control", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 641, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 641, + 505, + 653 + ], + "score": 1.0, + "content": "rates, such as the quadruped, and also accelerates learning for slower environments, such as the robot", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 651, + 506, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 506, + 666 + ], + "score": 1.0, + "content": "arms. The actor thread computes online actions for the robot and sends trajectories of 128 time steps", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 664, + 506, + 676 + ], + "spans": [ + { + "bbox": [ + 106, + 664, + 506, + 676 + ], + "score": 1.0, + "content": "to the replay buffer. The learner thread samples data from the replay buffer, updates the world model,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "and optimizes the policy using imagination rollouts. Policy weights are synced from the learner to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "the actor every 20 seconds. We use an RSSM with 256 units to speed up the training computation.", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 698, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 713 + ], + "score": 1.0, + "content": "We use identical hyperparameters across all experiments, enabling off-the-shelf training on different", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 710, + 189, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 189, + 722 + ], + "score": 1.0, + "content": "robot embodiments.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 42 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 310, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 310, + 752 + ], + "score": 1.0, + "content": "4", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 143 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Actor Critic Learning While the world model represents task-agnostic knowledge about the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 96 + ], + "score": 1.0, + "content": "dynamics, the actor critic algorithm learns a behavior that is specific to the task at hand. As shown in", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 96, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 96, + 505, + 108 + ], + "score": 1.0, + "content": "Figure 3 (right), we learn behaviors from rollouts that are predicted in the latent space of the world", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 107, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 107, + 506, + 120 + ], + "score": 1.0, + "content": "model, without decoding observations. This enables massively parallel behavior learning with typical", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 118, + 505, + 132 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 470, + 132 + ], + "score": 1.0, + "content": "batch sizes of 16K on a single GPU. The actor critic algorithm consists of an actor network", + "type": "text" + }, + { + "bbox": [ + 470, + 119, + 505, + 131 + ], + "score": 0.93, + "content": "\\pi ( a _ { t } | s _ { t } )", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 129, + 215, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 188, + 145 + ], + "score": 1.0, + "content": "and a critic network", + "type": "text" + }, + { + "bbox": [ + 189, + 131, + 210, + 143 + ], + "score": 0.93, + "content": "v ( s _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 129, + 215, + 145 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 73, + 506, + 145 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 149, + 505, + 220 + ], + "lines": [ + { + "bbox": [ + 106, + 150, + 505, + 162 + ], + "spans": [ + { + "bbox": [ + 106, + 150, + 408, + 162 + ], + "score": 1.0, + "content": "The role of the actor network is to learn a distribution over successful actions", + "type": "text" + }, + { + "bbox": [ + 409, + 152, + 419, + 161 + ], + "score": 0.85, + "content": "a _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 150, + 505, + 162 + ], + "score": 1.0, + "content": "for each latent model", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 162, + 505, + 174 + ], + "spans": [ + { + "bbox": [ + 106, + 162, + 127, + 174 + ], + "score": 1.0, + "content": "state", + "type": "text" + }, + { + "bbox": [ + 127, + 163, + 136, + 173 + ], + "score": 0.86, + "content": "s _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 162, + 505, + 174 + ], + "score": 1.0, + "content": "that maximizes the sum of future predicted task rewards. The critic network learns to predict", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 174, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 106, + 174, + 505, + 186 + ], + "score": 1.0, + "content": "the sum of future task rewards through temporal difference learning (Sutton and Barto, 2018). This", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 437, + 198 + ], + "score": 1.0, + "content": "allows the algorithm to take into account rewards beyond the planning horizon of", + "type": "text" + }, + { + "bbox": [ + 437, + 185, + 471, + 195 + ], + "score": 0.9, + "content": "H = 1 6", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 185, + 505, + 198 + ], + "score": 1.0, + "content": "steps to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 196, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 506, + 210 + ], + "score": 1.0, + "content": "learn long-term strategies. Given a predicted trajectory of model states, the critic is trained to regress", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 208, + 457, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 268, + 221 + ], + "score": 1.0, + "content": "the return of the trajectory. We compute", + "type": "text" + }, + { + "bbox": [ + 268, + 209, + 275, + 218 + ], + "score": 0.82, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 208, + 457, + 221 + ], + "score": 1.0, + "content": "-returns following Hafner et al. (2020; 2019):", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 150, + 506, + 221 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 187, + 223, + 423, + 245 + ], + "lines": [ + { + "bbox": [ + 187, + 223, + 423, + 245 + ], + "spans": [ + { + "bbox": [ + 187, + 223, + 423, + 245 + ], + "score": 0.93, + "content": "V _ { t } ^ { \\lambda } \\doteq r _ { t } + \\gamma \\Big ( ( 1 - \\lambda ) v ( s _ { t + 1 } ) + \\lambda V _ { t + 1 } ^ { \\lambda } \\Big ) , \\quad V _ { H } ^ { \\lambda } \\doteq v ( s _ { H } ) .", + "type": "interline_equation", + "image_path": "bced559cf73caae8b60315e212417c82fda960dadfbf4c1dc28fc8ea7be19aee.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 187, + 223, + 423, + 245 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 249, + 505, + 343 + ], + "lines": [ + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 300, + 262 + ], + "score": 1.0, + "content": "While the critic network is trained to regress the", + "type": "text" + }, + { + "bbox": [ + 300, + 250, + 307, + 259 + ], + "score": 0.83, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 249, + 505, + 262 + ], + "score": 1.0, + "content": "-returns, the actor network is trained to maximize", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "them. Different gradient estimators are available for computing the policy gradient for optimizing", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 272, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 506, + 286 + ], + "score": 1.0, + "content": "the actor, such as Reinforce (Williams, 1992) and the reparameterization trick (Kingma and Welling,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "2013; Rezende et al., 2014) that directly backpropagates return gradients through the differentiable", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 296, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 296, + 505, + 309 + ], + "score": 1.0, + "content": "dynamics network (Henaff et al., 2019). Following Hafner et al. (2020), we choose reparameterization", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 506, + 321 + ], + "score": 1.0, + "content": "gradients for continuous control tasks and Reinforce gradients for tasks with discrete actions. In", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 319, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 506, + 333 + ], + "score": 1.0, + "content": "addition to maximizing returns, the actor is also incentivized to maintain high entropy to prevent", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 330, + 492, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 492, + 345 + ], + "score": 1.0, + "content": "collapse to a deterministic policy and maintain some amount of exploration throughout training:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 249, + 506, + 345 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 166, + 349, + 444, + 366 + ], + "lines": [ + { + "bbox": [ + 166, + 349, + 444, + 366 + ], + "spans": [ + { + "bbox": [ + 166, + 349, + 444, + 366 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\mathcal { L } ( \\pi ) \\doteq - \\operatorname { E } \\bigl [ \\sum _ { t = 1 } ^ { H } \\ln \\pi ( a _ { t } \\mid s _ { t } ) \\mathrm { s g } ( V _ { t } ^ { \\lambda } - v ( s _ { t } ) ) + \\eta \\mathrm { H } \\bigl [ \\pi ( a _ { t } \\mid s _ { t } ) \\bigr ] \\bigr ] } \\end{array}", + "type": "interline_equation", + "image_path": "29586778ea39548465206a088f601c3e740302c103692a574d7a70d8188b3983.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 166, + 349, + 444, + 366 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 369, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 505, + 381 + ], + "score": 1.0, + "content": "We optimize the actor and critic using the Adam optimizer (Kingma and Ba, 2014). To compute the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 107, + 380, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 107, + 382, + 113, + 391 + ], + "score": 0.74, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 380, + 505, + 394 + ], + "score": 1.0, + "content": "-returns, we use a slowly updated copy of the critic network as common in the literature (Mnih", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 393, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 505, + 405 + ], + "score": 1.0, + "content": "et al., 2015; Lillicrap et al., 2015). The actor and critic gradients do not affect the world model, as", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 416 + ], + "score": 1.0, + "content": "this would lead to incorrect and overly optimistic model predictions. The hyperparameters are listed", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 416, + 171, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 171, + 428 + ], + "score": 1.0, + "content": "in Appendix D.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 369, + 505, + 428 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 447, + 191, + 461 + ], + "lines": [ + { + "bbox": [ + 103, + 445, + 193, + 465 + ], + "spans": [ + { + "bbox": [ + 103, + 445, + 193, + 465 + ], + "score": 1.0, + "content": "3 Experiments", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 473, + 506, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "We evaluate Dreamer on 4 robots, each with a different task, and compare its performance to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 498 + ], + "score": 1.0, + "content": "appropriate algorithmic and human baselines. The experiments are representative of common robotic", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 495, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 506, + 511 + ], + "score": 1.0, + "content": "tasks, such as locomotion, manipulation, and navigation. The tasks pose a diverse range of challenges,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 508, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 505, + 522 + ], + "score": 1.0, + "content": "including continuous and discrete actions, dense and sparse rewards, proprioceptive and image", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 519, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 533 + ], + "score": 1.0, + "content": "observations, and sensor fusion. The goal of the experiments is to evaluate whether the recent", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 533, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 533, + 506, + 544 + ], + "score": 1.0, + "content": "successes of learned world models enables sample-efficient robot learning directly in the real world.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 544, + 365, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 544, + 365, + 557 + ], + "score": 1.0, + "content": "Specifically, we aim to answer the following research questions:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 473, + 506, + 557 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 564, + 506, + 608 + ], + "lines": [ + { + "bbox": [ + 104, + 564, + 449, + 577 + ], + "spans": [ + { + "bbox": [ + 104, + 564, + 449, + 577 + ], + "score": 1.0, + "content": "• Does Dreamer enable robot learning directly in the real world, without simulators?", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 579, + 493, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 493, + 593 + ], + "score": 1.0, + "content": "• Does Dreamer succeed across various robot platforms, sensory modalities, and action spaces?", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "score": 1.0, + "content": "• How does the data-efficiency of Dreamer compare to previous reinforcement learning algorithms?", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36, + "bbox_fs": [ + 104, + 564, + 506, + 609 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 617, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 617, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 630 + ], + "score": 1.0, + "content": "Implementation We build on the official implementation of DreamerV2 (Hafner et al., 2020). We", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "develop an asynchronous actor and learner setup, which is essential in environments with high control", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 641, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 641, + 505, + 653 + ], + "score": 1.0, + "content": "rates, such as the quadruped, and also accelerates learning for slower environments, such as the robot", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 651, + 506, + 666 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 506, + 666 + ], + "score": 1.0, + "content": "arms. The actor thread computes online actions for the robot and sends trajectories of 128 time steps", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 664, + 506, + 676 + ], + "spans": [ + { + "bbox": [ + 106, + 664, + 506, + 676 + ], + "score": 1.0, + "content": "to the replay buffer. The learner thread samples data from the replay buffer, updates the world model,", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "and optimizes the policy using imagination rollouts. Policy weights are synced from the learner to", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "the actor every 20 seconds. We use an RSSM with 256 units to speed up the training computation.", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 698, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 713 + ], + "score": 1.0, + "content": "We use identical hyperparameters across all experiments, enabling off-the-shelf training on different", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 710, + 189, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 189, + 722 + ], + "score": 1.0, + "content": "robot embodiments.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 617, + 506, + 722 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 57, + 501, + 143 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 57, + 501, + 143 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 57, + 501, + 143 + ], + "spans": [ + { + "bbox": [ + 106, + 57, + 501, + 143 + ], + "score": 0.964, + "type": "image", + "image_path": "159d86a4fe017221206965fa98efc6ce35e16bebec7536f231b04a5fa470830b.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 57, + 501, + 85.66666666666667 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 85.66666666666667, + 501, + 114.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 114.33333333333334, + 501, + 143.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 156, + 505, + 258 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 157, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 106, + 157, + 506, + 169 + ], + "score": 1.0, + "content": "Figure 4: A1 Quadruped Walking Starting from lying on its back with the feet in the air, Dreamer", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 168, + 506, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 168, + 506, + 180 + ], + "score": 1.0, + "content": "learns to roll over, stand up, and walk in 1 hour of real world training time, without simulators or", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 180, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 505, + 191 + ], + "score": 1.0, + "content": "resets. In contrast, SAC only learns to roll over but neither to stand up nor to walk. For SAC, we also", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 189, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 104, + 189, + 506, + 204 + ], + "score": 1.0, + "content": "had to help the robot out of a dead-locked leg configuration during training. On the right we show", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 202, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 106, + 202, + 505, + 214 + ], + "score": 1.0, + "content": "training curves for both SAC and Dreamer. The maximum reward is 14. The filled circles indicate", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "score": 1.0, + "content": "times where the robot fell on its back, requiring the learning of a robust strategy for getting back", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 224, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 506, + 237 + ], + "score": 1.0, + "content": "up. After 1 hour of training, we start pushing the robot and find that it adapts its behavior within 10", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 236, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 248 + ], + "score": 1.0, + "content": "minutes to withstand light pushes and quickly roll back on its feet for hard pushes. The graph shows", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 247, + 494, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 494, + 259 + ], + "score": 1.0, + "content": "a single training run with the shaded area indicating one standard deviation within each time bin.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 7 + } + ], + "index": 4.0 + }, + { + "type": "text", + "bbox": [ + 106, + 268, + 506, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "Baselines We compare to a strong learning algorithm for each of our experimental setups. The A1", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 281, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 292 + ], + "score": 1.0, + "content": "quadruped robot uses continuous actions and low-dimensional inputs, allowing us to compare to SAC", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 293, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 304 + ], + "score": 1.0, + "content": "(Haarnoja et al., 2018a;b), a popular algorithm for data-efficient continuous control. For the visual", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 303, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 506, + 317 + ], + "score": 1.0, + "content": "pick and place experiments on the XArm and UR5 robots, inputs are images and proprioceptive", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 315, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 327 + ], + "score": 1.0, + "content": "readings and actions are discrete, suggesting algorithms from the DQN (Mnih et al., 2015) line of", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "score": 1.0, + "content": "work as baselines. We choose Rainbow (Hessel et al., 2018) as a powerful representative of this", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "category, an algorithm that combines many improvements of DQN. To input the proprioceptive", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 351, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 363 + ], + "score": 1.0, + "content": "readings, we concatenate them as broadcasted planes to the RGB channels of the image, a common", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 362, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 506, + 375 + ], + "score": 1.0, + "content": "practice in the literature (Schrittwieser et al., 2019). For the UR5, we additionally compare against", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 372, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 506, + 387 + ], + "score": 1.0, + "content": "PPO (Schulman et al., 2017), with similar modifications for fusing image and proprioceptive readings.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "In addition, we compare against a human operator controlling the robot arm through the robot control", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 397, + 506, + 410 + ], + "score": 1.0, + "content": "interface. For the Sphero navigation task, inputs are images and actions are continuous. The state-of-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 408, + 506, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 408, + 506, + 421 + ], + "score": 1.0, + "content": "the-art baseline in this category is DrQv2 (Yarats et al., 2021), which uses image augmentation to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 420, + 216, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 216, + 434 + ], + "score": 1.0, + "content": "increase sample-efficiency.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 107, + 443, + 234, + 455 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 235, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 235, + 458 + ], + "score": 1.0, + "content": "3.1 A1 Quadruped Walking", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 459, + 336, + 609 + ], + "lines": [ + { + "bbox": [ + 106, + 458, + 337, + 470 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 337, + 470 + ], + "score": 1.0, + "content": "This high-dimensional continuous control task requires", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 471, + 336, + 481 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 336, + 481 + ], + "score": 1.0, + "content": "training a quadruped robot to roll over from its back, stand", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 482, + 337, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 337, + 493 + ], + "score": 1.0, + "content": "up, and walk forward at a fixed target velocity. Prior work", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 493, + 337, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 337, + 506 + ], + "score": 1.0, + "content": "in quadruped locomotion requires either extensive training", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 504, + 337, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 337, + 518 + ], + "score": 1.0, + "content": "in simulation under domain randomization, using recovery", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 516, + 336, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 336, + 528 + ], + "score": 1.0, + "content": "controllers to avoid unsafe states, or defining the action", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 529, + 337, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 337, + 540 + ], + "score": 1.0, + "content": "space as parameterized trajectory generators that restrict", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 540, + 337, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 337, + 552 + ], + "score": 1.0, + "content": "the space of motions (Rusu et al., 2016; Peng et al., 2018;", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 551, + 336, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 336, + 563 + ], + "score": 1.0, + "content": "Rudin et al., 2021; Lee et al., 2020; Yang et al., 2019). In", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 563, + 337, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 337, + 576 + ], + "score": 1.0, + "content": "contrast, we train in the end-to-end reinforcement learning", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 576, + 338, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 338, + 587 + ], + "score": 1.0, + "content": "setting directly on the robot, without simulators or resets.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 587, + 336, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 336, + 598 + ], + "score": 1.0, + "content": "We use the Unitree A1 robot that consists of 12 direct drive", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 599, + 336, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 599, + 251, + 610 + ], + "score": 1.0, + "content": "motors. 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Actions", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 621, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 506, + 635 + ], + "score": 1.0, + "content": "are filtered with a Butterworth filter to protect the motor from high-frequency actions. The input", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 634, + 504, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 504, + 646 + ], + "score": 1.0, + "content": "consists of motor angles, orientations, and angular velocities. 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In contrast, SAC only learns to roll over but neither to stand up nor to walk. For SAC, we also", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 189, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 104, + 189, + 506, + 204 + ], + "score": 1.0, + "content": "had to help the robot out of a dead-locked leg configuration during training. On the right we show", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 202, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 106, + 202, + 505, + 214 + ], + "score": 1.0, + "content": "training curves for both SAC and Dreamer. The maximum reward is 14. The filled circles indicate", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "score": 1.0, + "content": "times where the robot fell on its back, requiring the learning of a robust strategy for getting back", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 224, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 506, + 237 + ], + "score": 1.0, + "content": "up. After 1 hour of training, we start pushing the robot and find that it adapts its behavior within 10", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 236, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 248 + ], + "score": 1.0, + "content": "minutes to withstand light pushes and quickly roll back on its feet for hard pushes. The graph shows", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 247, + 494, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 494, + 259 + ], + "score": 1.0, + "content": "a single training run with the shaded area indicating one standard deviation within each time bin.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 7 + } + ], + "index": 4.0 + }, + { + "type": "text", + "bbox": [ + 106, + 268, + 506, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "Baselines We compare to a strong learning algorithm for each of our experimental setups. The A1", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 281, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 281, + 505, + 292 + ], + "score": 1.0, + "content": "quadruped robot uses continuous actions and low-dimensional inputs, allowing us to compare to SAC", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 293, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 304 + ], + "score": 1.0, + "content": "(Haarnoja et al., 2018a;b), a popular algorithm for data-efficient continuous control. For the visual", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 303, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 506, + 317 + ], + "score": 1.0, + "content": "pick and place experiments on the XArm and UR5 robots, inputs are images and proprioceptive", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 315, + 506, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 327 + ], + "score": 1.0, + "content": "readings and actions are discrete, suggesting algorithms from the DQN (Mnih et al., 2015) line of", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 339 + ], + "score": 1.0, + "content": "work as baselines. We choose Rainbow (Hessel et al., 2018) as a powerful representative of this", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 339, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 339, + 505, + 351 + ], + "score": 1.0, + "content": "category, an algorithm that combines many improvements of DQN. To input the proprioceptive", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 351, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 363 + ], + "score": 1.0, + "content": "readings, we concatenate them as broadcasted planes to the RGB channels of the image, a common", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 362, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 506, + 375 + ], + "score": 1.0, + "content": "practice in the literature (Schrittwieser et al., 2019). For the UR5, we additionally compare against", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 372, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 506, + 387 + ], + "score": 1.0, + "content": "PPO (Schulman et al., 2017), with similar modifications for fusing image and proprioceptive readings.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "In addition, we compare against a human operator controlling the robot arm through the robot control", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 397, + 506, + 410 + ], + "score": 1.0, + "content": "interface. For the Sphero navigation task, inputs are images and actions are continuous. The state-of-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 408, + 506, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 408, + 506, + 421 + ], + "score": 1.0, + "content": "the-art baseline in this category is DrQv2 (Yarats et al., 2021), which uses image augmentation to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 420, + 216, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 216, + 434 + ], + "score": 1.0, + "content": "increase sample-efficiency.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 268, + 506, + 434 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 443, + 234, + 455 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 235, + 458 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 235, + 458 + ], + "score": 1.0, + "content": "3.1 A1 Quadruped Walking", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 459, + 336, + 609 + ], + "lines": [ + { + "bbox": [ + 106, + 458, + 337, + 470 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 337, + 470 + ], + "score": 1.0, + "content": "This high-dimensional continuous control task requires", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 471, + 336, + 481 + ], + "spans": [ + { + "bbox": [ + 106, + 471, + 336, + 481 + ], + "score": 1.0, + "content": "training a quadruped robot to roll over from its back, stand", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 482, + 337, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 337, + 493 + ], + "score": 1.0, + "content": "up, and walk forward at a fixed target velocity. Prior work", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 493, + 337, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 337, + 506 + ], + "score": 1.0, + "content": "in quadruped locomotion requires either extensive training", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 504, + 337, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 337, + 518 + ], + "score": 1.0, + "content": "in simulation under domain randomization, using recovery", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 516, + 336, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 336, + 528 + ], + "score": 1.0, + "content": "controllers to avoid unsafe states, or defining the action", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 529, + 337, + 540 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 337, + 540 + ], + "score": 1.0, + "content": "space as parameterized trajectory generators that restrict", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 540, + 337, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 337, + 552 + ], + "score": 1.0, + "content": "the space of motions (Rusu et al., 2016; Peng et al., 2018;", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 551, + 336, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 336, + 563 + ], + "score": 1.0, + "content": "Rudin et al., 2021; Lee et al., 2020; Yang et al., 2019). In", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 563, + 337, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 337, + 576 + ], + "score": 1.0, + "content": "contrast, we train in the end-to-end reinforcement learning", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 576, + 338, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 338, + 587 + ], + "score": 1.0, + "content": "setting directly on the robot, without simulators or resets.", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 587, + 336, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 336, + 598 + ], + "score": 1.0, + "content": "We use the Unitree A1 robot that consists of 12 direct drive", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 599, + 336, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 599, + 251, + 610 + ], + "score": 1.0, + "content": "motors. 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In the first 5 minutes of training, the robot manages to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 338, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 505, + 349 + ], + "score": 1.0, + "content": "roll off its back and land on its feet. 20 minutes later, it learns how to stand up on its feet. About", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 349, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 104, + 349, + 506, + 362 + ], + "score": 1.0, + "content": "1 hour into training, the robot learns a pronking gait to walk forward at the desired velocity. 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In comparison, SAC quickly", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 396, + 433, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 433, + 409 + ], + "score": 1.0, + "content": "learns to roll off its back but fails to stand up or walk given the small data budget.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + }, + { + "type": "title", + "bbox": [ + 106, + 416, + 303, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 303, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 303, + 430 + ], + "score": 1.0, + "content": "3.2 UR5 Multi-Object Visual Pick and Place", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 429, + 506, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "Common in warehouse and logistics environments, pick and place tasks require a robot manipulator", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "score": 1.0, + "content": "to transport items from one bin into another. Figure 5 shows a successful pick and place cycle of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "this task. The task is challenging because of sparse rewards, the need to infer object positions from", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 464, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 506, + 476 + ], + "score": 1.0, + "content": "pixels, and the challenging dynamics of multiple moving objects. The sensory inputs consist of", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "score": 1.0, + "content": "proprioceptive readings (joint angles, gripper position, end effector Cartesian position) and a 3rd", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "score": 1.0, + "content": "person RGB image of the scene. Successfully grasping one of the 3 objects, detected by partial", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 218, + 511 + ], + "score": 1.0, + "content": "gripper closure, results in a", + "type": "text" + }, + { + "bbox": [ + 218, + 499, + 232, + 509 + ], + "score": 0.85, + "content": "+ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 498, + 440, + 511 + ], + "score": 1.0, + "content": "reward, releasing the object in the same bin gives a", + "type": "text" + }, + { + "bbox": [ + 441, + 499, + 455, + 509 + ], + "score": 0.48, + "content": "- 1", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "reward, and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 509, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 245, + 524 + ], + "score": 1.0, + "content": "placing in the opposite bin gives a", + "type": "text" + }, + { + "bbox": [ + 245, + 510, + 264, + 521 + ], + "score": 0.87, + "content": "+ 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 509, + 506, + 524 + ], + "score": 1.0, + "content": "reward. We control the UR5 robot from Universal Robotics", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 117, + 534 + ], + "score": 1.0, + "content": "at", + "type": "text" + }, + { + "bbox": [ + 117, + 522, + 138, + 532 + ], + "score": 0.54, + "content": "2 \\ \\mathrm { H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 521, + 474, + 534 + ], + "score": 1.0, + "content": ". 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Figure 5 shows", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "score": 1.0, + "content": "the learning curves of Dreamer compared to Rainbow DQN, PPO, and the human baseline. Both", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 630, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 104, + 630, + 505, + 646 + ], + "score": 1.0, + "content": "Rainbow DQN and PPO only learn the short-sighted behavior of grasping and immediately dropping", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "objects in the same bin. 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We hypothesize that Rainbow DQN and PPO fail because they require larger amounts", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 667, + 385, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 385, + 679 + ], + "score": 1.0, + "content": "of experience, which is not feasible for us to collect in the real world.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39 + }, + { + "type": "title", + "bbox": [ + 107, + 686, + 252, + 698 + ], + "lines": [ + { + "bbox": [ + 105, + 685, + 253, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 253, + 699 + ], + "score": 1.0, + "content": "3.3 XArm Visual Pick and Place", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 106, + 699, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "While the UR5 robot is a high performance industrial robot, the XArm is an accessible low-cost", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 342, + 723 + ], + "score": 1.0, + "content": "7 DOF manipulation, which we control at approximately", + "type": "text" + }, + { + "bbox": [ + 342, + 711, + 371, + 721 + ], + "score": 0.6, + "content": "0 . 5 \\ : \\mathrm { H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 711, + 505, + 723 + ], + "score": 1.0, + "content": ". 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The", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 179, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 506, + 192 + ], + "score": 1.0, + "content": "arm is free to move within and above the bins and sparse rewards are given for grasping a ball and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 191, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 506, + 203 + ], + "score": 1.0, + "content": "for dropping it in the opposite bin. 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In the first 5 minutes of training, the robot manages to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 338, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 505, + 349 + ], + "score": 1.0, + "content": "roll off its back and land on its feet. 20 minutes later, it learns how to stand up on its feet. About", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 349, + 506, + 362 + ], + "spans": [ + { + "bbox": [ + 104, + 349, + 506, + 362 + ], + "score": 1.0, + "content": "1 hour into training, the robot learns a pronking gait to walk forward at the desired velocity. 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In comparison, SAC quickly", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 396, + 433, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 433, + 409 + ], + "score": 1.0, + "content": "learns to roll off its back but fails to stand up or walk given the small data budget.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5, + "bbox_fs": [ + 104, + 313, + 506, + 409 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 416, + 303, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 303, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 303, + 430 + ], + "score": 1.0, + "content": "3.2 UR5 Multi-Object Visual Pick and Place", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 429, + 506, + 568 + ], + "lines": [ + { + "bbox": [ + 106, + 428, + 505, + 441 + ], + "spans": [ + { + "bbox": [ + 106, + 428, + 505, + 441 + ], + "score": 1.0, + "content": "Common in warehouse and logistics environments, pick and place tasks require a robot manipulator", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 505, + 452 + ], + "score": 1.0, + "content": "to transport items from one bin into another. Figure 5 shows a successful pick and place cycle of", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "this task. The task is challenging because of sparse rewards, the need to infer object positions from", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 464, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 506, + 476 + ], + "score": 1.0, + "content": "pixels, and the challenging dynamics of multiple moving objects. The sensory inputs consist of", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "score": 1.0, + "content": "proprioceptive readings (joint angles, gripper position, end effector Cartesian position) and a 3rd", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "score": 1.0, + "content": "person RGB image of the scene. Successfully grasping one of the 3 objects, detected by partial", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 498, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 218, + 511 + ], + "score": 1.0, + "content": "gripper closure, results in a", + "type": "text" + }, + { + "bbox": [ + 218, + 499, + 232, + 509 + ], + "score": 0.85, + "content": "+ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 498, + 440, + 511 + ], + "score": 1.0, + "content": "reward, releasing the object in the same bin gives a", + "type": "text" + }, + { + "bbox": [ + 441, + 499, + 455, + 509 + ], + "score": 0.48, + "content": "- 1", + "type": "inline_equation" + }, + { + "bbox": [ + 455, + 498, + 506, + 511 + ], + "score": 1.0, + "content": "reward, and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 509, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 245, + 524 + ], + "score": 1.0, + "content": "placing in the opposite bin gives a", + "type": "text" + }, + { + "bbox": [ + 245, + 510, + 264, + 521 + ], + "score": 0.87, + "content": "+ 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 509, + 506, + 524 + ], + "score": 1.0, + "content": "reward. 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Figure 5 shows", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 506, + 633 + ], + "score": 1.0, + "content": "the learning curves of Dreamer compared to Rainbow DQN, PPO, and the human baseline. Both", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 630, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 104, + 630, + 505, + 646 + ], + "score": 1.0, + "content": "Rainbow DQN and PPO only learn the short-sighted behavior of grasping and immediately dropping", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "objects in the same bin. 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We hypothesize that Rainbow DQN and PPO fail because they require larger amounts", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 667, + 385, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 385, + 679 + ], + "score": 1.0, + "content": "of experience, which is not feasible for us to collect in the real world.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39, + "bbox_fs": [ + 104, + 572, + 506, + 679 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 686, + 252, + 698 + ], + "lines": [ + { + "bbox": [ + 105, + 685, + 253, + 699 + ], + "spans": [ + { + "bbox": [ + 105, + 685, + 253, + 699 + ], + "score": 1.0, + "content": "3.3 XArm Visual Pick and Place", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 106, + 699, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "While the UR5 robot is a high performance industrial robot, the XArm is an accessible low-cost", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 342, + 723 + ], + "score": 1.0, + "content": "7 DOF manipulation, which we control at approximately", + "type": "text" + }, + { + "bbox": [ + 342, + 711, + 371, + 721 + ], + "score": 0.6, + "content": "0 . 5 \\ : \\mathrm { H z }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 711, + 505, + 723 + ], + "score": 1.0, + "content": ". Similar to Section 3.2, the task", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "score": 1.0, + "content": "requires localizing and grasping a soft object and moving it from one bin to another and back, shown", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 277 + ], + "score": 1.0, + "content": "in Figure 6. We connect the object to the gripper with a string, which makes it less likely for the", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 275, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 505, + 289 + ], + "score": 1.0, + "content": "object to get stuck in corners at the cost of more complex dynamics. The sparse reward, discrete", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 286, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 505, + 302 + ], + "score": 1.0, + "content": "action space, and observation space match the UR5 setup except for the addition of depth image", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 300, + 162, + 311 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 162, + 311 + ], + "score": 1.0, + "content": "observations.", + "type": "text", + "cross_page": true + } + ], + "index": 15 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 698, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 107, + 53, + 500, + 137 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 107, + 53, + 500, + 137 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 53, + 500, + 137 + ], + "spans": [ + { + "bbox": [ + 107, + 53, + 500, + 137 + ], + "score": 0.957, + "type": "image", + "image_path": "dfce202941b6d7b7a3b4e91b152da625264b3b1c43837193ab53e137e11b01f3.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 107, + 53, + 500, + 81.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 107, + 81.0, + 500, + 109.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 107, + 109.0, + 500, + 137.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 151, + 505, + 243 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 151, + 506, + 165 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 506, + 165 + ], + "score": 1.0, + "content": "Figure 6: XArm Visual Pick and Place The XArm is an affordable robot arm that operates slower", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 164, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 164, + 505, + 176 + ], + "score": 1.0, + "content": "than the UR5. To demonstrate successful learning on this robot, we use a third-person RealSense", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 174, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 174, + 505, + 189 + ], + "score": 1.0, + "content": "camera with RGB and depth modalities, as well as proprioceptive inputs for the robot arm, requiring", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 186, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 505, + 199 + ], + "score": 1.0, + "content": "the world model to learn sensor fusion. The pick and place task uses a soft object. While soft", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 196, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 506, + 211 + ], + "score": 1.0, + "content": "objects would be challenging to model accurately in a simulator, Dreamer avoids this issue by", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 208, + 505, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 208, + 505, + 221 + ], + "score": 1.0, + "content": "directly learning on the real robot without a simulator. 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We connect the object to the gripper with a string, which makes it less likely for the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 275, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 275, + 505, + 289 + ], + "score": 1.0, + "content": "object to get stuck in corners at the cost of more complex dynamics. The sparse reward, discrete", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 286, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 505, + 302 + ], + "score": 1.0, + "content": "action space, and observation space match the UR5 setup except for the addition of depth image", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 300, + 162, + 311 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 162, + 311 + ], + "score": 1.0, + "content": "observations.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 315, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 106, + 315, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 506, + 329 + ], + "score": 1.0, + "content": "Dreamer learns a policy that enables the XArm to achieve an average pick rate of 3.1 objects per", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 328, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 506, + 340 + ], + "score": 1.0, + "content": "minute in 10 hours of time, which is comparable to human performance on this task. Figure 6", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 338, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 506, + 352 + ], + "score": 1.0, + "content": "shows that Dreamer learns to solve the task within 10 hours, whereas the Rainbow algorithm, a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 350, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 350, + 506, + 364 + ], + "score": 1.0, + "content": "top model-free algorithm for discrete control from pixels, fails to learn. We additionally compare", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 362, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 376 + ], + "score": 1.0, + "content": "Dreamer against a PPO baseline that utilizes R3M (Nair et al., 2022) pretrained visual embeddings", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 374, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 506, + 387 + ], + "score": 1.0, + "content": "for the state, but notice no improvement in performance. Interestingly, we observed that Dreamer", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 385, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 505, + 399 + ], + "score": 1.0, + "content": "learns to sometimes use the string to pull the object out of a corner before grasping it, demonstrating", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "score": 1.0, + "content": "multi-modal behaviors. Moreover, we observed that when lighting conditions change drastically", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 410, + 504, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 504, + 421 + ], + "score": 1.0, + "content": "(such as sharp shadows during sunrise), performance initially collapses but Dreamer then adapts to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 419, + 507, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 507, + 435 + ], + "score": 1.0, + "content": "the changing conditions and exceeds its previous performance after a few hours of additional training,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 432, + 206, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 206, + 446 + ], + "score": 1.0, + "content": "reported in Appendix A.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21 + }, + { + "type": "title", + "bbox": [ + 107, + 452, + 210, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 451, + 210, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 210, + 466 + ], + "score": 1.0, + "content": "3.4 Sphero Navigation", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 465, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "We evaluate Dreamer on a visual navigation task that requires maneuvering a wheeled robot to a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "fixed goal location given only RGB images as input. 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The robot is provided with a dense reward", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "equal to the negative L2 distance, which is computed using a oracle vision pipeline that detects the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "Sphero’s position (this information is not provided to the agent). As the goal is fixed, after 100", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "environment steps, we end the episode and randomize the robot’s position through a sequence of high", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 560, + 226, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 226, + 570 + ], + "score": 1.0, + "content": "power random motor actions.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 575, + 505, + 645 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 588 + ], + "score": 1.0, + "content": "In 2 hours, Dreamer learns to quickly and consistently navigate to the goal and stay near the goal for", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "score": 1.0, + "content": "the remainder of the episode. As shown in Figure 7, Dreamer achieves an average distance to the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 597, + 507, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 507, + 612 + ], + "score": 1.0, + "content": "goal of 0.15, measured in units of the area size and averaged across time steps. We find that DrQv2,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 611, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 505, + 623 + ], + "score": 1.0, + "content": "a model-free algorithm specifically designed to continuous control from pixels, achieves similar", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "performance. This result matches the simulated experiments of Yarats et al. (2021) that showed the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 633, + 419, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 419, + 647 + ], + "score": 1.0, + "content": "two algorithms to perform similarly for continuous control tasks from images.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5 + }, + { + "type": "title", + "bbox": [ + 107, + 657, + 197, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 656, + 198, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 198, + 672 + ], + "score": 1.0, + "content": "4 Related Work", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "Existing work on robot learning commonly leverages large amounts of simulated experience before", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 687, + 505, + 698 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 698 + ], + "score": 1.0, + "content": "deploying to the real world (Rusu et al., 2016; Peng et al., 2018; OpenAI et al., 2018; Lee et al., 2020;", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "score": 1.0, + "content": "Irpan et al., 2020; Kumar et al., 2021; Siekmann et al., 2021; Escontrela et al., 2022), leverage fleets", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 711, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 722 + ], + "score": 1.0, + "content": "of robots to collect experience datasets (Kalashnikov et al., 2018; Dasari et al., 2019; Kalashnikov", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 45.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 753 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 753 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 107, + 53, + 500, + 137 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 107, + 53, + 500, + 137 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 53, + 500, + 137 + ], + "spans": [ + { + "bbox": [ + 107, + 53, + 500, + 137 + ], + "score": 0.957, + "type": "image", + "image_path": "dfce202941b6d7b7a3b4e91b152da625264b3b1c43837193ab53e137e11b01f3.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 107, + 53, + 500, + 81.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 107, + 81.0, + 500, + 109.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 107, + 109.0, + 500, + 137.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 151, + 505, + 243 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 151, + 506, + 165 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 506, + 165 + ], + "score": 1.0, + "content": "Figure 6: XArm Visual Pick and Place The XArm is an affordable robot arm that operates slower", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 164, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 164, + 505, + 176 + ], + "score": 1.0, + "content": "than the UR5. To demonstrate successful learning on this robot, we use a third-person RealSense", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 174, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 174, + 505, + 189 + ], + "score": 1.0, + "content": "camera with RGB and depth modalities, as well as proprioceptive inputs for the robot arm, requiring", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 186, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 186, + 505, + 199 + ], + "score": 1.0, + "content": "the world model to learn sensor fusion. The pick and place task uses a soft object. While soft", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 196, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 506, + 211 + ], + "score": 1.0, + "content": "objects would be challenging to model accurately in a simulator, Dreamer avoids this issue by", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 208, + 505, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 208, + 505, + 221 + ], + "score": 1.0, + "content": "directly learning on the real robot without a simulator. While Rainbow and PPO using R3M visual", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 220, + 506, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 506, + 233 + ], + "score": 1.0, + "content": "embeddings converge to the local optimum of grasping and ungrasping the object in the same bin,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 231, + 466, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 466, + 244 + ], + "score": 1.0, + "content": "Dreamer learns a successful pick and place policy from sparse rewards in under 10 hours.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6.5 + } + ], + "index": 3.75 + }, + { + "type": "text", + "bbox": [ + 107, + 252, + 505, + 310 + ], + "lines": [], + "index": 13, + "bbox_fs": [ + 105, + 252, + 506, + 311 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 315, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 106, + 315, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 506, + 329 + ], + "score": 1.0, + "content": "Dreamer learns a policy that enables the XArm to achieve an average pick rate of 3.1 objects per", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 328, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 506, + 340 + ], + "score": 1.0, + "content": "minute in 10 hours of time, which is comparable to human performance on this task. Figure 6", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 338, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 506, + 352 + ], + "score": 1.0, + "content": "shows that Dreamer learns to solve the task within 10 hours, whereas the Rainbow algorithm, a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 350, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 350, + 506, + 364 + ], + "score": 1.0, + "content": "top model-free algorithm for discrete control from pixels, fails to learn. We additionally compare", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 362, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 376 + ], + "score": 1.0, + "content": "Dreamer against a PPO baseline that utilizes R3M (Nair et al., 2022) pretrained visual embeddings", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 374, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 506, + 387 + ], + "score": 1.0, + "content": "for the state, but notice no improvement in performance. Interestingly, we observed that Dreamer", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 385, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 505, + 399 + ], + "score": 1.0, + "content": "learns to sometimes use the string to pull the object out of a corner before grasping it, demonstrating", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 505, + 410 + ], + "score": 1.0, + "content": "multi-modal behaviors. Moreover, we observed that when lighting conditions change drastically", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 410, + 504, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 504, + 421 + ], + "score": 1.0, + "content": "(such as sharp shadows during sunrise), performance initially collapses but Dreamer then adapts to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 419, + 507, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 507, + 435 + ], + "score": 1.0, + "content": "the changing conditions and exceeds its previous performance after a few hours of additional training,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 432, + 206, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 206, + 446 + ], + "score": 1.0, + "content": "reported in Appendix A.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 315, + 507, + 446 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 452, + 210, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 451, + 210, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 210, + 466 + ], + "score": 1.0, + "content": "3.4 Sphero Navigation", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 465, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "We evaluate Dreamer on a visual navigation task that requires maneuvering a wheeled robot to a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 505, + 489 + ], + "score": 1.0, + "content": "fixed goal location given only RGB images as input. We use the Sphero Ollie robot, a cylindrical", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 488, + 503, + 501 + ], + "spans": [ + { + "bbox": [ + 106, + 489, + 482, + 501 + ], + "score": 1.0, + "content": "robot with two controllable motors, which we control through continuous torque commands at", + "type": "text" + }, + { + "bbox": [ + 483, + 488, + 503, + 499 + ], + "score": 0.56, + "content": "2 \\ : \\mathrm { H z }", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "Because the robot is symmetric and the robot only has access to image observations, it has to infer", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 511, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 505, + 524 + ], + "score": 1.0, + "content": "the heading direction from the history of observations. The robot is provided with a dense reward", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 106, + 524, + 505, + 536 + ], + "score": 1.0, + "content": "equal to the negative L2 distance, which is computed using a oracle vision pipeline that detects the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 535, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 505, + 547 + ], + "score": 1.0, + "content": "Sphero’s position (this information is not provided to the agent). As the goal is fixed, after 100", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "environment steps, we end the episode and randomize the robot’s position through a sequence of high", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 560, + 226, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 226, + 570 + ], + "score": 1.0, + "content": "power random motor actions.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 465, + 506, + 570 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 575, + 505, + 645 + ], + "lines": [ + { + "bbox": [ + 105, + 574, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 588 + ], + "score": 1.0, + "content": "In 2 hours, Dreamer learns to quickly and consistently navigate to the goal and stay near the goal for", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "score": 1.0, + "content": "the remainder of the episode. As shown in Figure 7, Dreamer achieves an average distance to the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 597, + 507, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 507, + 612 + ], + "score": 1.0, + "content": "goal of 0.15, measured in units of the area size and averaged across time steps. We find that DrQv2,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 611, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 505, + 623 + ], + "score": 1.0, + "content": "a model-free algorithm specifically designed to continuous control from pixels, achieves similar", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 505, + 635 + ], + "score": 1.0, + "content": "performance. This result matches the simulated experiments of Yarats et al. (2021) that showed the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 633, + 419, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 419, + 647 + ], + "score": 1.0, + "content": "two algorithms to perform similarly for continuous control tasks from images.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 574, + 507, + 647 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 657, + 197, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 656, + 198, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 198, + 672 + ], + "score": 1.0, + "content": "4 Related Work", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 505, + 688 + ], + "score": 1.0, + "content": "Existing work on robot learning commonly leverages large amounts of simulated experience before", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 687, + 505, + 698 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 505, + 698 + ], + "score": 1.0, + "content": "deploying to the real world (Rusu et al., 2016; Peng et al., 2018; OpenAI et al., 2018; Lee et al., 2020;", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 711 + ], + "score": 1.0, + "content": "Irpan et al., 2020; Kumar et al., 2021; Siekmann et al., 2021; Escontrela et al., 2022), leverage fleets", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 711, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 722 + ], + "score": 1.0, + "content": "of robots to collect experience datasets (Kalashnikov et al., 2018; Dasari et al., 2019; Kalashnikov", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 225, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 505, + 236 + ], + "score": 1.0, + "content": "et al., 2021; Ebert et al., 2021), or rely on external information such as human expert demonstrations", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 236, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 249 + ], + "score": 1.0, + "content": "or task priors to achieve sample-efficient learning (Xie et al., 2019; Schoettler et al., 2019; James", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 246, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 261 + ], + "score": 1.0, + "content": "et al., 2021; Shah and Levine, 2022; Bohez et al., 2022; Sivakumar et al., 2022). However, designing", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "simulated tasks and collecting expert demonstrations is time-consuming. Moreover, many of these", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "score": 1.0, + "content": "approaches require specialized algorithms for leveraging offline experience, demonstrations, or", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "score": 1.0, + "content": "simulator inaccuracies. In contrast, our experiments show that learning end-to-end from rewards in", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 295, + 427, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 427, + 306 + ], + "score": 1.0, + "content": "the physical world is feasible for a diverse range of tasks through world models.", + "type": "text", + "cross_page": true + } + ], + "index": 14 + } + ], + "index": 45.5, + "bbox_fs": [ + 105, + 675, + 506, + 722 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 58, + 498, + 142 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 58, + 498, + 142 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 58, + 498, + 142 + ], + "spans": [ + { + "bbox": [ + 106, + 58, + 498, + 142 + ], + "score": 0.945, + "type": "image", + "image_path": "372acb53fc3f9ab9f178baac319f8b0cb0c4ee1ca96f374bada7397c4ec23630.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 58, + 498, + 86.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 86.0, + 498, + 114.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 114.0, + 498, + 142.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 156, + 505, + 213 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 156, + 505, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 156, + 505, + 169 + ], + "score": 1.0, + "content": "Figure 7: Sphero Navigation This task requires the Sphero robot to navigate to a goal location", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 168, + 505, + 181 + ], + "spans": [ + { + "bbox": [ + 105, + 168, + 505, + 181 + ], + "score": 1.0, + "content": "given a top-down RGB image as the only input. The task requires the robot to localize itself from raw", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 505, + 192 + ], + "score": 1.0, + "content": "pixels, to infer its orientation from the sequence of past images because it is ambiguous from a single", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 190, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 506, + 204 + ], + "score": 1.0, + "content": "image, and to control the robot from under-actuated motors that require building up momentum over", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 201, + 389, + 214 + ], + "spans": [ + { + "bbox": [ + 106, + 201, + 389, + 214 + ], + "score": 1.0, + "content": "time. Dreamer learns a successful policy on this task in under 2 hours.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 224, + 505, + 306 + ], + "lines": [ + { + "bbox": [ + 106, + 225, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 225, + 505, + 236 + ], + "score": 1.0, + "content": "et al., 2021; Ebert et al., 2021), or rely on external information such as human expert demonstrations", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 236, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 506, + 249 + ], + "score": 1.0, + "content": "or task priors to achieve sample-efficient learning (Xie et al., 2019; Schoettler et al., 2019; James", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 246, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 261 + ], + "score": 1.0, + "content": "et al., 2021; Shah and Levine, 2022; Bohez et al., 2022; Sivakumar et al., 2022). However, designing", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "simulated tasks and collecting expert demonstrations is time-consuming. Moreover, many of these", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "score": 1.0, + "content": "approaches require specialized algorithms for leveraging offline experience, demonstrations, or", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "score": 1.0, + "content": "simulator inaccuracies. In contrast, our experiments show that learning end-to-end from rewards in", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 295, + 427, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 427, + 306 + ], + "score": 1.0, + "content": "the physical world is feasible for a diverse range of tasks through world models.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 316, + 505, + 456 + ], + "lines": [ + { + "bbox": [ + 106, + 316, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 506, + 329 + ], + "score": 1.0, + "content": "Relatively few works have demonstrated end-to-end learning from scratch in the physical world.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "Visual Foresight (Finn et al., 2016; Finn and Levine, 2017; Ebert et al., 2018) learns a video prediction", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 505, + 352 + ], + "score": 1.0, + "content": "model to solve real world tasks by online planning, but is limited to short-horizon tasks and requires", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 505, + 364 + ], + "score": 1.0, + "content": "generating images during planning, making it computationally expensive. Yang et al. (2019; 2022)", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 362, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 505, + 375 + ], + "score": 1.0, + "content": "learn quadruped locomotion through a model-based approach by predicting foot placement and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "score": 1.0, + "content": "leveraging a domain-specific controller to achieve them. Ha et al. (2020) learn a quadruped walking", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 505, + 399 + ], + "score": 1.0, + "content": "policy by relying on a scripted reset policy, so the robot does not have to learn to stand up. 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This work was supported", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 711, + 498, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 498, + 724 + ], + "score": 1.0, + "content": "in part by an NSF Fellowship, NSF NRI #2024675, and the Vanier Canada Graduate Scholarship.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 675, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 72, + 507, + 727 + ], + "lines": [ + { + "bbox": [ + 106, + 70, + 165, + 87 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 165, + 87 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 95, + 506, + 111 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 506, + 111 + ], + "score": 1.0, + "content": "D. Hafner, T. Lillicrap, J. Ba, and M. Norouzi. 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The XArm experiments were conducted after sundown to keep the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 180, + 506, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 506, + 193 + ], + "score": 1.0, + "content": "lighting conditions constant throughout training. Figure A.1 shows the learning curve of the XArm.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 192, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 192, + 505, + 204 + ], + "score": 1.0, + "content": "As expected, the performance of the XArm drops during sunrise. However, the XArm is able to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "adapt to the change in lighting conditions in about 5 hours time and recover the original performance,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "which is faster than it would be to train from scratch. A careful inspection of the image observations", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 226, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 505, + 239 + ], + "score": 1.0, + "content": "at these times, as shown in Figure A.1, reveals that the robot received observations with strong light", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 238, + 446, + 252 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 446, + 252 + ], + "score": 1.0, + "content": "rays covering the scene which greatly differs from the original training observations.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 9.5 + }, + { + "type": "image", + "bbox": [ + 106, + 259, + 498, + 349 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 259, + 498, + 349 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 259, + 498, + 349 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 498, + 349 + ], + "score": 0.962, + "type": "image", + "image_path": "db6cf431ae9355646aa06c810c30e311d8db38009707b4dea4bad788085ac2bb.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 106, + 259, + 498, + 289.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 106, + 289.0, + 498, + 319.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 106, + 319.0, + 498, + 349.0 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 355, + 506, + 412 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 355, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 505, + 369 + ], + "score": 1.0, + "content": "Figure A.1: The left two images are raw observations consumed by Dreamer. The leftmost image is", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "score": 1.0, + "content": "an image observation as seen by the XArm at night, when it was trained. The next image shows an", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 378, + 507, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 507, + 392 + ], + "score": 1.0, + "content": "observation during sunrise. Despite the vast difference in pixel space, the XArm is able to recover,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 389, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 505, + 403 + ], + "score": 1.0, + "content": "and then surpass, the original performance in approximately 5 hours. Even after 24 hours when the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 400, + 438, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 438, + 414 + ], + "score": 1.0, + "content": "lighting shifts to night time conditions, the XArm is able to maintain performance.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19 + } + ], + "index": 17.0 + }, + { + "type": "title", + "bbox": [ + 107, + 432, + 190, + 446 + ], + "lines": [ + { + "bbox": [ + 104, + 430, + 192, + 449 + ], + "spans": [ + { + "bbox": [ + 104, + 430, + 192, + 449 + ], + "score": 1.0, + "content": "B Imagination", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "image", + "bbox": [ + 110, + 458, + 501, + 650 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 458, + 501, + 650 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 110, + 458, + 501, + 650 + ], + "spans": [ + { + "bbox": [ + 110, + 458, + 501, + 650 + ], + "score": 0.98, + "type": "image", + "image_path": "24fe88bf92baa43778d9defa3450750bc0d2c910fa9c12c5902630d7c2316e1e.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 110, + 458, + 501, + 522.0 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 110, + 522.0, + 501, + 586.0 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 110, + 586.0, + 501, + 650.0 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 656, + 506, + 713 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "Figure B.1: To introspect the policy, we can roll out trajectories in the latent space of Dreamer, then", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 664, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 104, + 664, + 506, + 683 + ], + "score": 1.0, + "content": "decode the images to visualize the intent of the actor network. Each row is an imagined trajectory,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 678, + 505, + 692 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 692 + ], + "score": 1.0, + "content": "showing every 2nd frame. Top: Latent rollouts on the UR5 environment. Multiple objects introduce", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 690, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 506, + 703 + ], + "score": 1.0, + "content": "more visual complexity that the network has to model. Note the second trajectory, which shows a", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 701, + 479, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 701, + 479, + 713 + ], + "score": 1.0, + "content": "static orange ball becoming a green ball. Bottom: Latent rollouts on the XArm environment.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28 + } + ], + "index": 26.0 + } + ], + "page_idx": 12, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 312, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 312, + 754 + ], + "score": 1.0, + "content": "13", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 72, + 186, + 85 + ], + "lines": [ + { + "bbox": [ + 105, + 70, + 188, + 88 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 188, + 88 + ], + "score": 1.0, + "content": "A Adaptation", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 93, + 505, + 152 + ], + "lines": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "Real world robot learning faces practical challenges such as changing environmental conditions", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "and time varying dynamics. We found that Dreamer is able to adapt to the current environmental", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "conditions with no change to the learning algorithm. This shows promise for using Dreamer in", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 505, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 505, + 142 + ], + "score": 1.0, + "content": "continual learning settings (Parisi et al., 2019). Adaptation of the quadruped to external perturbations", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 141, + 264, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 264, + 153 + ], + "score": 1.0, + "content": "is reported in Section 3.1 and Figure 8.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 93, + 505, + 153 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 156, + 506, + 250 + ], + "lines": [ + { + "bbox": [ + 105, + 156, + 505, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 156, + 505, + 169 + ], + "score": 1.0, + "content": "The XArm, situated near large windows, is able to adapt and maintain performance under the presence", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 169, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 505, + 180 + ], + "score": 1.0, + "content": "of changing lighting conditions. The XArm experiments were conducted after sundown to keep the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 180, + 506, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 506, + 193 + ], + "score": 1.0, + "content": "lighting conditions constant throughout training. Figure A.1 shows the learning curve of the XArm.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 192, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 192, + 505, + 204 + ], + "score": 1.0, + "content": "As expected, the performance of the XArm drops during sunrise. 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The leftmost image is", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "score": 1.0, + "content": "an image observation as seen by the XArm at night, when it was trained. The next image shows an", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 378, + 507, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 507, + 392 + ], + "score": 1.0, + "content": "observation during sunrise. Despite the vast difference in pixel space, the XArm is able to recover,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 389, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 505, + 403 + ], + "score": 1.0, + "content": "and then surpass, the original performance in approximately 5 hours. Even after 24 hours when the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 400, + 438, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 438, + 414 + ], + "score": 1.0, + "content": "lighting shifts to night time conditions, the XArm is able to maintain performance.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19 + } + ], + "index": 17.0 + }, + { + "type": "title", + "bbox": [ + 107, + 432, + 190, + 446 + ], + "lines": [ + { + "bbox": [ + 104, + 430, + 192, + 449 + ], + "spans": [ + { + "bbox": [ + 104, + 430, + 192, + 449 + ], + "score": 1.0, + "content": "B Imagination", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "image", + "bbox": [ + 110, + 458, + 501, + 650 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 110, + 458, + 501, + 650 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 110, + 458, + 501, + 650 + ], + "spans": [ + { + "bbox": [ + 110, + 458, + 501, + 650 + ], + "score": 0.98, + "type": "image", + "image_path": "24fe88bf92baa43778d9defa3450750bc0d2c910fa9c12c5902630d7c2316e1e.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 110, + 458, + 501, + 522.0 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 110, + 522.0, + 501, + 586.0 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 110, + 586.0, + 501, + 650.0 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 656, + 506, + 713 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "Figure B.1: To introspect the policy, we can roll out trajectories in the latent space of Dreamer, then", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 664, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 104, + 664, + 506, + 683 + ], + "score": 1.0, + "content": "decode the images to visualize the intent of the actor network. Each row is an imagined trajectory,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 678, + 505, + 692 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 505, + 692 + ], + "score": 1.0, + "content": "showing every 2nd frame. Top: Latent rollouts on the UR5 environment. Multiple objects introduce", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 690, + 506, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 506, + 703 + ], + "score": 1.0, + "content": "more visual complexity that the network has to model. Note the second trajectory, which shows a", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 701, + 479, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 701, + 479, + 713 + ], + "score": 1.0, + "content": "static orange ball becoming a green ball. Bottom: Latent rollouts on the XArm environment.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28 + } + ], + "index": 26.0 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 245, + 85 + ], + "lines": [ + { + "bbox": [ + 106, + 70, + 247, + 87 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 247, + 87 + ], + "score": 1.0, + "content": "C Detailed Related Work", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 93, + 505, + 315 + ], + "lines": [ + { + "bbox": [ + 105, + 92, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 505, + 107 + ], + "score": 1.0, + "content": "RL for locomotion A common approach is to train RL agents from large amounts of simulated data", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "under domain and dynamics randomization (Peng et al., 2018; Lee et al., 2020; Rudin et al., 2021;", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 117, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 506, + 129 + ], + "score": 1.0, + "content": "Siekmann et al., 2021; Escontrela et al., 2022; Miki et al., 2022; Kumar et al., 2021; Rusu et al., 2016;", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 129, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 106, + 129, + 506, + 141 + ], + "score": 1.0, + "content": "Bohez et al., 2022), then freezing the learned policy and deploying it to the real world. Smith et al.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 139, + 506, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 154 + ], + "score": 1.0, + "content": "(2021) explored pre-training policies in simulation and fine-tuning them with real world data. Yang", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 152, + 505, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 152, + 505, + 164 + ], + "score": 1.0, + "content": "et al. (2019) investigate learning a dynamics model using a multi-step loss and using model predictive", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 164, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 164, + 505, + 176 + ], + "score": 1.0, + "content": "control to accomplish a specified task. Yang et al. (2022) train locomotion policies in the real world", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 505, + 187 + ], + "score": 1.0, + "content": "but require a recovery controller trained in simulation to avoid unsafe states. In contrast, we use no", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "simulators or reset policies and directly train on the physical robot. While prior work in locomotion", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 199, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 505, + 211 + ], + "score": 1.0, + "content": "has successfully learned walking behaviors in the real world, these works generally required several", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 211, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 106, + 211, + 505, + 223 + ], + "score": 1.0, + "content": "domain-specific assumptions or pretraining with simulators. Ha et al. (2020) achieved successful", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 223, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 505, + 234 + ], + "score": 1.0, + "content": "walking on the Minitaur robot in 90 minutes. However, the authors manually programmed a reset", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "policy that was used when the robot fell on its back, while in our work the robot must learn to flip over", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "score": 1.0, + "content": "and stand up. Additionally, the Minitaur robot is simpler than the A1 as it has 8 actuators compared", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 257, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 269 + ], + "score": 1.0, + "content": "to 12 on the A1. In recent work, Smith et al. (2022) utilize a high update-to-data ratio (UTD) RL", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "algorithm to learn walking from 20 minutes of robot training data. However, their work assumes", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 505, + 293 + ], + "score": 1.0, + "content": "the availability of a reset policy and therefore comprises of a different learning problem compared", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "score": 1.0, + "content": "to the problem we tackle of learning to flip over and walk from scratch. Additionally, we show our", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 304, + 439, + 316 + ], + "spans": [ + { + "bbox": [ + 106, + 304, + 439, + 316 + ], + "score": 1.0, + "content": "approach generalizes to environments with image observations and sparse rewards.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 320, + 505, + 506 + ], + "lines": [ + { + "bbox": [ + 106, + 320, + 505, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 333 + ], + "score": 1.0, + "content": "RL for manipulation Learning promises to enable robot manipulators to solve contact rich tasks", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 331, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 505, + 344 + ], + "score": 1.0, + "content": "in open real world environments. One class of methods attempts to scale up experience collection", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 343, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 506, + 356 + ], + "score": 1.0, + "content": "through a fleet of robots (Kalashnikov et al., 2018; 2021; Ebert et al., 2021; Dasari et al., 2019;", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "Levine et al., 2018). In contrast, we only leverage one robot, but parallelize an agent’s experience", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "by using the learned world model. Another common approach is to leverage expert demonstrations", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "score": 1.0, + "content": "or other task priors (Pinto and Gupta, 2015; Ha and Song, 2021; Xie et al., 2019; Schoettler et al.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 390, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 505, + 402 + ], + "score": 1.0, + "content": "2019; Sivakumar et al., 2022). James and Davison (2021); James et al. (2021) leverages a few", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "demonstrations to increase the sample-efficiency of Q learning by focusing the learner on important", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 414, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 506, + 426 + ], + "score": 1.0, + "content": "aspects of the scene. Other approaches, as in locomotion, first utilize a simulator, then transfer to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "score": 1.0, + "content": "the real world (Tzeng et al., 2015; Akkaya et al., 2019; OpenAI et al., 2018; Irpan et al., 2020). Our", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 437, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 449 + ], + "score": 1.0, + "content": "work focuses on single-robot environments where the agent must learn through a small amount of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "interaction with the world. Meanwhile, the Google Arm Farm line of work by Levine et al. leverages", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 460, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 126, + 471 + ], + "score": 1.0, + "content": "over", + "type": "text" + }, + { + "bbox": [ + 126, + 460, + 147, + 471 + ], + "score": 0.49, + "content": "5 8 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 461, + 505, + 471 + ], + "score": 1.0, + "content": "grasp attempts gathered by 7 robots and collected over 4 months. We believe that a method", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 472, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 505, + 484 + ], + "score": 1.0, + "content": "such as Dreamer could benefit greatly from this scale of training data, however it is unlikely that", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 484, + 504, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 504, + 495 + ], + "score": 1.0, + "content": "works such as MT-OPT/QT-OPT Kalashnikov et al. (2018; 2021) would work well in the low data", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 496, + 231, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 231, + 507 + ], + "score": 1.0, + "content": "regime that Dreamer excels in.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 106, + 511, + 506, + 663 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 523 + ], + "score": 1.0, + "content": "Model-based RL Due to its higher sample-efficiency over model-free methods, model-based RL", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 523, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 534 + ], + "score": 1.0, + "content": "is a promising approach to learning on real world robots (Deisenroth et al., 2013). A model based", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "method first learns a dynamics model, which can then be used to plan actions (Nagabandi et al., 2019;", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 546, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 505, + 558 + ], + "score": 1.0, + "content": "Hafner et al., 2018; Chua et al., 2018; Nagabandi et al., 2017; Becker-Ehmck et al., 2020), or be used", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 558, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 570 + ], + "score": 1.0, + "content": "as a simulator to learn a policy network as in Dreamer (Hafner et al., 2019; 2020). One approach to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "tackle the high visual complexity of the world is to learn an action conditioned video prediction model", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 582, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 505, + 593 + ], + "score": 1.0, + "content": "(Finn and Levine, 2017; Ebert et al., 2018; Finn et al., 2016). One downside of this approach is the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 592, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 506, + 605 + ], + "score": 1.0, + "content": "need to directly predict high dimensional observations, which can be computationally inefficient and", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 605, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 506, + 617 + ], + "score": 1.0, + "content": "easily drift. Dreamer learns a dynamics model in a latent space, allowing more efficient rollouts and", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 617, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 628 + ], + "score": 1.0, + "content": "avoids relying on high quality visual reconstructions for the policy. Another line of work proposes", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 628, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 640 + ], + "score": 1.0, + "content": "to learn latent dynamics models without having to reconstruct inputs (Deng et al., 2021; Okada and", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 640, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 505, + 651 + ], + "score": 1.0, + "content": "Taniguchi, 2021; Bharadhwaj et al., 2022; Paster et al., 2021), which we see as a promising approach", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 651, + 353, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 353, + 663 + ], + "score": 1.0, + "content": "for supporting moving view points in cluttered environments.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 42 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "score": 1.0, + "content": "14", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 245, + 85 + ], + "lines": [ + { + "bbox": [ + 106, + 70, + 247, + 87 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 247, + 87 + ], + "score": 1.0, + "content": "C Detailed Related Work", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 93, + 505, + 315 + ], + "lines": [ + { + "bbox": [ + 105, + 92, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 505, + 107 + ], + "score": 1.0, + "content": "RL for locomotion A common approach is to train RL agents from large amounts of simulated data", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "under domain and dynamics randomization (Peng et al., 2018; Lee et al., 2020; Rudin et al., 2021;", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 117, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 506, + 129 + ], + "score": 1.0, + "content": "Siekmann et al., 2021; Escontrela et al., 2022; Miki et al., 2022; Kumar et al., 2021; Rusu et al., 2016;", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 129, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 106, + 129, + 506, + 141 + ], + "score": 1.0, + "content": "Bohez et al., 2022), then freezing the learned policy and deploying it to the real world. Smith et al.", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 139, + 506, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 154 + ], + "score": 1.0, + "content": "(2021) explored pre-training policies in simulation and fine-tuning them with real world data. Yang", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 152, + 505, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 152, + 505, + 164 + ], + "score": 1.0, + "content": "et al. (2019) investigate learning a dynamics model using a multi-step loss and using model predictive", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 164, + 505, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 164, + 505, + 176 + ], + "score": 1.0, + "content": "control to accomplish a specified task. Yang et al. (2022) train locomotion policies in the real world", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 505, + 187 + ], + "score": 1.0, + "content": "but require a recovery controller trained in simulation to avoid unsafe states. In contrast, we use no", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "simulators or reset policies and directly train on the physical robot. While prior work in locomotion", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 199, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 106, + 199, + 505, + 211 + ], + "score": 1.0, + "content": "has successfully learned walking behaviors in the real world, these works generally required several", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 211, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 106, + 211, + 505, + 223 + ], + "score": 1.0, + "content": "domain-specific assumptions or pretraining with simulators. Ha et al. (2020) achieved successful", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 223, + 505, + 234 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 505, + 234 + ], + "score": 1.0, + "content": "walking on the Minitaur robot in 90 minutes. However, the authors manually programmed a reset", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "policy that was used when the robot fell on its back, while in our work the robot must learn to flip over", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 505, + 258 + ], + "score": 1.0, + "content": "and stand up. Additionally, the Minitaur robot is simpler than the A1 as it has 8 actuators compared", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 257, + 505, + 269 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 269 + ], + "score": 1.0, + "content": "to 12 on the A1. In recent work, Smith et al. (2022) utilize a high update-to-data ratio (UTD) RL", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "algorithm to learn walking from 20 minutes of robot training data. However, their work assumes", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 505, + 293 + ], + "score": 1.0, + "content": "the availability of a reset policy and therefore comprises of a different learning problem compared", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 305 + ], + "score": 1.0, + "content": "to the problem we tackle of learning to flip over and walk from scratch. Additionally, we show our", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 304, + 439, + 316 + ], + "spans": [ + { + "bbox": [ + 106, + 304, + 439, + 316 + ], + "score": 1.0, + "content": "approach generalizes to environments with image observations and sparse rewards.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 92, + 506, + 316 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 320, + 505, + 506 + ], + "lines": [ + { + "bbox": [ + 106, + 320, + 505, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 320, + 505, + 333 + ], + "score": 1.0, + "content": "RL for manipulation Learning promises to enable robot manipulators to solve contact rich tasks", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 331, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 505, + 344 + ], + "score": 1.0, + "content": "in open real world environments. One class of methods attempts to scale up experience collection", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 343, + 506, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 506, + 356 + ], + "score": 1.0, + "content": "through a fleet of robots (Kalashnikov et al., 2018; 2021; Ebert et al., 2021; Dasari et al., 2019;", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "Levine et al., 2018). In contrast, we only leverage one robot, but parallelize an agent’s experience", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 367, + 505, + 380 + ], + "score": 1.0, + "content": "by using the learned world model. Another common approach is to leverage expert demonstrations", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 391 + ], + "score": 1.0, + "content": "or other task priors (Pinto and Gupta, 2015; Ha and Song, 2021; Xie et al., 2019; Schoettler et al.,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 390, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 505, + 402 + ], + "score": 1.0, + "content": "2019; Sivakumar et al., 2022). James and Davison (2021); James et al. (2021) leverages a few", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "demonstrations to increase the sample-efficiency of Q learning by focusing the learner on important", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 414, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 506, + 426 + ], + "score": 1.0, + "content": "aspects of the scene. Other approaches, as in locomotion, first utilize a simulator, then transfer to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 425, + 506, + 437 + ], + "score": 1.0, + "content": "the real world (Tzeng et al., 2015; Akkaya et al., 2019; OpenAI et al., 2018; Irpan et al., 2020). Our", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 437, + 506, + 449 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 449 + ], + "score": 1.0, + "content": "work focuses on single-robot environments where the agent must learn through a small amount of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 461 + ], + "score": 1.0, + "content": "interaction with the world. Meanwhile, the Google Arm Farm line of work by Levine et al. leverages", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 460, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 126, + 471 + ], + "score": 1.0, + "content": "over", + "type": "text" + }, + { + "bbox": [ + 126, + 460, + 147, + 471 + ], + "score": 0.49, + "content": "5 8 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 461, + 505, + 471 + ], + "score": 1.0, + "content": "grasp attempts gathered by 7 robots and collected over 4 months. We believe that a method", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 472, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 106, + 472, + 505, + 484 + ], + "score": 1.0, + "content": "such as Dreamer could benefit greatly from this scale of training data, however it is unlikely that", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 484, + 504, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 484, + 504, + 495 + ], + "score": 1.0, + "content": "works such as MT-OPT/QT-OPT Kalashnikov et al. (2018; 2021) would work well in the low data", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 496, + 231, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 231, + 507 + ], + "score": 1.0, + "content": "regime that Dreamer excels in.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 320, + 506, + 507 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 511, + 506, + 663 + ], + "lines": [ + { + "bbox": [ + 106, + 510, + 505, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 505, + 523 + ], + "score": 1.0, + "content": "Model-based RL Due to its higher sample-efficiency over model-free methods, model-based RL", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 523, + 505, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 534 + ], + "score": 1.0, + "content": "is a promising approach to learning on real world robots (Deisenroth et al., 2013). A model based", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 547 + ], + "score": 1.0, + "content": "method first learns a dynamics model, which can then be used to plan actions (Nagabandi et al., 2019;", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 546, + 505, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 505, + 558 + ], + "score": 1.0, + "content": "Hafner et al., 2018; Chua et al., 2018; Nagabandi et al., 2017; Becker-Ehmck et al., 2020), or be used", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 558, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 570 + ], + "score": 1.0, + "content": "as a simulator to learn a policy network as in Dreamer (Hafner et al., 2019; 2020). One approach to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "tackle the high visual complexity of the world is to learn an action conditioned video prediction model", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 582, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 505, + 593 + ], + "score": 1.0, + "content": "(Finn and Levine, 2017; Ebert et al., 2018; Finn et al., 2016). One downside of this approach is the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 592, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 506, + 605 + ], + "score": 1.0, + "content": "need to directly predict high dimensional observations, which can be computationally inefficient and", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 605, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 506, + 617 + ], + "score": 1.0, + "content": "easily drift. Dreamer learns a dynamics model in a latent space, allowing more efficient rollouts and", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 617, + 505, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 628 + ], + "score": 1.0, + "content": "avoids relying on high quality visual reconstructions for the policy. Another line of work proposes", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 628, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 505, + 640 + ], + "score": 1.0, + "content": "to learn latent dynamics models without having to reconstruct inputs (Deng et al., 2021; Okada and", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 640, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 505, + 651 + ], + "score": 1.0, + "content": "Taniguchi, 2021; Bharadhwaj et al., 2022; Paster et al., 2021), which we see as a promising approach", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 651, + 353, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 353, + 663 + ], + "score": 1.0, + "content": "for supporting moving view points in cluttered environments.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 510, + 506, + 663 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 71, + 220, + 86 + ], + "lines": [ + { + "bbox": [ + 104, + 69, + 221, + 90 + ], + "spans": [ + { + "bbox": [ + 104, + 69, + 221, + 90 + ], + "score": 1.0, + "content": "D Hyperparameters", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table", + "bbox": [ + 124, + 102, + 483, + 399 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 124, + 102, + 483, + 399 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 124, + 102, + 483, + 399 + ], + "spans": [ + { + "bbox": [ + 124, + 102, + 483, + 399 + ], + "score": 0.985, + "html": "
NameSymbolValue
General
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World Model
RSSM sizeNumber of latentsClasses per latentKL balancing51232320.8
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The RL policy outputs actions at a frequency", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 480, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 505, + 493 + ], + "score": 1.0, + "content": "that is too high for the PD controller to track, which we overcome by lowpass filtering the action", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 491, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 506, + 505 + ], + "score": 1.0, + "content": "sequence. The joint range allows the legs to self-collide with the body, which can be damaging to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "the motors and increase battery consumption. 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We also designed a shell which we 3D printed", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 550, + 451, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 451, + 563 + ], + "score": 1.0, + "content": "in order to better protect the cables and hardware and provide a smoother rolling over.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 106, + 565, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 565, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 505, + 578 + ], + "score": 1.0, + "content": "XArm & UR5 We utilized slanted bins to prevent objects from leaving the work area during the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 578, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 506, + 590 + ], + "score": 1.0, + "content": "long-running pick and place experiments on the UR5, which is common practice Levine et al. 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NameSymbolValue
General
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World Model
RSSM sizeNumber of latentsClasses per latentKL balancing51232320.8
Actor Critic
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All Optimizers
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The RL policy outputs actions at a frequency", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 480, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 505, + 493 + ], + "score": 1.0, + "content": "that is too high for the PD controller to track, which we overcome by lowpass filtering the action", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 491, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 506, + 505 + ], + "score": 1.0, + "content": "sequence. The joint range allows the legs to self-collide with the body, which can be damaging to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "the motors and increase battery consumption. 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We also designed a shell which we 3D printed", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 550, + 451, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 451, + 563 + ], + "score": 1.0, + "content": "in order to better protect the cables and hardware and provide a smoother rolling over.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 466, + 506, + 563 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 565, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 565, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 505, + 578 + ], + "score": 1.0, + "content": "XArm & UR5 We utilized slanted bins to prevent objects from leaving the work area during the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 578, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 506, + 590 + ], + "score": 1.0, + "content": "long-running pick and place experiments on the UR5, which is common practice Levine et al. 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For the XArm we", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 624, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 505, + 637 + ], + "score": 1.0, + "content": "use the uFactory xArm Gripper. For the UR5, we use the Robotiq 2F-85 parallel jaw gripper. The", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 635, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 649 + ], + "score": 1.0, + "content": "bin locations are predetermined and provided as part of the environment to prevent the robot from", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 106, + 648, + 316, + 660 + ], + "score": 1.0, + "content": "colliding with the bin. In addition, movement in the", + "type": "text" + }, + { + "bbox": [ + 317, + 648, + 325, + 658 + ], + "score": 0.31, + "content": "\\textsf { Z }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "axis is only enabled while holding an object", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 660, + 354, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 354, + 672 + ], + "score": 1.0, + "content": "and the gripper automatically opens once above the other bin.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 565, + 506, + 672 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 675, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 675, + 505, + 688 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 285, + 688 + ], + "score": 1.0, + "content": "Sphero We used a rectangular enclosure of", + "type": "text" + }, + { + "bbox": [ + 285, + 675, + 335, + 686 + ], + "score": 0.91, + "content": "0 . 8 \\times 0 . 8 \\mathrm { { m ^ { 2 } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 676, + 505, + 688 + ], + "score": 1.0, + "content": "to keep the sphero robot within the camera", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 700 + ], + "score": 1.0, + "content": "view. We used a simple OpenCV script to estimate the L2 distance between the Sphero and the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "goal position to provide a dense reward for policy optimization. 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The smoother feature map is preferable for", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 303, + 257, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 257, + 317 + ], + "score": 1.0, + "content": "mask-pooling modules in our design.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 345, + 505, + 422 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 506, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 359 + ], + "score": 1.0, + "content": "To overcome the limitations of closed-vocabulary segmentation, open-vocabulary segmentation [48,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "score": 1.0, + "content": "90, 29, 25] has been proposed. 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This encoder can effectively capture the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 410, + 478, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 478, + 424 + ], + "score": 1.0, + "content": "semantic meaning of words and phrases, which is critical for open-vocabulary segmentation.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 426, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "score": 1.0, + "content": "Multi-modal models, such as CLIP [69] and ALIGN [40], have shown promise for open-vocabulary", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "segmentation due to their ability to learn aligned image-text feature representations from large-scale", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "Internet data [74]. 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However,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 536, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 549 + ], + "score": 1.0, + "content": "despite these advances, they still rely on a two-stage framework, where the mask generator and CLIP", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 547, + 500, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 500, + 560 + ], + "score": 1.0, + "content": "classifier extract features from raw images separately, resulting in inefficiency and ineffectiveness.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 563, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "A natural question thus arises as to whether it is possible to unify the mask generator and CLIP", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "classifier into a single-stage framework for open-vocabulary segmentation. 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Existing methods [90, 52, 25, 89] rely on", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "another separate backbone for mask generator, increasing model size and computational costs.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "Second, CLIP models are typically pretrained on relatively lower-resolution inputs, while dense", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 640, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 652 + ], + "score": 1.0, + "content": "prediction tasks require a much higher resolution for optimal performance. 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The smoother feature map is preferable for", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 303, + 257, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 257, + 317 + ], + "score": 1.0, + "content": "mask-pooling modules in our design.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 345, + 505, + 422 + ], + "lines": [ + { + "bbox": [ + 105, + 344, + 506, + 359 + ], + "spans": [ + { + "bbox": [ + 105, + 344, + 506, + 359 + ], + "score": 1.0, + "content": "To overcome the limitations of closed-vocabulary segmentation, open-vocabulary segmentation [48,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 506, + 369 + ], + "score": 1.0, + "content": "90, 29, 25] has been proposed. These approaches uses text embeddings of category names [97],", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 366, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 104, + 366, + 506, + 381 + ], + "score": 1.0, + "content": "represented in natural language, as label embeddings, instead of learning them from the training", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 378, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 506, + 390 + ], + "score": 1.0, + "content": "dataset. By doing so, models can classify objects from a wider vocabulary, which improves their", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 389, + 506, + 402 + ], + "score": 1.0, + "content": "ability to handle a broader range of categories. 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This encoder can effectively capture the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 410, + 478, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 478, + 424 + ], + "score": 1.0, + "content": "semantic meaning of words and phrases, which is critical for open-vocabulary segmentation.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11, + "bbox_fs": [ + 104, + 344, + 506, + 424 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 426, + 505, + 558 + ], + "lines": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 505, + 440 + ], + "score": 1.0, + "content": "Multi-modal models, such as CLIP [69] and ALIGN [40], have shown promise for open-vocabulary", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 438, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 450 + ], + "score": 1.0, + "content": "segmentation due to their ability to learn aligned image-text feature representations from large-scale", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "Internet data [74]. SimBaseline [90] and OVSeg [52] are two recent methods that use a two-stage", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 461, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 472 + ], + "score": 1.0, + "content": "framework to adapt CLIP for open-vocabulary segmentation. In these methods, images are first", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 470, + 505, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 505, + 484 + ], + "score": 1.0, + "content": "processed by a heavy mask generator [36, 20] to obtain mask proposals, and then each masked image", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 481, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 505, + 494 + ], + "score": 1.0, + "content": "crop is generated and fed into a frozen CLIP model for classification. 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However,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 536, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 505, + 549 + ], + "score": 1.0, + "content": "despite these advances, they still rely on a two-stage framework, where the mask generator and CLIP", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 547, + 500, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 500, + 560 + ], + "score": 1.0, + "content": "classifier extract features from raw images separately, resulting in inefficiency and ineffectiveness.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 426, + 506, + 560 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 563, + 505, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "A natural question thus arises as to whether it is possible to unify the mask generator and CLIP", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "classifier into a single-stage framework for open-vocabulary segmentation. 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Existing methods [90, 52, 25, 89] rely on", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 631 + ], + "score": 1.0, + "content": "another separate backbone for mask generator, increasing model size and computational costs.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 642 + ], + "score": 1.0, + "content": "Second, CLIP models are typically pretrained on relatively lower-resolution inputs, while dense", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 640, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 652 + ], + "score": 1.0, + "content": "prediction tasks require a much higher resolution for optimal performance. This makes it difficult", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 651, + 504, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 504, + 663 + ], + "score": 1.0, + "content": "to directly apply CLIP-pretrained backbones to downstream dense prediction tasks, particularly", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 660, + 506, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 506, + 675 + ], + "score": 1.0, + "content": "ViT-based CLIP models [26], where careful treatments are required (e.g., side adapter [17, 91], or", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 673, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 505, + 685 + ], + "score": 1.0, + "content": "cost aggregation [101, 21]). Consequently, existing methods [25, 89] perform mask segmentation", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 683, + 447, + 696 + ], + "spans": [ + { + "bbox": [ + 105, + 683, + 447, + 696 + ], + "score": 1.0, + "content": "and CLIP classification at different input scales, leading to sub-optimal performance.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 564, + 506, + 696 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 700, + 503, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "To alleviate the two challenges, we propose to build both mask generator and CLIP classifier on top of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "a shared Frozen Convolutional CLIP backbone, resulting in a single-stage framework FC-CLIP. Its", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 73, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 506, + 85 + ], + "score": 1.0, + "content": "design is based on the following observations. The frozen CLIP backbone ensures that the pretrained", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 95 + ], + "score": 1.0, + "content": "image-text feature alignment is intact, allowing out-of-vocabulary classification. It can also serve as a", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "strong mask generator by appending a lightweight pixel decoder and mask decoder [20, 94]. The", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "convolutional CLIP, based on a Convolutional Neural Network (CNN) [47], empirically shows a", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "better generalization ability compared to ViT-based CLIP [26], when the input size scales up. This", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 128, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 505, + 139 + ], + "score": 1.0, + "content": "echoes the success of fully convolutional networks [60] in dense prediction tasks. Both observations", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 104, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "are critical for developing a single-stage framework, but they have been overlooked and undiscovered", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "score": 1.0, + "content": "by existing two-stage pipelines [25, 89]. In Fig. 1, we visualize the learned visual representation of", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 159, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 257, + 173 + ], + "score": 1.0, + "content": "ViT-based and CNN-based CLIP via", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 257, + 160, + 263, + 170 + ], + "score": 0.83, + "content": "k", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 264, + 159, + 506, + 173 + ], + "score": 1.0, + "content": "-means clustering [59]. As shown in the figure, the features", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 171, + 401, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 401, + 183 + ], + "score": 1.0, + "content": "learned by CNN-based CLIP are more robust across different input sizes.", + "type": "text", + "cross_page": true + } + ], + "index": 9 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 699, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 182 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 506, + 85 + ], + "score": 1.0, + "content": "design is based on the following observations. The frozen CLIP backbone ensures that the pretrained", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 505, + 95 + ], + "score": 1.0, + "content": "image-text feature alignment is intact, allowing out-of-vocabulary classification. It can also serve as a", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 505, + 107 + ], + "score": 1.0, + "content": "strong mask generator by appending a lightweight pixel decoder and mask decoder [20, 94]. The", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "convolutional CLIP, based on a Convolutional Neural Network (CNN) [47], empirically shows a", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 128 + ], + "score": 1.0, + "content": "better generalization ability compared to ViT-based CLIP [26], when the input size scales up. This", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 128, + 505, + 139 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 505, + 139 + ], + "score": 1.0, + "content": "echoes the success of fully convolutional networks [60] in dense prediction tasks. Both observations", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 104, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 104, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "are critical for developing a single-stage framework, but they have been overlooked and undiscovered", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 162 + ], + "score": 1.0, + "content": "by existing two-stage pipelines [25, 89]. In Fig. 1, we visualize the learned visual representation of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 159, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 257, + 173 + ], + "score": 1.0, + "content": "ViT-based and CNN-based CLIP via", + "type": "text" + }, + { + "bbox": [ + 257, + 160, + 263, + 170 + ], + "score": 0.83, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 159, + 506, + 173 + ], + "score": 1.0, + "content": "-means clustering [59]. As shown in the figure, the features", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 171, + 401, + 183 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 401, + 183 + ], + "score": 1.0, + "content": "learned by CNN-based CLIP are more robust across different input sizes.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 106, + 187, + 505, + 330 + ], + "lines": [ + { + "bbox": [ + 106, + 188, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 505, + 199 + ], + "score": 1.0, + "content": "Surprisingly, the adoption of a single frozen convolutional CLIP as the shared feature extractor results", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "in an extremely simple yet effective design. Specifically, the single-stage FC-CLIP consists of three", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 208, + 506, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 223 + ], + "score": 1.0, + "content": "modules built upon a shared frozen convolutional CLIP backbone: a class-agnostic mask generator,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 106, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "an in-vocabulary classifier, and an out-of-vocabulary classifier (see Fig. 2 for comparison between", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 230, + 506, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 245 + ], + "score": 1.0, + "content": "pipelines). The proposed method not only enjoys a simple design, but also comes with a very low", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 242, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 506, + 254 + ], + "score": 1.0, + "content": "cost for both training and testing. As a comparison, our model has only 238M frozen parameters and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 506, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 265 + ], + "score": 1.0, + "content": "21M trainable parameters, against the state-of-the-art work ODISE [89] that has 1494M frozen and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "28M trainable parameters. Furthermore, our model training only takes 25.6 V100 GPU days, which", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 274, + 505, + 288 + ], + "spans": [ + { + "bbox": [ + 104, + 274, + 116, + 288 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 116, + 275, + 138, + 285 + ], + "score": 0.87, + "content": "7 . 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 274, + 505, + 288 + ], + "score": 1.0, + "content": "faster compared to ODISE’s 192 V100 GPU days. During inference, our model also runs", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 285, + 505, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 128, + 297 + ], + "score": 0.87, + "content": "6 . 6 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 285, + 505, + 299 + ], + "score": 1.0, + "content": "faster. Although FC-CLIP enjoys a simple design, it still outperforms previous methods across", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 297, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 505, + 309 + ], + "score": 1.0, + "content": "multiple datasets. Trained on COCO panoptic dataset only, FC-CLIP surpasses prior state-of-the-art", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 306, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 474, + 321 + ], + "score": 1.0, + "content": "ODISE [89] significantly in a zero-shot manner. Specifically, FC-CLIP achieves 26.8 PQ", + "type": "text" + }, + { + "bbox": [ + 474, + 307, + 502, + 318 + ], + "score": 0.74, + "content": "( + 3 . 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 306, + 506, + 321 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 317, + 504, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 141, + 332 + ], + "score": 1.0, + "content": "18.2 PQ", + "type": "text" + }, + { + "bbox": [ + 142, + 319, + 169, + 330 + ], + "score": 0.73, + "content": "( + 4 . 0 ) ", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 317, + 227, + 332 + ], + "score": 1.0, + "content": ", and 44.0 PQ", + "type": "text" + }, + { + "bbox": [ + 228, + 318, + 259, + 330 + ], + "score": 0.69, + "content": "( + 2 0 . 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 317, + 504, + 332 + ], + "score": 1.0, + "content": "on ADE20K, Mapillary Vistas, and Cityscapes, respectively.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 334, + 505, + 411 + ], + "lines": [ + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "score": 1.0, + "content": "As panoptic segmentation unifies semantic and instance segmentation, FC-CLIP naturally extends", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "to open-vocabulary semantic and instance segmentation. With the same model trained on COCO", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "panoptic data only (i.e., no task-specific fine-tuning), FC-CLIP achieves state-of-the-art performance", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 367, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 458, + 379 + ], + "score": 1.0, + "content": "on open-vocabulary instance and semantic segmentation. Specifically, FC-CLIP achieves", + "type": "text" + }, + { + "bbox": [ + 458, + 367, + 492, + 378 + ], + "score": 0.26, + "content": "1 6 . 8 \\mathrm { A P }", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 368, + 506, + 379 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 312, + 390 + ], + "score": 1.0, + "content": "ADE20K, surpassing the state-of-art ODISE [89] by", + "type": "text" + }, + { + "bbox": [ + 313, + 378, + 334, + 389 + ], + "score": 0.87, + "content": "+ 2 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 378, + 505, + 390 + ], + "score": 1.0, + "content": ". FC-CLIP also outperforms the state-of-art", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 389, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 390, + 402 + ], + "score": 1.0, + "content": "specialized open-vocabulary semantic segmentation model SAN [91] by", + "type": "text" + }, + { + "bbox": [ + 391, + 389, + 413, + 400 + ], + "score": 0.86, + "content": "+ 1 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 389, + 430, + 402 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 430, + 389, + 452, + 400 + ], + "score": 0.86, + "content": "+ 1 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 389, + 505, + 402 + ], + "score": 1.0, + "content": "mIoU on the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 400, + 503, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 503, + 413 + ], + "score": 1.0, + "content": "challenging ADE20K-847 (A-847) and PASCAL-Context-459 (PC-459) benchmarks, respectively.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 416, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 507, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 507, + 429 + ], + "score": 1.0, + "content": "In summary, through the lens of a careful re-design of existing two-stage open-vocabulary segmen-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 427, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 440 + ], + "score": 1.0, + "content": "tation models, we establish a simple, strong, and fast baseline for the community. The proposed", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "score": 1.0, + "content": "FC-CLIP adopts a single-stage framework by exploiting a shared frozen convolutional CLIP, which", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "score": 1.0, + "content": "not only advances the state-of-the-art performances on multiple benchmarks, but also enjoys a practi-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "cally fast training and inference speed. We hope our study will inspire future research on efficient", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 471, + 315, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 315, + 483 + ], + "score": 1.0, + "content": "single-stage open-vocabulary segmentation models.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5 + }, + { + "type": "title", + "bbox": [ + 107, + 502, + 197, + 516 + ], + "lines": [ + { + "bbox": [ + 105, + 501, + 198, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 198, + 518 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 530, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "Vision-language models target at encoding vision and language jointly in a fusion model. Early", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "works [78, 16, 98] extract visual representations by pretrained object detectors and fine-tune on", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "score": 1.0, + "content": "downstream tasks with language supervision. Recently, with the breakthrough of large language", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "models [23, 3], rapid progress has been made in this field. CLIP [69] and ALIGN [40] demonstrate", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "that pretraining dual-encoder models with contrastive objectives on large-scale noisy image-text", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "pairs can learn representation with cross-modal alignment ability and show strong performance in", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 597, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 609 + ], + "score": 1.0, + "content": "zero-shot downstream tasks. The following works [95, 1, 92] further confirm these points and achieve", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 608, + 475, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 475, + 619 + ], + "score": 1.0, + "content": "impressive results in zero-shot transfer learning such as open-vocabulary image recognition.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 624, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 505, + 636 + ], + "score": 1.0, + "content": "Closed-vocabulary segmentation can be divided into three types according to the semantics of the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 634, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 506, + 648 + ], + "score": 1.0, + "content": "grouping pixels, i.e. semantic, instance and panoptic segmentation. Semantic segmentation interprets", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "high-level category semantic concepts. Prior works [9, 72, 10, 11, 13, 28, 96, 86, 99, 30] mainly treat", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "this task as a per-pixel classification problem and build their models on top of the idea of FCN [60].", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "Instance segmentation groups foreground pixels into different object instances. Starting from Mask R-", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "CNN [36], prior works [42, 56, 12, 6, 2, 8, 80, 84, 66] mainly address this task with mask classification,", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "where a set of bounding boxes and binary masks are predicted. Panoptic segmentation seeks for", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "holistic scene understanding including both stuff and things. The pioneering work [44] and prevalent", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 711, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 724 + ], + "score": 1.0, + "content": "ones [55, 43, 87, 18, 50, 82, 14, 67] decompose the problem into various proxy tasks and merge the", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 49 + } + ], + "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": "text", + "bbox": [ + 107, + 72, + 505, + 182 + ], + "lines": [], + "index": 4.5, + "bbox_fs": [ + 104, + 73, + 506, + 183 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 187, + 505, + 330 + ], + "lines": [ + { + "bbox": [ + 106, + 188, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 505, + 199 + ], + "score": 1.0, + "content": "Surprisingly, the adoption of a single frozen convolutional CLIP as the shared feature extractor results", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "in an extremely simple yet effective design. 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The proposed method not only enjoys a simple design, but also comes with a very low", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 242, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 242, + 506, + 254 + ], + "score": 1.0, + "content": "cost for both training and testing. As a comparison, our model has only 238M frozen parameters and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 252, + 506, + 265 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 265 + ], + "score": 1.0, + "content": "21M trainable parameters, against the state-of-the-art work ODISE [89] that has 1494M frozen and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "28M trainable parameters. 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Although FC-CLIP enjoys a simple design, it still outperforms previous methods across", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 297, + 505, + 309 + ], + "spans": [ + { + "bbox": [ + 106, + 297, + 505, + 309 + ], + "score": 1.0, + "content": "multiple datasets. Trained on COCO panoptic dataset only, FC-CLIP surpasses prior state-of-the-art", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 306, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 474, + 321 + ], + "score": 1.0, + "content": "ODISE [89] significantly in a zero-shot manner. Specifically, FC-CLIP achieves 26.8 PQ", + "type": "text" + }, + { + "bbox": [ + 474, + 307, + 502, + 318 + ], + "score": 0.74, + "content": "( + 3 . 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 306, + 506, + 321 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 317, + 504, + 332 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 141, + 332 + ], + "score": 1.0, + "content": "18.2 PQ", + "type": "text" + }, + { + "bbox": [ + 142, + 319, + 169, + 330 + ], + "score": 0.73, + "content": "( + 4 . 0 ) ", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 317, + 227, + 332 + ], + "score": 1.0, + "content": ", and 44.0 PQ", + "type": "text" + }, + { + "bbox": [ + 228, + 318, + 259, + 330 + ], + "score": 0.69, + "content": "( + 2 0 . 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 317, + 504, + 332 + ], + "score": 1.0, + "content": "on ADE20K, Mapillary Vistas, and Cityscapes, respectively.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 16, + "bbox_fs": [ + 104, + 188, + 506, + 332 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 334, + 505, + 411 + ], + "lines": [ + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 506, + 348 + ], + "score": 1.0, + "content": "As panoptic segmentation unifies semantic and instance segmentation, FC-CLIP naturally extends", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 505, + 358 + ], + "score": 1.0, + "content": "to open-vocabulary semantic and instance segmentation. With the same model trained on COCO", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 505, + 369 + ], + "score": 1.0, + "content": "panoptic data only (i.e., no task-specific fine-tuning), FC-CLIP achieves state-of-the-art performance", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 367, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 368, + 458, + 379 + ], + "score": 1.0, + "content": "on open-vocabulary instance and semantic segmentation. Specifically, FC-CLIP achieves", + "type": "text" + }, + { + "bbox": [ + 458, + 367, + 492, + 378 + ], + "score": 0.26, + "content": "1 6 . 8 \\mathrm { A P }", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 368, + 506, + 379 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 378, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 312, + 390 + ], + "score": 1.0, + "content": "ADE20K, surpassing the state-of-art ODISE [89] by", + "type": "text" + }, + { + "bbox": [ + 313, + 378, + 334, + 389 + ], + "score": 0.87, + "content": "+ 2 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 378, + 505, + 390 + ], + "score": 1.0, + "content": ". FC-CLIP also outperforms the state-of-art", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 389, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 390, + 402 + ], + "score": 1.0, + "content": "specialized open-vocabulary semantic segmentation model SAN [91] by", + "type": "text" + }, + { + "bbox": [ + 391, + 389, + 413, + 400 + ], + "score": 0.86, + "content": "+ 1 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 389, + 430, + 402 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 430, + 389, + 452, + 400 + ], + "score": 0.86, + "content": "+ 1 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 389, + 505, + 402 + ], + "score": 1.0, + "content": "mIoU on the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 400, + 503, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 503, + 413 + ], + "score": 1.0, + "content": "challenging ADE20K-847 (A-847) and PASCAL-Context-459 (PC-459) benchmarks, respectively.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 334, + 506, + 413 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 416, + 505, + 482 + ], + "lines": [ + { + "bbox": [ + 105, + 415, + 507, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 507, + 429 + ], + "score": 1.0, + "content": "In summary, through the lens of a careful re-design of existing two-stage open-vocabulary segmen-", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 427, + 505, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 440 + ], + "score": 1.0, + "content": "tation models, we establish a simple, strong, and fast baseline for the community. The proposed", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "score": 1.0, + "content": "FC-CLIP adopts a single-stage framework by exploiting a shared frozen convolutional CLIP, which", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "score": 1.0, + "content": "not only advances the state-of-the-art performances on multiple benchmarks, but also enjoys a practi-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 473 + ], + "score": 1.0, + "content": "cally fast training and inference speed. We hope our study will inspire future research on efficient", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 471, + 315, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 315, + 483 + ], + "score": 1.0, + "content": "single-stage open-vocabulary segmentation models.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 415, + 507, + 483 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 502, + 197, + 516 + ], + "lines": [ + { + "bbox": [ + 105, + 501, + 198, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 198, + 518 + ], + "score": 1.0, + "content": "2 Related Work", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 530, + 505, + 618 + ], + "lines": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 543 + ], + "score": 1.0, + "content": "Vision-language models target at encoding vision and language jointly in a fusion model. Early", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "works [78, 16, 98] extract visual representations by pretrained object detectors and fine-tune on", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 505, + 566 + ], + "score": 1.0, + "content": "downstream tasks with language supervision. Recently, with the breakthrough of large language", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "models [23, 3], rapid progress has been made in this field. CLIP [69] and ALIGN [40] demonstrate", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 505, + 587 + ], + "score": 1.0, + "content": "that pretraining dual-encoder models with contrastive objectives on large-scale noisy image-text", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "pairs can learn representation with cross-modal alignment ability and show strong performance in", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 597, + 505, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 609 + ], + "score": 1.0, + "content": "zero-shot downstream tasks. The following works [95, 1, 92] further confirm these points and achieve", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 608, + 475, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 475, + 619 + ], + "score": 1.0, + "content": "impressive results in zero-shot transfer learning such as open-vocabulary image recognition.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 530, + 506, + 619 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 624, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 505, + 636 + ], + "score": 1.0, + "content": "Closed-vocabulary segmentation can be divided into three types according to the semantics of the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 634, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 506, + 648 + ], + "score": 1.0, + "content": "grouping pixels, i.e. semantic, instance and panoptic segmentation. Semantic segmentation interprets", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "high-level category semantic concepts. Prior works [9, 72, 10, 11, 13, 28, 96, 86, 99, 30] mainly treat", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "this task as a per-pixel classification problem and build their models on top of the idea of FCN [60].", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "Instance segmentation groups foreground pixels into different object instances. Starting from Mask R-", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "CNN [36], prior works [42, 56, 12, 6, 2, 8, 80, 84, 66] mainly address this task with mask classification,", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "where a set of bounding boxes and binary masks are predicted. Panoptic segmentation seeks for", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "holistic scene understanding including both stuff and things. The pioneering work [44] and prevalent", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 106, + 711, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 724 + ], + "score": 1.0, + "content": "ones [55, 43, 87, 18, 50, 82, 14, 67] decompose the problem into various proxy tasks and merge the", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 361, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 506, + 374 + ], + "score": 1.0, + "content": "results in the end. Recently, following DETR [7], most works [83, 76, 19, 20, 51, 93, 94, 39, 49, 77]", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 372, + 507, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 507, + 385 + ], + "score": 1.0, + "content": "present end-to-end solutions based on the idea of mask classification. Standing on their shoulders,", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "our proposed method builds on top of the pixel decoder and mask decoder of Mask2Former [20] by", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 394, + 426, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 426, + 407 + ], + "score": 1.0, + "content": "additionally exploiting the open-vocabulary recognition ability from CLIP [69].", + "type": "text", + "cross_page": true + } + ], + "index": 16 + } + ], + "index": 49, + "bbox_fs": [ + 105, + 624, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 119, + 70, + 490, + 219 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 119, + 70, + 490, + 219 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 119, + 70, + 490, + 219 + ], + "spans": [ + { + "bbox": [ + 119, + 70, + 490, + 219 + ], + "score": 0.963, + "type": "image", + "image_path": "145e50b35132b4f6bbd418a7573e6d7f442c94af26cb54a19820007c343c33db.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 119, + 70, + 490, + 119.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 119, + 119.66666666666666, + 490, + 169.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 119, + 169.33333333333331, + 490, + 218.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 228, + 505, + 337 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 227, + 506, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 506, + 241 + ], + "score": 1.0, + "content": "Figure 2: Comparisons between open-vocabulary panoptic segmentation pipelines. Left: Existing", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 237, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 505, + 253 + ], + "score": 1.0, + "content": "methods [25, 89] adopt a two-stage pipeline, where the first stage employs a high-resolution image", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 250, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 506, + 262 + ], + "score": 1.0, + "content": "to generate class-agnostic masks, and the second stage feeds both the low-resolution image and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "score": 1.0, + "content": "predicted masks to a frozen CLIP backbone for open-vocabulary recognition. This incurs heavy", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "score": 1.0, + "content": "computation, as image features are extracted multiple times. Middle: A naïve single-stage framework", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 281, + 506, + 296 + ], + "spans": [ + { + "bbox": [ + 104, + 281, + 506, + 296 + ], + "score": 1.0, + "content": "builds everything together and fine-tunes the CLIP backbone, breaking the pretrained alignment", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 293, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 505, + 306 + ], + "score": 1.0, + "content": "between images and texts. Right: Our single-stage framework FC-CLIP employs a shared frozen", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "convolutional CLIP, where \"frozen CLIP\" maintains the open-vocabulary recognition and can serve", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 315, + 506, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 328 + ], + "score": 1.0, + "content": "as a strong mask generator, and \"convolutional CLIP\" generalizes well to large input sizes. Note that", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 326, + 500, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 500, + 339 + ], + "score": 1.0, + "content": "the predicted masks are used for CLIP recognition in all three schemes (not shown for simplicity).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7.5 + } + ], + "index": 4.25 + }, + { + "type": "text", + "bbox": [ + 107, + 361, + 505, + 406 + ], + "lines": [ + { + "bbox": [ + 105, + 361, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 506, + 374 + ], + "score": 1.0, + "content": "results in the end. Recently, following DETR [7], most works [83, 76, 19, 20, 51, 93, 94, 39, 49, 77]", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 372, + 507, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 507, + 385 + ], + "score": 1.0, + "content": "present end-to-end solutions based on the idea of mask classification. Standing on their shoulders,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "our proposed method builds on top of the pixel decoder and mask decoder of Mask2Former [20] by", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 394, + 426, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 426, + 407 + ], + "score": 1.0, + "content": "additionally exploiting the open-vocabulary recognition ability from CLIP [69].", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 107, + 411, + 505, + 542 + ], + "lines": [ + { + "bbox": [ + 106, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 506, + 424 + ], + "score": 1.0, + "content": "Open-vocabulary segmentation aims at segmenting arbitrary classes including those that can not be", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 421, + 504, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 504, + 434 + ], + "score": 1.0, + "content": "accessed during the training procedure. Priors works [48, 29, 90, 52, 24, 88, 101, 91, 104, 62, 102, 32]", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 432, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 505, + 446 + ], + "score": 1.0, + "content": "perform open-vocabulary semantic segmentation through leveraging large pretrained vision-language", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "models [69, 40, 71]. Recently, MaskCLIP [25] presents a two-stage pipeline, which consists of a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 455, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 466 + ], + "score": 1.0, + "content": "class-agnostic mask generator and a frozen CLIP [69] encoder for cross-modal alignment, and thus", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "expands the scope of the CLIP models into open-vocabulary panoptic segmentation. ODISE [89]", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "score": 1.0, + "content": "digs out the innate potential of pretrained text-image diffusion models [71] in terms of the ability to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "score": 1.0, + "content": "present open concepts in the representation space for performing strong open-vocabulary panoptic", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 498, + 507, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 507, + 511 + ], + "score": 1.0, + "content": "segmentation. FreeSeg [68] encodes multi-granularity concepts into a compact textural abstraction,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "score": 1.0, + "content": "enabling generalizability to arbitrary text description. Unlike those methods, we propose a single-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 519, + 507, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 507, + 534 + ], + "score": 1.0, + "content": "stage framework by exploiting a single frozen convolutional CLIP backbone, resulting in a simpler,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 531, + 295, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 295, + 543 + ], + "score": 1.0, + "content": "faster, and stronger model than existing works.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 547, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 546, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 560 + ], + "score": 1.0, + "content": "We also note that the pioneering work F-VLM [46] builds an open-vocabulary detection framework on", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 558, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 506, + 570 + ], + "score": 1.0, + "content": "top of a frozen CLIP backbone. However, FC-CLIP differs from it with a totally different observation", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "score": 1.0, + "content": "and motivation. Specifically, our work was initially motivated by the state-of-art open-vocabulary", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "segmentation model ODISE [89], which found that the CLIP backbone extracts noisier features than", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "diffusion models (Figure B. 1. in [89]), leading to inferior segmentation results (which justifies", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 601, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 506, + 614 + ], + "score": 1.0, + "content": "their adoption of diffusion models). Their observation motivated us to look deeply into the problem.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "score": 1.0, + "content": "Interestingly, our discoveries show that both ViT-based (used by ODISE [89]) and CNN-based", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "score": 1.0, + "content": "CLIP can produce semantic-meaningful features. 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Left: Existing", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 237, + 505, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 237, + 505, + 253 + ], + "score": 1.0, + "content": "methods [25, 89] adopt a two-stage pipeline, where the first stage employs a high-resolution image", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 250, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 506, + 262 + ], + "score": 1.0, + "content": "to generate class-agnostic masks, and the second stage feeds both the low-resolution image and", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 274 + ], + "score": 1.0, + "content": "predicted masks to a frozen CLIP backbone for open-vocabulary recognition. This incurs heavy", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 284 + ], + "score": 1.0, + "content": "computation, as image features are extracted multiple times. Middle: A naïve single-stage framework", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 281, + 506, + 296 + ], + "spans": [ + { + "bbox": [ + 104, + 281, + 506, + 296 + ], + "score": 1.0, + "content": "builds everything together and fine-tunes the CLIP backbone, breaking the pretrained alignment", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 293, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 505, + 306 + ], + "score": 1.0, + "content": "between images and texts. Right: Our single-stage framework FC-CLIP employs a shared frozen", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 317 + ], + "score": 1.0, + "content": "convolutional CLIP, where \"frozen CLIP\" maintains the open-vocabulary recognition and can serve", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 315, + 506, + 328 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 506, + 328 + ], + "score": 1.0, + "content": "as a strong mask generator, and \"convolutional CLIP\" generalizes well to large input sizes. Note that", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 326, + 500, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 500, + 339 + ], + "score": 1.0, + "content": "the predicted masks are used for CLIP recognition in all three schemes (not shown for simplicity).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7.5 + } + ], + "index": 4.25 + }, + { + "type": "text", + "bbox": [ + 107, + 361, + 505, + 406 + ], + "lines": [], + "index": 14.5, + "bbox_fs": [ + 105, + 361, + 507, + 407 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 411, + 505, + 542 + ], + "lines": [ + { + "bbox": [ + 106, + 411, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 506, + 424 + ], + "score": 1.0, + "content": "Open-vocabulary segmentation aims at segmenting arbitrary classes including those that can not be", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 421, + 504, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 504, + 434 + ], + "score": 1.0, + "content": "accessed during the training procedure. Priors works [48, 29, 90, 52, 24, 88, 101, 91, 104, 62, 102, 32]", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 432, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 505, + 446 + ], + "score": 1.0, + "content": "perform open-vocabulary semantic segmentation through leveraging large pretrained vision-language", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "models [69, 40, 71]. Recently, MaskCLIP [25] presents a two-stage pipeline, which consists of a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 455, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 505, + 466 + ], + "score": 1.0, + "content": "class-agnostic mask generator and a frozen CLIP [69] encoder for cross-modal alignment, and thus", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "expands the scope of the CLIP models into open-vocabulary panoptic segmentation. ODISE [89]", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "score": 1.0, + "content": "digs out the innate potential of pretrained text-image diffusion models [71] in terms of the ability to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "score": 1.0, + "content": "present open concepts in the representation space for performing strong open-vocabulary panoptic", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 498, + 507, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 507, + 511 + ], + "score": 1.0, + "content": "segmentation. FreeSeg [68] encodes multi-granularity concepts into a compact textural abstraction,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 522 + ], + "score": 1.0, + "content": "enabling generalizability to arbitrary text description. Unlike those methods, we propose a single-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 519, + 507, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 507, + 534 + ], + "score": 1.0, + "content": "stage framework by exploiting a single frozen convolutional CLIP backbone, resulting in a simpler,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 531, + 295, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 295, + 543 + ], + "score": 1.0, + "content": "faster, and stronger model than existing works.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 411, + 507, + 543 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 547, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 546, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 560 + ], + "score": 1.0, + "content": "We also note that the pioneering work F-VLM [46] builds an open-vocabulary detection framework on", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 558, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 506, + 570 + ], + "score": 1.0, + "content": "top of a frozen CLIP backbone. However, FC-CLIP differs from it with a totally different observation", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 505, + 582 + ], + "score": 1.0, + "content": "and motivation. Specifically, our work was initially motivated by the state-of-art open-vocabulary", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "segmentation model ODISE [89], which found that the CLIP backbone extracts noisier features than", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "diffusion models (Figure B. 1. in [89]), leading to inferior segmentation results (which justifies", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 601, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 506, + 614 + ], + "score": 1.0, + "content": "their adoption of diffusion models). Their observation motivated us to look deeply into the problem.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 505, + 624 + ], + "score": 1.0, + "content": "Interestingly, our discoveries show that both ViT-based (used by ODISE [89]) and CNN-based", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "score": 1.0, + "content": "CLIP can produce semantic-meaningful features. However, when scaling up the input resolutions,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 635, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 505, + 647 + ], + "score": 1.0, + "content": "we discover that ViT-based CLIP features turn noisier, while CNN-based ones are smoother and", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "generalize better across input sizes. F-VLM [46] also empirically found that a frozen CLIP can", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 656, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 668 + ], + "score": 1.0, + "content": "provide meaningful features for object detection. However, they did not choose CNN-based CLIP on", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 667, + 507, + 680 + ], + "spans": [ + { + "bbox": [ + 104, + 667, + 507, + 680 + ], + "score": 1.0, + "content": "purpose and thus did not compare carefully between ViT-based and CNN-based CLIP backbones.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "On the other hand, in our paper, we have provided careful ablation studies on ViT-based and CNN-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "based CLIP, where we observe that even though both ViT-based and CNN-based CLIP initially", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "have comparable performance at resolution 224, CNN-based CLIP shows better and more robust", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 711, + 289, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 289, + 725 + ], + "score": 1.0, + "content": "performance when input resolution scales up.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 36.5, + "bbox_fs": [ + 104, + 546, + 507, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 84, + 505, + 184 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 84, + 505, + 184 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 84, + 505, + 184 + ], + "spans": [ + { + "bbox": [ + 108, + 84, + 505, + 184 + ], + "score": 0.964, + "type": "image", + "image_path": "4bc84f63ef1e86053e84eacd0a6406a0b8cf125a36e19bd9f9f34ee8ca8d3001.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 84, + 505, + 117.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 117.33333333333334, + 505, + 150.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 150.66666666666669, + 505, + 184.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 200, + 506, + 311 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 200, + 506, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 506, + 214 + ], + "score": 1.0, + "content": "Figure 3: Overview of FC-CLIP, which contains three main components: mask generator, an", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 212, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 506, + 225 + ], + "score": 1.0, + "content": "in-vocabulary (in-vocab) classifier, and an out-of-vocabulary (out-vocab) classifier. All components", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 222, + 506, + 235 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 506, + 235 + ], + "score": 1.0, + "content": "build on top of a shared frozen covolutional CLIP backbone. The pixel decoder and mask decoder", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 233, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 506, + 246 + ], + "score": 1.0, + "content": "follow the design of Mask2Former, and generate class-agnostic masks. The in-vocabulary classifier", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 243, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 104, + 243, + 506, + 259 + ], + "score": 1.0, + "content": "yields the class embeddings by mask-pooling over final pixel features from pixel decoder. During", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "score": 1.0, + "content": "testing, FC-CLIP additionally exploits the out-of-vocabulary classifier by mask-pooling over frozen", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 266, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 505, + 279 + ], + "score": 1.0, + "content": "CLIP backbone features, and the final class prediction is obtained by geometric ensembling both", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 276, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 290 + ], + "score": 1.0, + "content": "classifiers. Note that the text embeddings are obtained by feeding category names into a CLIP text", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 288, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 506, + 301 + ], + "score": 1.0, + "content": "encoder, which are done beforehand and cached in memory, thus causing no additional costs. Also,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 299, + 501, + 312 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 501, + 312 + ], + "score": 1.0, + "content": "the class-agnostic mask proposals are fed to the mask pooling modules (not shown for simplicity).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 7.5 + } + ], + "index": 4.25 + }, + { + "type": "title", + "bbox": [ + 107, + 331, + 166, + 345 + ], + "lines": [ + { + "bbox": [ + 104, + 330, + 168, + 347 + ], + "spans": [ + { + "bbox": [ + 104, + 330, + 168, + 347 + ], + "score": 1.0, + "content": "3 Method", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 357, + 504, + 380 + ], + "lines": [ + { + "bbox": [ + 106, + 357, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 505, + 370 + ], + "score": 1.0, + "content": "In this section, we first define the problem of open-vocabulary segmentation. We then introduce the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 368, + 461, + 381 + ], + "spans": [ + { + "bbox": [ + 106, + 368, + 461, + 381 + ], + "score": 1.0, + "content": "existing two-stage pipeline, followed by our proposed single-stage framework FC-CLIP.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 106, + 384, + 505, + 407 + ], + "lines": [ + { + "bbox": [ + 104, + 382, + 507, + 398 + ], + "spans": [ + { + "bbox": [ + 104, + 382, + 428, + 398 + ], + "score": 1.0, + "content": "Problem Definition Open-vocabulary segmentation aims to segment the image", + "type": "text" + }, + { + "bbox": [ + 429, + 383, + 486, + 395 + ], + "score": 0.9, + "content": "\\mathbf { I } \\in \\mathbb { R } ^ { H \\times W \\times 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 382, + 507, + 398 + ], + "score": 1.0, + "content": "into", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 395, + 295, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 295, + 407 + ], + "score": 1.0, + "content": "a set of masks with associated semantic labels:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + }, + { + "type": "interline_equation", + "bbox": [ + 252, + 421, + 359, + 437 + ], + "lines": [ + { + "bbox": [ + 252, + 421, + 359, + 437 + ], + "spans": [ + { + "bbox": [ + 252, + 421, + 359, + 437 + ], + "score": 0.91, + "content": "\\{ y _ { i } \\} _ { i = 1 } ^ { K } = \\{ ( m _ { i } , c _ { i } ) \\} _ { i = 1 } ^ { K } .", + "type": "interline_equation", + "image_path": "d4f921c03e96dde4b3e680f64737b69464c47b3614818706e3452da6d705c091.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 252, + 421, + 359, + 437 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 446, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 103, + 445, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 103, + 445, + 298, + 462 + ], + "score": 1.0, + "content": "The K ground truth masks mi ∈ {0, 1}H×W", + "type": "text" + }, + { + "bbox": [ + 294, + 447, + 506, + 461 + ], + "score": 1.0, + "content": "contain the corresponding ground truth class label", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 459, + 507, + 473 + ], + "spans": [ + { + "bbox": [ + 107, + 462, + 115, + 470 + ], + "score": 0.79, + "content": "c _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 459, + 289, + 473 + ], + "score": 1.0, + "content": ". During training, a fixed set of class labels", + "type": "text" + }, + { + "bbox": [ + 290, + 460, + 317, + 471 + ], + "score": 0.92, + "content": "C _ { t r a i n }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 459, + 507, + 473 + ], + "score": 1.0, + "content": "is used, while during inference, another set of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 104, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 104, + 469, + 149, + 483 + ], + "score": 1.0, + "content": "categories", + "type": "text" + }, + { + "bbox": [ + 149, + 471, + 172, + 482 + ], + "score": 0.9, + "content": "C _ { t e s t }", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 469, + 332, + 483 + ], + "score": 1.0, + "content": "is used. In the open-vocabulary setting,", + "type": "text" + }, + { + "bbox": [ + 333, + 471, + 355, + 482 + ], + "score": 0.9, + "content": "C _ { t e s t }", + "type": "inline_equation" + }, + { + "bbox": [ + 355, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "may contain novel categories unseen", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 481, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 188, + 495 + ], + "score": 1.0, + "content": "during training, i.e.,", + "type": "text" + }, + { + "bbox": [ + 188, + 482, + 250, + 493 + ], + "score": 0.9, + "content": "C _ { t r a i n } \\neq C _ { t e s t }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 481, + 505, + 495 + ], + "score": 1.0, + "content": ". We follow previous works [25, 89] and assume the availability", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 491, + 425, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 207, + 506 + ], + "score": 1.0, + "content": "of the category names of", + "type": "text" + }, + { + "bbox": [ + 208, + 493, + 230, + 504 + ], + "score": 0.9, + "content": "C _ { t e s t }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 491, + 425, + 506 + ], + "score": 1.0, + "content": "(represented in natural language) during testing.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 508, + 505, + 552 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 522 + ], + "score": 1.0, + "content": "Two-Stage Open-Vocabulary Segmentation Existing works [90, 52, 25, 89] adopt a two-stage", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "pipeline for open-vocabulary segmentation. 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We follow previous works [25, 89] and assume the availability", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 491, + 425, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 207, + 506 + ], + "score": 1.0, + "content": "of the category names of", + "type": "text" + }, + { + "bbox": [ + 208, + 493, + 230, + 504 + ], + "score": 0.9, + "content": "C _ { t e s t }", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 491, + 425, + 506 + ], + "score": 1.0, + "content": "(represented in natural language) during testing.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21, + "bbox_fs": [ + 103, + 445, + 507, + 506 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 508, + 505, + 552 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 505, + 522 + ], + "score": 1.0, + "content": "Two-Stage Open-Vocabulary Segmentation Existing works [90, 52, 25, 89] adopt a two-stage", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "pipeline for open-vocabulary segmentation. The first stage contains a class-agnostic mask generator", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 107, + 528, + 508, + 545 + ], + "spans": [ + { + "bbox": [ + 107, + 531, + 120, + 541 + ], + "score": 0.8, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 528, + 187, + 545 + ], + "score": 1.0, + "content": "with parameters", + "type": "text" + }, + { + "bbox": [ + 188, + 531, + 203, + 541 + ], + "score": 0.9, + "content": "\\theta _ { \\mathcal { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 528, + 294, + 545 + ], + "score": 1.0, + "content": "that generates a set of", + "type": "text" + }, + { + "bbox": [ + 294, + 531, + 304, + 540 + ], + "score": 0.83, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 528, + 371, + 545 + ], + "score": 1.0, + "content": "mask proposals", + "type": "text" + }, + { + "bbox": [ + 371, + 529, + 462, + 543 + ], + "score": 0.93, + "content": "\\{ \\hat { m } _ { i } \\} _ { i = 1 } ^ { N } \\stackrel { \\smile } { \\in } \\mathbb { R } ^ { N \\times H \\times W }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 528, + 508, + 545 + ], + "score": 1.0, + "content": ", given the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 541, + 166, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 156, + 553 + ], + "score": 1.0, + "content": "input image", + "type": "text" + }, + { + "bbox": [ + 156, + 542, + 162, + 551 + ], + "score": 0.25, + "content": "\\mathbf { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 541, + 166, + 553 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5, + "bbox_fs": [ + 105, + 507, + 508, + 553 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 256, + 552, + 355, + 568 + ], + "lines": [ + { + "bbox": [ + 256, + 552, + 355, + 568 + ], + "spans": [ + { + "bbox": [ + 256, + 552, + 355, + 568 + ], + "score": 0.92, + "content": "\\{ \\hat { m } _ { i } \\} _ { i = 1 } ^ { N } = \\mathcal { M } ( \\mathbf { I } ; \\boldsymbol { \\theta } _ { \\mathcal { M } } ) .", + "type": "interline_equation", + "image_path": "03d7a80b81eab4b29004092d3cc9f52071882611c978cc90b24f25f573962af3.jpg" + } + ] + } + ], + "index": 28, + "virtual_lines": [ + { + "bbox": [ + 256, + 552, + 355, + 568 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 576, + 505, + 620 + ], + "lines": [ + { + "bbox": [ + 104, + 576, + 507, + 591 + ], + "spans": [ + { + "bbox": [ + 104, + 576, + 254, + 591 + ], + "score": 1.0, + "content": "In the second stage, a CLIP adapter", + "type": "text" + }, + { + "bbox": [ + 254, + 577, + 263, + 587 + ], + "score": 0.83, + "content": "\\mathcal { P }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 576, + 336, + 591 + ], + "score": 1.0, + "content": "takes both image", + "type": "text" + }, + { + "bbox": [ + 336, + 577, + 343, + 587 + ], + "score": 0.3, + "content": "\\mathbf { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 576, + 427, + 591 + ], + "score": 1.0, + "content": "and mask proposals", + "type": "text" + }, + { + "bbox": [ + 428, + 576, + 464, + 589 + ], + "score": 0.94, + "content": "\\{ \\hat { m } _ { i } \\} _ { i = 1 } ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 576, + 507, + 591 + ], + "score": 1.0, + "content": "as inputs,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 587, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 346, + 600 + ], + "score": 1.0, + "content": "where the latter input is used to guide the frozen CLIP model", + "type": "text" + }, + { + "bbox": [ + 346, + 588, + 379, + 598 + ], + "score": 0.88, + "content": "C L I P ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 587, + 384, + 600 + ], + "score": 1.0, + "content": "(", + "type": "text" + }, + { + "bbox": [ + 384, + 588, + 389, + 597 + ], + "score": 0.65, + "content": "^ *", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 587, + 506, + 600 + ], + "score": 1.0, + "content": "denotes frozen). The adapter", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 599, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 506, + 612 + ], + "score": 1.0, + "content": "performs mask classification through forwarding processes with either masked crops [90, 52] or", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 610, + 213, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 213, + 622 + ], + "score": 1.0, + "content": "masked attention [25, 89]:", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 576, + 507, + 622 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 231, + 619, + 378, + 635 + ], + "lines": [ + { + "bbox": [ + 231, + 619, + 378, + 635 + ], + "spans": [ + { + "bbox": [ + 231, + 619, + 378, + 635 + ], + "score": 0.93, + "content": "\\{ \\hat { c } _ { i } \\} _ { i = 1 } ^ { N } = \\mathcal { P } ( \\mathbf { I } , \\{ \\hat { m } _ { i } \\} _ { i = 1 } ^ { N } ; C L I P ^ { * } ) ,", + "type": "interline_equation", + "image_path": "394f4042e99868bb6b3f4bc9f6c5050fb9c7089e8ac9b25b0dada611486e1530.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 231, + 619, + 378, + 635 + ], + "spans": [], + "index": 33 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 639, + 506, + 663 + ], + "lines": [ + { + "bbox": [ + 104, + 636, + 508, + 654 + ], + "spans": [ + { + "bbox": [ + 104, + 636, + 135, + 654 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 638, + 214, + 651 + ], + "score": 0.91, + "content": "\\{ \\hat { c } _ { i } \\} _ { i = 1 } ^ { N } \\in \\mathbb { R } ^ { N \\times | C | }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 636, + 421, + 654 + ], + "score": 1.0, + "content": "refers to the predicted class probabilities for the", + "type": "text" + }, + { + "bbox": [ + 422, + 640, + 432, + 650 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 636, + 508, + 654 + ], + "score": 1.0, + "content": "predicted masks,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 107, + 648, + 463, + 665 + ], + "spans": [ + { + "bbox": [ + 107, + 651, + 190, + 663 + ], + "score": 0.91, + "content": "C \\in \\{ C _ { t r a i n } , C _ { t e s t } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 648, + 366, + 665 + ], + "score": 1.0, + "content": "depending on training or testing phase, and", + "type": "text" + }, + { + "bbox": [ + 366, + 651, + 380, + 663 + ], + "score": 0.9, + "content": "| C |", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 648, + 463, + 665 + ], + "score": 1.0, + "content": "is the category size.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34.5, + "bbox_fs": [ + 104, + 636, + 508, + 665 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 106, + 666, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 505, + 680 + ], + "score": 1.0, + "content": "Although this framework has achieved impressive open-vocabulary segmentation performance, it has", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "two limitations. First, the image features are extracted twice, once for mask generation and the other", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "for mask classification. The double feature extractions incur heavy computation, making it costly", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "to scale up backbone parameters. Second, the mask generator often requires high-resolution inputs", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 709, + 507, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 128, + 725 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 128, + 711, + 182, + 722 + ], + "score": 0.8, + "content": "1 0 2 4 \\times 1 0 2 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 709, + 507, + 725 + ], + "score": 1.0, + "content": ", whereas the CLIP model is usually pretrained with lower-resolution images (e.g.,", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 666, + 507, + 725 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 72, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 151, + 84 + ], + "score": 0.85, + "content": "2 2 4 \\times 2 2 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 72, + 505, + 86 + ], + "score": 1.0, + "content": ". The two-stage pipeline thus needs to feed high-resolution images into the mask generator", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 430, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 430, + 96 + ], + "score": 1.0, + "content": "and low-resolution images into the CLIP classifier, making the model inefficient.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 100, + 505, + 144 + ], + "lines": [ + { + "bbox": [ + 106, + 100, + 505, + 112 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 112 + ], + "score": 1.0, + "content": "Naïve Single-Stage Open-Vocabulary Segmentation To avoid increasing the model size and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 111, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 506, + 123 + ], + "score": 1.0, + "content": "computational cost of duplicate feature extractions, one may naïvely formulate everything together", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 122, + 504, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 123, + 231, + 134 + ], + "score": 1.0, + "content": "into a single-stage framework", + "type": "text" + }, + { + "bbox": [ + 232, + 122, + 241, + 132 + ], + "score": 0.85, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 123, + 504, + 134 + ], + "score": 1.0, + "content": ", where both mask generator and mask classifier share the same", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 133, + 479, + 146 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 215, + 146 + ], + "score": 1.0, + "content": "CLIP-pretrained backbone", + "type": "text" + }, + { + "bbox": [ + 215, + 133, + 244, + 142 + ], + "score": 0.78, + "content": "C L I P", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 133, + 479, + 146 + ], + "score": 1.0, + "content": "(not frozen) for extracting features from an input image I:", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5 + }, + { + "type": "interline_equation", + "bbox": [ + 237, + 147, + 374, + 162 + ], + "lines": [ + { + "bbox": [ + 237, + 147, + 374, + 162 + ], + "spans": [ + { + "bbox": [ + 237, + 147, + 374, + 162 + ], + "score": 0.92, + "content": "\\{ \\hat { m } _ { i } , \\hat { c } _ { i } \\} _ { i = 1 } ^ { N } = \\mathcal { F } ( \\mathbf { I } ; C L I P , \\theta _ { M } ) .", + "type": "interline_equation", + "image_path": "15aeb640fd406aed3d2db535a9f25829aaa9e4c009bd7daafb2e95f64b6a5c2a.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 237, + 147, + 374, + 162 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 168, + 506, + 368 + ], + "lines": [ + { + "bbox": [ + 105, + 170, + 506, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 506, + 182 + ], + "score": 1.0, + "content": "However, we empirically discover that fine-tuning this naïve single-stage framework causes a mis-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 181, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 506, + 194 + ], + "score": 1.0, + "content": "alignment between image and text features in the pretrained CLIP model, leading to sub-optimal", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 471, + 205 + ], + "score": 1.0, + "content": "performance, especially for novel unseen classes. It also increases the training costs by", + "type": "text" + }, + { + "bbox": [ + 471, + 192, + 493, + 203 + ], + "score": 0.86, + "content": "2 . 1 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 192, + 506, + 205 + ], + "score": 1.0, + "content": "to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 201, + 507, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 507, + 216 + ], + "score": 1.0, + "content": "52.8 GPU days. Interestingly, our experiments also show that a frozen CLIP backbone can pro-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "score": 1.0, + "content": "vide sufficient features for mask generation, while preserving the image-text aligned representation.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 224, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 506, + 238 + ], + "score": 1.0, + "content": "Nevertheless, we still face another challenge, where CLIP models are usually pretrained on low-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 204, + 248 + ], + "score": 1.0, + "content": "resolution images (e.g.,", + "type": "text" + }, + { + "bbox": [ + 204, + 236, + 249, + 246 + ], + "score": 0.87, + "content": "2 2 4 \\times 2 2 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "), whereas segmentation models prefer higher-resolution inputs", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 245, + 507, + 259 + ], + "spans": [ + { + "bbox": [ + 104, + 245, + 128, + 259 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 128, + 246, + 177, + 257 + ], + "score": 0.89, + "content": "8 0 0 \\times 1 3 3 3", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 245, + 235, + 259 + ], + "score": 1.0, + "content": "for COCO, or", + "type": "text" + }, + { + "bbox": [ + 235, + 246, + 288, + 257 + ], + "score": 0.9, + "content": "1 0 2 4 \\times 2 0 4 8", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 245, + 507, + 259 + ], + "score": 1.0, + "content": "for Cityscapes). This discrepancy results in the signifi-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 257, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 506, + 271 + ], + "score": 1.0, + "content": "cant performance degradation, when applying a frozen CLIP on large input images. Digging into", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "the details, we found that it is related to the popular ViT [26] backbone used in CLIP that does not", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 279, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 506, + 292 + ], + "score": 1.0, + "content": "transfer well to different input sizes, which could be alleviated by extra careful designs (e.g., side", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "adapter [17, 91], or cost aggregation [101, 21]). On the other hand, CNN-based CLIP models (such", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 301, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 313 + ], + "score": 1.0, + "content": "as ResNet [35] and ConvNeXt [58]) exhibit better generalization ability to different input sizes, due", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "to their fully convolutional nature [60]. Additionally, the CNN-based CLIP backbone, extracting", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 322, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 505, + 336 + ], + "score": 1.0, + "content": "multi-scale feature maps, can be used as a simple plug-in module into modern closed-vocabulary", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 334, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 505, + 347 + ], + "score": 1.0, + "content": "segmentation models [20, 94]. Motivated by the observations, we thus propose FC-CLIP, a simple", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "yet effective single-stage open-vocabulary segmentation framework built entirely on a single frozen", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 353, + 282, + 371 + ], + "spans": [ + { + "bbox": [ + 104, + 353, + 228, + 371 + ], + "score": 1.0, + "content": "convolutional CLIP backbone", + "type": "text" + }, + { + "bbox": [ + 228, + 356, + 276, + 368 + ], + "score": 0.91, + "content": "C L I P _ { C N N } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 353, + 282, + 371 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 15.5 + }, + { + "type": "interline_equation", + "bbox": [ + 226, + 370, + 384, + 386 + ], + "lines": [ + { + "bbox": [ + 226, + 370, + 384, + 386 + ], + "spans": [ + { + "bbox": [ + 226, + 370, + 384, + 386 + ], + "score": 0.92, + "content": "\\{ \\hat { m } _ { i } , \\hat { c } _ { i } \\} _ { i = 1 } ^ { N } = \\mathcal { F } ( \\mathbf { I } ; C L I P _ { C N N } ^ { * } , \\boldsymbol { \\theta } _ { M } ) .", + "type": "interline_equation", + "image_path": "18b88185180cddfd4894b068af385a30afc46303c723f6c77b918a4af79fc311.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 226, + 370, + 384, + 386 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 393, + 506, + 525 + ], + "lines": [ + { + "bbox": [ + 106, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "FC-CLIP The proposed FC-CLIP leverages the semantic features of a frozen CNN-based CLIP", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 405, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 506, + 417 + ], + "score": 1.0, + "content": "backbone for both mask generation and CLIP classification. Unlike previous works [90, 52, 25, 89],", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "which often train a separate mask generator and ignore the potential reuse of CLIP’s semantic", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 427, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 427, + 505, + 438 + ], + "score": 1.0, + "content": "features, we incorporate the CNN-based CLIP backbone into the state-of-the-art segmentation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "method Mask2Former [20]. We note that FC-CLIP is a general meta-architecture that can build", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 448, + 507, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 507, + 461 + ], + "score": 1.0, + "content": "on top of several modern segmentation methods [20, 94]. Our approach offers several advantages.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 458, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 506, + 473 + ], + "score": 1.0, + "content": "By freezing and sharing the backbone features, our model is significantly more efficient during", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 470, + 506, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 482 + ], + "score": 1.0, + "content": "both training and testing (i.e., avoiding feature duplication). The CNN-based CLIP backbone not", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "only transfers well to different input resolutions (from its pretrained image size), but also generates", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "multi-scale feature maps, seamlessly compatible with modern segmentation methods [20, 94]. At", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "score": 1.0, + "content": "a high level, FC-CLIP consists of three components: class-agnostic mask generator, in-vocabulary", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 513, + 414, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 414, + 527 + ], + "score": 1.0, + "content": "classifier, and out-of-vocabulary classifier. We detail each component below.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 106, + 529, + 505, + 650 + ], + "lines": [ + { + "bbox": [ + 106, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "Class-Agnostic Mask Generator Following Mask2Former [20], we use a pixel decoder enhanced", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 541, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 552 + ], + "score": 1.0, + "content": "with multi-scale deformable attention [103] to improve the features extracted from the frozen CNN-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "score": 1.0, + "content": "based CLIP backbone. The enhanced pixel features, together with a set of object queries [7, 83], are", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "then passed through a series of mask decoders, where each consists of masked cross-attention [20],", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 572, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 587 + ], + "score": 1.0, + "content": "self-attention [81], and a feed-forward network. The resulting segmentation logits are obtained by", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 585, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 597 + ], + "score": 1.0, + "content": "performing a matrix multiplication between the object query and pixel features. The predicted masks", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "score": 1.0, + "content": "are matched with ground-truth masks in a one-to-one manner through Hungarian matching [45]", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "and are supervised accordingly. Moreover, as the number of object queries is often greater than the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 616, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 506, + 630 + ], + "score": 1.0, + "content": "number of labeled masks, only a subset of predicted masks are optimized through this matching", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 628, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 640 + ], + "score": 1.0, + "content": "process. We apply no penalty to the remaining unmatched proposals, which ensures that more mask", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 640, + 201, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 201, + 650 + ], + "score": 1.0, + "content": "proposals are obtained.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 700 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "In-Vocabulary Classifier Once the mask proposals are predicted, they are classified with category", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 666, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 679 + ], + "score": 1.0, + "content": "text embedding in a contrastive manner, where the class embeddings for each mask and category text", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "embeddings are projected into a common embedding space. That is, the predicted class probability", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 688, + 361, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 301, + 700 + ], + "score": 1.0, + "content": "by in-vocabulary classifier is defined as follows:", + "type": "text" + }, + { + "bbox": [ + 302, + 689, + 361, + 699 + ], + "score": 0.91, + "content": "\\forall i = 1 , \\ldots , N", + "type": "inline_equation" + } + ], + "index": 52 + } + ], + "index": 50.5 + }, + { + "type": "interline_equation", + "bbox": [ + 167, + 702, + 443, + 726 + ], + "lines": [ + { + "bbox": [ + 167, + 702, + 443, + 726 + ], + "spans": [ + { + "bbox": [ + 167, + 702, + 443, + 726 + ], + "score": 0.92, + "content": "\\hat { c } _ { i , i n } = s o f t m a x ( \\frac { 1 } { T } \\left[ c o s ( { \\bf v } _ { i } , { \\bf t } _ { 1 } ) , c o s ( { \\bf v } _ { i } , { \\bf t } _ { 2 } ) , \\cdots , c o s ( { \\bf v } _ { i } , { \\bf t } _ { | C | } ) \\right] ) ,", + "type": "interline_equation", + "image_path": "0f830f058dbfe01d34b27911b629dbf7f032ba1aa8b31b0c073a078050d5d4d5.jpg" + } + ] + } + ], + "index": 53, + "virtual_lines": [ + { + "bbox": [ + 167, + 702, + 443, + 726 + ], + "spans": [], + "index": 53 + } + ] + } + ], + "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": "text", + "bbox": [ + 104, + 72, + 504, + 95 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 151, + 84 + ], + "score": 0.85, + "content": "2 2 4 \\times 2 2 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 72, + 505, + 86 + ], + "score": 1.0, + "content": ". The two-stage pipeline thus needs to feed high-resolution images into the mask generator", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 430, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 430, + 96 + ], + "score": 1.0, + "content": "and low-resolution images into the CLIP classifier, making the model inefficient.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 106, + 72, + 505, + 96 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 100, + 505, + 144 + ], + "lines": [ + { + "bbox": [ + 106, + 100, + 505, + 112 + ], + "spans": [ + { + "bbox": [ + 106, + 100, + 505, + 112 + ], + "score": 1.0, + "content": "Naïve Single-Stage Open-Vocabulary Segmentation To avoid increasing the model size and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 111, + 506, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 506, + 123 + ], + "score": 1.0, + "content": "computational cost of duplicate feature extractions, one may naïvely formulate everything together", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 122, + 504, + 134 + ], + "spans": [ + { + "bbox": [ + 106, + 123, + 231, + 134 + ], + "score": 1.0, + "content": "into a single-stage framework", + "type": "text" + }, + { + "bbox": [ + 232, + 122, + 241, + 132 + ], + "score": 0.85, + "content": "\\mathcal { F }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 123, + 504, + 134 + ], + "score": 1.0, + "content": ", where both mask generator and mask classifier share the same", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 133, + 479, + 146 + ], + "spans": [ + { + "bbox": [ + 106, + 133, + 215, + 146 + ], + "score": 1.0, + "content": "CLIP-pretrained backbone", + "type": "text" + }, + { + "bbox": [ + 215, + 133, + 244, + 142 + ], + "score": 0.78, + "content": "C L I P", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 133, + 479, + 146 + ], + "score": 1.0, + "content": "(not frozen) for extracting features from an input image I:", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 100, + 506, + 146 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 237, + 147, + 374, + 162 + ], + "lines": [ + { + "bbox": [ + 237, + 147, + 374, + 162 + ], + "spans": [ + { + "bbox": [ + 237, + 147, + 374, + 162 + ], + "score": 0.92, + "content": "\\{ \\hat { m } _ { i } , \\hat { c } _ { i } \\} _ { i = 1 } ^ { N } = \\mathcal { F } ( \\mathbf { I } ; C L I P , \\theta _ { M } ) .", + "type": "interline_equation", + "image_path": "15aeb640fd406aed3d2db535a9f25829aaa9e4c009bd7daafb2e95f64b6a5c2a.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 237, + 147, + 374, + 162 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 168, + 506, + 368 + ], + "lines": [ + { + "bbox": [ + 105, + 170, + 506, + 182 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 506, + 182 + ], + "score": 1.0, + "content": "However, we empirically discover that fine-tuning this naïve single-stage framework causes a mis-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 181, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 506, + 194 + ], + "score": 1.0, + "content": "alignment between image and text features in the pretrained CLIP model, leading to sub-optimal", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 192, + 506, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 471, + 205 + ], + "score": 1.0, + "content": "performance, especially for novel unseen classes. It also increases the training costs by", + "type": "text" + }, + { + "bbox": [ + 471, + 192, + 493, + 203 + ], + "score": 0.86, + "content": "2 . 1 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 192, + 506, + 205 + ], + "score": 1.0, + "content": "to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 201, + 507, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 507, + 216 + ], + "score": 1.0, + "content": "52.8 GPU days. Interestingly, our experiments also show that a frozen CLIP backbone can pro-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 506, + 226 + ], + "score": 1.0, + "content": "vide sufficient features for mask generation, while preserving the image-text aligned representation.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 224, + 506, + 238 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 506, + 238 + ], + "score": 1.0, + "content": "Nevertheless, we still face another challenge, where CLIP models are usually pretrained on low-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 204, + 248 + ], + "score": 1.0, + "content": "resolution images (e.g.,", + "type": "text" + }, + { + "bbox": [ + 204, + 236, + 249, + 246 + ], + "score": 0.87, + "content": "2 2 4 \\times 2 2 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "), whereas segmentation models prefer higher-resolution inputs", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 245, + 507, + 259 + ], + "spans": [ + { + "bbox": [ + 104, + 245, + 128, + 259 + ], + "score": 1.0, + "content": "(e.g.,", + "type": "text" + }, + { + "bbox": [ + 128, + 246, + 177, + 257 + ], + "score": 0.89, + "content": "8 0 0 \\times 1 3 3 3", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 245, + 235, + 259 + ], + "score": 1.0, + "content": "for COCO, or", + "type": "text" + }, + { + "bbox": [ + 235, + 246, + 288, + 257 + ], + "score": 0.9, + "content": "1 0 2 4 \\times 2 0 4 8", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 245, + 507, + 259 + ], + "score": 1.0, + "content": "for Cityscapes). This discrepancy results in the signifi-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 257, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 506, + 271 + ], + "score": 1.0, + "content": "cant performance degradation, when applying a frozen CLIP on large input images. Digging into", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "the details, we found that it is related to the popular ViT [26] backbone used in CLIP that does not", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 279, + 506, + 292 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 506, + 292 + ], + "score": 1.0, + "content": "transfer well to different input sizes, which could be alleviated by extra careful designs (e.g., side", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 290, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 506, + 303 + ], + "score": 1.0, + "content": "adapter [17, 91], or cost aggregation [101, 21]). On the other hand, CNN-based CLIP models (such", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 301, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 506, + 313 + ], + "score": 1.0, + "content": "as ResNet [35] and ConvNeXt [58]) exhibit better generalization ability to different input sizes, due", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "to their fully convolutional nature [60]. Additionally, the CNN-based CLIP backbone, extracting", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 322, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 505, + 336 + ], + "score": 1.0, + "content": "multi-scale feature maps, can be used as a simple plug-in module into modern closed-vocabulary", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 334, + 505, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 334, + 505, + 347 + ], + "score": 1.0, + "content": "segmentation models [20, 94]. Motivated by the observations, we thus propose FC-CLIP, a simple", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "spans": [ + { + "bbox": [ + 105, + 345, + 506, + 358 + ], + "score": 1.0, + "content": "yet effective single-stage open-vocabulary segmentation framework built entirely on a single frozen", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 353, + 282, + 371 + ], + "spans": [ + { + "bbox": [ + 104, + 353, + 228, + 371 + ], + "score": 1.0, + "content": "convolutional CLIP backbone", + "type": "text" + }, + { + "bbox": [ + 228, + 356, + 276, + 368 + ], + "score": 0.91, + "content": "C L I P _ { C N N } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 353, + 282, + 371 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 15.5, + "bbox_fs": [ + 104, + 170, + 507, + 371 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 226, + 370, + 384, + 386 + ], + "lines": [ + { + "bbox": [ + 226, + 370, + 384, + 386 + ], + "spans": [ + { + "bbox": [ + 226, + 370, + 384, + 386 + ], + "score": 0.92, + "content": "\\{ \\hat { m } _ { i } , \\hat { c } _ { i } \\} _ { i = 1 } ^ { N } = \\mathcal { F } ( \\mathbf { I } ; C L I P _ { C N N } ^ { * } , \\boldsymbol { \\theta } _ { M } ) .", + "type": "interline_equation", + "image_path": "18b88185180cddfd4894b068af385a30afc46303c723f6c77b918a4af79fc311.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 226, + 370, + 384, + 386 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 393, + 506, + 525 + ], + "lines": [ + { + "bbox": [ + 106, + 393, + 505, + 406 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 505, + 406 + ], + "score": 1.0, + "content": "FC-CLIP The proposed FC-CLIP leverages the semantic features of a frozen CNN-based CLIP", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 405, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 106, + 405, + 506, + 417 + ], + "score": 1.0, + "content": "backbone for both mask generation and CLIP classification. Unlike previous works [90, 52, 25, 89],", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "which often train a separate mask generator and ignore the potential reuse of CLIP’s semantic", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 427, + 505, + 438 + ], + "spans": [ + { + "bbox": [ + 106, + 427, + 505, + 438 + ], + "score": 1.0, + "content": "features, we incorporate the CNN-based CLIP backbone into the state-of-the-art segmentation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "method Mask2Former [20]. We note that FC-CLIP is a general meta-architecture that can build", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 448, + 507, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 507, + 461 + ], + "score": 1.0, + "content": "on top of several modern segmentation methods [20, 94]. Our approach offers several advantages.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 458, + 506, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 506, + 473 + ], + "score": 1.0, + "content": "By freezing and sharing the backbone features, our model is significantly more efficient during", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 470, + 506, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 506, + 482 + ], + "score": 1.0, + "content": "both training and testing (i.e., avoiding feature duplication). The CNN-based CLIP backbone not", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "only transfers well to different input resolutions (from its pretrained image size), but also generates", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "multi-scale feature maps, seamlessly compatible with modern segmentation methods [20, 94]. At", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "score": 1.0, + "content": "a high level, FC-CLIP consists of three components: class-agnostic mask generator, in-vocabulary", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 513, + 414, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 414, + 527 + ], + "score": 1.0, + "content": "classifier, and out-of-vocabulary classifier. We detail each component below.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 393, + 507, + 527 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 529, + 505, + 650 + ], + "lines": [ + { + "bbox": [ + 106, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "Class-Agnostic Mask Generator Following Mask2Former [20], we use a pixel decoder enhanced", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 541, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 552 + ], + "score": 1.0, + "content": "with multi-scale deformable attention [103] to improve the features extracted from the frozen CNN-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "score": 1.0, + "content": "based CLIP backbone. The enhanced pixel features, together with a set of object queries [7, 83], are", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "then passed through a series of mask decoders, where each consists of masked cross-attention [20],", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 572, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 587 + ], + "score": 1.0, + "content": "self-attention [81], and a feed-forward network. The resulting segmentation logits are obtained by", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 585, + 506, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 597 + ], + "score": 1.0, + "content": "performing a matrix multiplication between the object query and pixel features. The predicted masks", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "score": 1.0, + "content": "are matched with ground-truth masks in a one-to-one manner through Hungarian matching [45]", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "and are supervised accordingly. Moreover, as the number of object queries is often greater than the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 616, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 506, + 630 + ], + "score": 1.0, + "content": "number of labeled masks, only a subset of predicted masks are optimized through this matching", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 628, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 640 + ], + "score": 1.0, + "content": "process. We apply no penalty to the remaining unmatched proposals, which ensures that more mask", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 640, + 201, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 201, + 650 + ], + "score": 1.0, + "content": "proposals are obtained.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 530, + 506, + 650 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 700 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "In-Vocabulary Classifier Once the mask proposals are predicted, they are classified with category", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 666, + 506, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 506, + 679 + ], + "score": 1.0, + "content": "text embedding in a contrastive manner, where the class embeddings for each mask and category text", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "embeddings are projected into a common embedding space. That is, the predicted class probability", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 688, + 361, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 301, + 700 + ], + "score": 1.0, + "content": "by in-vocabulary classifier is defined as follows:", + "type": "text" + }, + { + "bbox": [ + 302, + 689, + 361, + 699 + ], + "score": 0.91, + "content": "\\forall i = 1 , \\ldots , N", + "type": "inline_equation" + } + ], + "index": 52 + } + ], + "index": 50.5, + "bbox_fs": [ + 105, + 654, + 506, + 700 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 167, + 702, + 443, + 726 + ], + "lines": [ + { + "bbox": [ + 167, + 702, + 443, + 726 + ], + "spans": [ + { + "bbox": [ + 167, + 702, + 443, + 726 + ], + "score": 0.92, + "content": "\\hat { c } _ { i , i n } = s o f t m a x ( \\frac { 1 } { T } \\left[ c o s ( { \\bf v } _ { i } , { \\bf t } _ { 1 } ) , c o s ( { \\bf v } _ { i } , { \\bf t } _ { 2 } ) , \\cdots , c o s ( { \\bf v } _ { i } , { \\bf t } _ { | C | } ) \\right] ) ,", + "type": "interline_equation", + "image_path": "0f830f058dbfe01d34b27911b629dbf7f032ba1aa8b31b0c073a078050d5d4d5.jpg" + } + ] + } + ], + "index": 53, + "virtual_lines": [ + { + "bbox": [ + 167, + 702, + 443, + 726 + ], + "spans": [], + "index": 53 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 150 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 132, + 85 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 132, + 73, + 141, + 83 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "is a learnable temperature parameter with initialization of 0.07 to control the sharpness of the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 302, + 96 + ], + "score": 1.0, + "content": "distribution, cos is cosine distance measurement,", + "type": "text" + }, + { + "bbox": [ + 303, + 85, + 313, + 95 + ], + "score": 0.86, + "content": "\\mathbf { v } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 83, + 424, + 96 + ], + "score": 1.0, + "content": "is the class embeddings for", + "type": "text" + }, + { + "bbox": [ + 424, + 84, + 429, + 93 + ], + "score": 0.66, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "-th predicted mask,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 93, + 504, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 493, + 108 + ], + "score": 1.0, + "content": "which is obtained by mask pooling over the final pixel features from pixel decoder, similar to [29].", + "type": "text" + }, + { + "bbox": [ + 493, + 95, + 504, + 107 + ], + "score": 0.85, + "content": "\\mathbf { t } _ { j }", + "type": "inline_equation" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 295, + 118 + ], + "score": 1.0, + "content": "is the category name’s text embeddings of class", + "type": "text" + }, + { + "bbox": [ + 295, + 106, + 301, + 117 + ], + "score": 0.8, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 106, + 506, + 118 + ], + "score": 1.0, + "content": ", which is obtained by feeding the category name to", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "a CLIP-pretrained text encoder. Note that these category text embeddings only need to be generated", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 505, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 505, + 140 + ], + "score": 1.0, + "content": "once. They are then kept in memory to serve as text classifiers, and thus it incurs negligible additional", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 138, + 349, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 349, + 150 + ], + "score": 1.0, + "content": "cost during training. This forms our in-vocabulary classifier.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 106, + 154, + 506, + 286 + ], + "lines": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "Out-of-Vocabulary Classifier During inference, however, we notice that using the in-vocabulary", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "score": 1.0, + "content": "classifier alone fails to generalize to completely novel unseen classes, as the model is only trained", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "score": 1.0, + "content": "on a finite set of categories and thus could not recognize diverse novel concepts. To address this", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "issue, we introduce an out-of-vocabulary classifier, which applies mask pooling to the frozen CLIP", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "backbone features, aiming to borrow the pretrained (intact) open-vocabulary recognition ability from", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "CLIP. Unlike the other two-stage methods [90, 52, 25, 89], where one or multiple forward processes", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 506, + 232 + ], + "score": 1.0, + "content": "of CLIP are needed, the adopted out-of-vocabulary classifier introduces marginal additional costs,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "since the backbone features are already extracted (and only lightweight mask-pooling is performed).", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 362, + 255 + ], + "score": 1.0, + "content": "The predicted class probability by out-of-vocabulary classifier", + "type": "text" + }, + { + "bbox": [ + 363, + 242, + 385, + 254 + ], + "score": 0.92, + "content": "\\hat { c } _ { i , o u t }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 241, + 506, + 255 + ], + "score": 1.0, + "content": "is then obtained in a manner", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 253, + 506, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 227, + 265 + ], + "score": 1.0, + "content": "similar to Eq. (6) by replacing", + "type": "text" + }, + { + "bbox": [ + 227, + 254, + 238, + 264 + ], + "score": 0.85, + "content": "\\mathbf { v } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 253, + 506, + 265 + ], + "score": 1.0, + "content": "with the mask-pooled features over frozen CLIP backbone features.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "This classifier strictly maintains the original CLIP feature distribution, allowing us to better recognize", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 273, + 496, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 496, + 288 + ], + "score": 1.0, + "content": "brand new categories. Note that the out-of-vocabulary classifier is only performed during testing.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 290, + 506, + 325 + ], + "lines": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "score": 1.0, + "content": "Combining In- and Out-of-Vocabulary Classifiers Following prior works [31, 29, 46, 89], we", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 302, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 314 + ], + "score": 1.0, + "content": "employ geometric ensemble to fuse the classification scores between in-vocabulary and out-of-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 313, + 295, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 230, + 325 + ], + "score": 1.0, + "content": "vocabulary classifiers. That is,", + "type": "text" + }, + { + "bbox": [ + 230, + 313, + 295, + 325 + ], + "score": 0.91, + "content": "\\forall j = 1 , \\ldots , | C |", + "type": "inline_equation" + } + ], + "index": 21 + } + ], + "index": 20 + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 330, + 416, + 359 + ], + "lines": [ + { + "bbox": [ + 193, + 330, + 416, + 359 + ], + "spans": [ + { + "bbox": [ + 193, + 330, + 416, + 359 + ], + "score": 0.92, + "content": "\\hat { c } _ { i } ( j ) = \\left\\{ \\begin{array} { l l } { ( \\hat { c } _ { i , i n } ( j ) ) ^ { ( 1 - \\alpha ) } \\cdot ( \\hat { c } _ { i , o u t } ( j ) ) ^ { \\alpha } , } & { \\mathrm { i f ~ } j \\in C _ { t r a i n } } \\\\ { ( \\hat { c } _ { i , i n } ( j ) ) ^ { ( 1 - \\beta ) } \\cdot ( \\hat { c } _ { i , o u t } ( j ) ) ^ { \\beta } , } & { \\mathrm { o t h e r w i s e } } \\end{array} \\right.", + "type": "interline_equation", + "image_path": "6da1f8b0dc1d92296127493605f46260dad3d85dc55a134104759baa5941eb4a.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 193, + 330, + 416, + 344.5 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 193, + 344.5, + 416, + 359.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 365, + 505, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 364, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 133, + 378 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 365, + 155, + 378 + ], + "score": 0.91, + "content": "\\hat { c } _ { i } ( j )", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 364, + 205, + 378 + ], + "score": 1.0, + "content": "denotes the", + "type": "text" + }, + { + "bbox": [ + 205, + 366, + 211, + 377 + ], + "score": 0.84, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 364, + 270, + 378 + ], + "score": 1.0, + "content": "-th element of", + "type": "text" + }, + { + "bbox": [ + 270, + 366, + 279, + 376 + ], + "score": 0.87, + "content": "\\hat { c } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 364, + 367, + 378 + ], + "score": 1.0, + "content": ", and the underscripts", + "type": "text" + }, + { + "bbox": [ + 368, + 366, + 379, + 376 + ], + "score": 0.69, + "content": "_ { i n }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 364, + 505, + 378 + ], + "score": 1.0, + "content": "and out refer to in-vocabulary", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 291, + 388 + ], + "score": 1.0, + "content": "and out-of-vocabulary classifier, respectively.", + "type": "text" + }, + { + "bbox": [ + 292, + 376, + 342, + 388 + ], + "score": 0.92, + "content": "\\alpha , \\beta \\in [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 376, + 505, + 388 + ], + "score": 1.0, + "content": "balance the predictions between in- and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 387, + 374, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 374, + 400 + ], + "score": 1.0, + "content": "out-of-vocabulary classifiers for seen and novel unseen categories.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 107, + 414, + 236, + 428 + ], + "lines": [ + { + "bbox": [ + 104, + 414, + 237, + 430 + ], + "spans": [ + { + "bbox": [ + 104, + 414, + 237, + 430 + ], + "score": 1.0, + "content": "4 Experimental Results", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 438, + 505, + 462 + ], + "lines": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "Herein, we provide implementation details of FC-CLIP in Sec. 4.1. After setting the stage, we", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "score": 1.0, + "content": "introduce our main results, compared with state-of-the-art methods and ablations studies in Sec. 4.2.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 107, + 474, + 231, + 486 + ], + "lines": [ + { + "bbox": [ + 105, + 474, + 231, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 231, + 488 + ], + "score": 1.0, + "content": "4.1 Implementation Details", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 494, + 505, + 572 + ], + "lines": [ + { + "bbox": [ + 105, + 494, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 508 + ], + "score": 1.0, + "content": "Architecture We use ConvNeXt-Large CLIP [58, 69] backbones from OpenCLIP [38]1 pretrained", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "on LAION-2B [74] dataset. On top of the CLIP backbone, we build the mask generator, following", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 515, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 506, + 531 + ], + "score": 1.0, + "content": "Mask2Former [20]. Nine mask decoders are employed to generate the class-agnostic masks by taking", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 528, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 540 + ], + "score": 1.0, + "content": "as inputs the enhanced pixel features and a set of object queries. For in-vocabulary classification,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "score": 1.0, + "content": "following [29], the class embeddings are obtained by mask-pooling the pixel features from the pixel", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 550, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 506, + 562 + ], + "score": 1.0, + "content": "decoder’s final output. Afterwards, the classification logits (before softmax) is obtained by matrix", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 560, + 460, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 460, + 574 + ], + "score": 1.0, + "content": "multiplication between the predicted class embeddings and categories’ text embeddings.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 576, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "Training Strategy We follow [20] and adopt the same training recipe and losses without any special", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 586, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 506, + 601 + ], + "score": 1.0, + "content": "design. The training is optimized with AdamW [41, 61] optimizer and weight decay 0.05. We use a", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 597, + 507, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 156, + 612 + ], + "score": 1.0, + "content": "crop size of", + "type": "text" + }, + { + "bbox": [ + 157, + 599, + 210, + 609 + ], + "score": 0.88, + "content": "1 0 2 4 \\times 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 597, + 331, + 612 + ], + "score": 1.0, + "content": ". We employ the learning rate", + "type": "text" + }, + { + "bbox": [ + 332, + 598, + 370, + 609 + ], + "score": 0.92, + "content": "1 ^ { ^ { \\bullet } \\times 1 0 ^ { - 4 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 597, + 507, + 612 + ], + "score": 1.0, + "content": "and a multi-step decay schedule.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 608, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 608, + 506, + 624 + ], + "score": 1.0, + "content": "The training batch size is 16, and the model is trained for 50 epochs on COCO panoptic training", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 141, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 141, + 632 + ], + "score": 1.0, + "content": "set [54].", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 636, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 648 + ], + "score": 1.0, + "content": "Inference Strategy During inference, the shorted side of input images will be resized to 800", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "while ensuring longer side not exceeds 1333. For Cityscapes and Mapillary Vistas, we increase the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 658, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 671 + ], + "score": 1.0, + "content": "shorter side size to 1024. We adopt mask-wise merging scheme [20] for the mask predictions. The", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 668, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 104, + 668, + 505, + 683 + ], + "score": 1.0, + "content": "out-of-vocabulary classifier is only performed during inference by mask-pooling over the frozen", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 680, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 505, + 693 + ], + "score": 1.0, + "content": "CLIP backbone features. The final classification results are then obtained by geometric ensembling", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 691, + 506, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 452, + 704 + ], + "score": 1.0, + "content": "in- and out-of-vocabulary classifiers [31, 29, 46, 89], as in Eq. (7), where we default", + "type": "text" + }, + { + "bbox": [ + 452, + 691, + 487, + 702 + ], + "score": 0.89, + "content": "\\alpha = 0 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 691, + 506, + 704 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 120, + 712, + 322, + 722 + ], + "lines": [ + { + "bbox": [ + 119, + 709, + 323, + 725 + ], + "spans": [ + { + "bbox": [ + 119, + 709, + 323, + 725 + ], + "score": 1.0, + "content": "1https://github.com/mlfoundations/open_clip", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 150 + ], + "lines": [ + { + "bbox": [ + 106, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 73, + 132, + 85 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 132, + 73, + 141, + 83 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "is a learnable temperature parameter with initialization of 0.07 to control the sharpness of the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 302, + 96 + ], + "score": 1.0, + "content": "distribution, cos is cosine distance measurement,", + "type": "text" + }, + { + "bbox": [ + 303, + 85, + 313, + 95 + ], + "score": 0.86, + "content": "\\mathbf { v } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 83, + 424, + 96 + ], + "score": 1.0, + "content": "is the class embeddings for", + "type": "text" + }, + { + "bbox": [ + 424, + 84, + 429, + 93 + ], + "score": 0.66, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 83, + 506, + 96 + ], + "score": 1.0, + "content": "-th predicted mask,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 93, + 504, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 493, + 108 + ], + "score": 1.0, + "content": "which is obtained by mask pooling over the final pixel features from pixel decoder, similar to [29].", + "type": "text" + }, + { + "bbox": [ + 493, + 95, + 504, + 107 + ], + "score": 0.85, + "content": "\\mathbf { t } _ { j }", + "type": "inline_equation" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 295, + 118 + ], + "score": 1.0, + "content": "is the category name’s text embeddings of class", + "type": "text" + }, + { + "bbox": [ + 295, + 106, + 301, + 117 + ], + "score": 0.8, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 106, + 506, + 118 + ], + "score": 1.0, + "content": ", which is obtained by feeding the category name to", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "a CLIP-pretrained text encoder. Note that these category text embeddings only need to be generated", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 505, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 505, + 140 + ], + "score": 1.0, + "content": "once. They are then kept in memory to serve as text classifiers, and thus it incurs negligible additional", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 138, + 349, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 349, + 150 + ], + "score": 1.0, + "content": "cost during training. This forms our in-vocabulary classifier.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 73, + 506, + 150 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 154, + 506, + 286 + ], + "lines": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "Out-of-Vocabulary Classifier During inference, however, we notice that using the in-vocabulary", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 178 + ], + "score": 1.0, + "content": "classifier alone fails to generalize to completely novel unseen classes, as the model is only trained", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 505, + 189 + ], + "score": 1.0, + "content": "on a finite set of categories and thus could not recognize diverse novel concepts. To address this", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "issue, we introduce an out-of-vocabulary classifier, which applies mask pooling to the frozen CLIP", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "backbone features, aiming to borrow the pretrained (intact) open-vocabulary recognition ability from", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "CLIP. Unlike the other two-stage methods [90, 52, 25, 89], where one or multiple forward processes", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 506, + 232 + ], + "score": 1.0, + "content": "of CLIP are needed, the adopted out-of-vocabulary classifier introduces marginal additional costs,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 244 + ], + "score": 1.0, + "content": "since the backbone features are already extracted (and only lightweight mask-pooling is performed).", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 506, + 255 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 362, + 255 + ], + "score": 1.0, + "content": "The predicted class probability by out-of-vocabulary classifier", + "type": "text" + }, + { + "bbox": [ + 363, + 242, + 385, + 254 + ], + "score": 0.92, + "content": "\\hat { c } _ { i , o u t }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 241, + 506, + 255 + ], + "score": 1.0, + "content": "is then obtained in a manner", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 253, + 506, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 227, + 265 + ], + "score": 1.0, + "content": "similar to Eq. (6) by replacing", + "type": "text" + }, + { + "bbox": [ + 227, + 254, + 238, + 264 + ], + "score": 0.85, + "content": "\\mathbf { v } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 253, + 506, + 265 + ], + "score": 1.0, + "content": "with the mask-pooled features over frozen CLIP backbone features.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 276 + ], + "score": 1.0, + "content": "This classifier strictly maintains the original CLIP feature distribution, allowing us to better recognize", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 273, + 496, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 496, + 288 + ], + "score": 1.0, + "content": "brand new categories. Note that the out-of-vocabulary classifier is only performed during testing.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 154, + 506, + 288 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 290, + 506, + 325 + ], + "lines": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "score": 1.0, + "content": "Combining In- and Out-of-Vocabulary Classifiers Following prior works [31, 29, 46, 89], we", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 302, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 314 + ], + "score": 1.0, + "content": "employ geometric ensemble to fuse the classification scores between in-vocabulary and out-of-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 313, + 295, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 230, + 325 + ], + "score": 1.0, + "content": "vocabulary classifiers. That is,", + "type": "text" + }, + { + "bbox": [ + 230, + 313, + 295, + 325 + ], + "score": 0.91, + "content": "\\forall j = 1 , \\ldots , | C |", + "type": "inline_equation" + } + ], + "index": 21 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 290, + 506, + 325 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 193, + 330, + 416, + 359 + ], + "lines": [ + { + "bbox": [ + 193, + 330, + 416, + 359 + ], + "spans": [ + { + "bbox": [ + 193, + 330, + 416, + 359 + ], + "score": 0.92, + "content": "\\hat { c } _ { i } ( j ) = \\left\\{ \\begin{array} { l l } { ( \\hat { c } _ { i , i n } ( j ) ) ^ { ( 1 - \\alpha ) } \\cdot ( \\hat { c } _ { i , o u t } ( j ) ) ^ { \\alpha } , } & { \\mathrm { i f ~ } j \\in C _ { t r a i n } } \\\\ { ( \\hat { c } _ { i , i n } ( j ) ) ^ { ( 1 - \\beta ) } \\cdot ( \\hat { c } _ { i , o u t } ( j ) ) ^ { \\beta } , } & { \\mathrm { o t h e r w i s e } } \\end{array} \\right.", + "type": "interline_equation", + "image_path": "6da1f8b0dc1d92296127493605f46260dad3d85dc55a134104759baa5941eb4a.jpg" + } + ] + } + ], + "index": 22.5, + "virtual_lines": [ + { + "bbox": [ + 193, + 330, + 416, + 344.5 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 193, + 344.5, + 416, + 359.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 365, + 505, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 364, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 364, + 133, + 378 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 365, + 155, + 378 + ], + "score": 0.91, + "content": "\\hat { c } _ { i } ( j )", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 364, + 205, + 378 + ], + "score": 1.0, + "content": "denotes the", + "type": "text" + }, + { + "bbox": [ + 205, + 366, + 211, + 377 + ], + "score": 0.84, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 364, + 270, + 378 + ], + "score": 1.0, + "content": "-th element of", + "type": "text" + }, + { + "bbox": [ + 270, + 366, + 279, + 376 + ], + "score": 0.87, + "content": "\\hat { c } _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 364, + 367, + 378 + ], + "score": 1.0, + "content": ", and the underscripts", + "type": "text" + }, + { + "bbox": [ + 368, + 366, + 379, + 376 + ], + "score": 0.69, + "content": "_ { i n }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 364, + 505, + 378 + ], + "score": 1.0, + "content": "and out refer to in-vocabulary", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 376, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 291, + 388 + ], + "score": 1.0, + "content": "and out-of-vocabulary classifier, respectively.", + "type": "text" + }, + { + "bbox": [ + 292, + 376, + 342, + 388 + ], + "score": 0.92, + "content": "\\alpha , \\beta \\in [ 0 , 1 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 376, + 505, + 388 + ], + "score": 1.0, + "content": "balance the predictions between in- and", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 387, + 374, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 374, + 400 + ], + "score": 1.0, + "content": "out-of-vocabulary classifiers for seen and novel unseen categories.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 364, + 505, + 400 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 414, + 236, + 428 + ], + "lines": [ + { + "bbox": [ + 104, + 414, + 237, + 430 + ], + "spans": [ + { + "bbox": [ + 104, + 414, + 237, + 430 + ], + "score": 1.0, + "content": "4 Experimental Results", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 438, + 505, + 462 + ], + "lines": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 452 + ], + "score": 1.0, + "content": "Herein, we provide implementation details of FC-CLIP in Sec. 4.1. After setting the stage, we", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 506, + 461 + ], + "score": 1.0, + "content": "introduce our main results, compared with state-of-the-art methods and ablations studies in Sec. 4.2.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 438, + 506, + 461 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 474, + 231, + 486 + ], + "lines": [ + { + "bbox": [ + 105, + 474, + 231, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 231, + 488 + ], + "score": 1.0, + "content": "4.1 Implementation Details", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 494, + 505, + 572 + ], + "lines": [ + { + "bbox": [ + 105, + 494, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 508 + ], + "score": 1.0, + "content": "Architecture We use ConvNeXt-Large CLIP [58, 69] backbones from OpenCLIP [38]1 pretrained", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 505, + 519 + ], + "score": 1.0, + "content": "on LAION-2B [74] dataset. On top of the CLIP backbone, we build the mask generator, following", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 515, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 506, + 531 + ], + "score": 1.0, + "content": "Mask2Former [20]. Nine mask decoders are employed to generate the class-agnostic masks by taking", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 528, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 540 + ], + "score": 1.0, + "content": "as inputs the enhanced pixel features and a set of object queries. For in-vocabulary classification,", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 506, + 552 + ], + "score": 1.0, + "content": "following [29], the class embeddings are obtained by mask-pooling the pixel features from the pixel", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 550, + 506, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 506, + 562 + ], + "score": 1.0, + "content": "decoder’s final output. Afterwards, the classification logits (before softmax) is obtained by matrix", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 560, + 460, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 460, + 574 + ], + "score": 1.0, + "content": "multiplication between the predicted class embeddings and categories’ text embeddings.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 494, + 506, + 574 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 576, + 505, + 632 + ], + "lines": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "Training Strategy We follow [20] and adopt the same training recipe and losses without any special", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 586, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 506, + 601 + ], + "score": 1.0, + "content": "design. The training is optimized with AdamW [41, 61] optimizer and weight decay 0.05. We use a", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 597, + 507, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 156, + 612 + ], + "score": 1.0, + "content": "crop size of", + "type": "text" + }, + { + "bbox": [ + 157, + 599, + 210, + 609 + ], + "score": 0.88, + "content": "1 0 2 4 \\times 1 0 2 4", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 597, + 331, + 612 + ], + "score": 1.0, + "content": ". We employ the learning rate", + "type": "text" + }, + { + "bbox": [ + 332, + 598, + 370, + 609 + ], + "score": 0.92, + "content": "1 ^ { ^ { \\bullet } \\times 1 0 ^ { - 4 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 597, + 507, + 612 + ], + "score": 1.0, + "content": "and a multi-step decay schedule.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 608, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 608, + 506, + 624 + ], + "score": 1.0, + "content": "The training batch size is 16, and the model is trained for 50 epochs on COCO panoptic training", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 619, + 141, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 141, + 632 + ], + "score": 1.0, + "content": "set [54].", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 40, + "bbox_fs": [ + 104, + 576, + 507, + 632 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 636, + 505, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 648 + ], + "score": 1.0, + "content": "Inference Strategy During inference, the shorted side of input images will be resized to 800", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 505, + 660 + ], + "score": 1.0, + "content": "while ensuring longer side not exceeds 1333. For Cityscapes and Mapillary Vistas, we increase the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 658, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 505, + 671 + ], + "score": 1.0, + "content": "shorter side size to 1024. We adopt mask-wise merging scheme [20] for the mask predictions. The", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 668, + 505, + 683 + ], + "spans": [ + { + "bbox": [ + 104, + 668, + 505, + 683 + ], + "score": 1.0, + "content": "out-of-vocabulary classifier is only performed during inference by mask-pooling over the frozen", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 680, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 505, + 693 + ], + "score": 1.0, + "content": "CLIP backbone features. The final classification results are then obtained by geometric ensembling", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 691, + 506, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 452, + 704 + ], + "score": 1.0, + "content": "in- and out-of-vocabulary classifiers [31, 29, 46, 89], as in Eq. (7), where we default", + "type": "text" + }, + { + "bbox": [ + 452, + 691, + 487, + 702 + ], + "score": 0.89, + "content": "\\alpha = 0 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 691, + 506, + 704 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 107, + 319, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 107, + 320, + 140, + 331 + ], + "score": 0.89, + "content": "\\beta = 0 . 8", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 140, + 319, + 506, + 333 + ], + "score": 1.0, + "content": ". Following prior arts, we also adopt prompt engineering from [29, 89] and prompt templates", + "type": "text", + "cross_page": true + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 330, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 344 + ], + "score": 1.0, + "content": "from [31, 52]. If not specified, FC-CLIP is only trained on COCO panoptic dataset [54]. Following", + "type": "text", + "cross_page": true + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "prior works [29, 89], we zero-shot evaluate the model on ADE20K [100], Cityscapes [22], and", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "score": 1.0, + "content": "Mapillary Vistas [64] for open-vocabulary panoptic segmentation. We also report open-vocabulary", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "score": 1.0, + "content": "semantic segmentation results on those datasets along with PASCAL datasets [27, 63]. The panoptic", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 375, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 506, + 387 + ], + "score": 1.0, + "content": "segmentation results are evaluated with the panoptic quality (PQ) [44], Average Precision (AP), and", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 104, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "mean intersection-over-union (mIoU), and semantic segmentation is evaluated with mIoU [27]. Note", + "type": "text", + "cross_page": true + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 396, + 497, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 497, + 409 + ], + "score": 1.0, + "content": "that all results are obtained with the same single checkpoint trained on COCO panoptic data only.", + "type": "text", + "cross_page": true + } + ], + "index": 18 + } + ], + "index": 45.5, + "bbox_fs": [ + 104, + 637, + 506, + 704 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 145, + 109, + 466, + 200 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 70, + 506, + 104 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 69, + 506, + 83 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 506, + 83 + ], + "score": 1.0, + "content": "Table 1: Open-vocabulary panoptic segmentation performance on ADE20K. The proposed FC-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 81, + 506, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 506, + 94 + ], + "score": 1.0, + "content": "CLIP demonstrates better performances than prior arts, while using much fewer frozen parameters.", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 92, + 328, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 92, + 328, + 105 + ], + "score": 1.0, + "content": "We provide more results in the supplementary material", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 145, + 109, + 466, + 200 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 145, + 109, + 466, + 200 + ], + "spans": [ + { + "bbox": [ + 145, + 109, + 466, + 200 + ], + "score": 0.978, + "html": "
params (M)zero-shot test datasetADE20Ktraining dataset COCO
methodfrozentrainable PQAP mIoUPQAP mIoU
MaskCLIP[25]304 6315.16.0 23.71 --
FreeSeg [68]- 116.36.5 24.61 =-
ODISE [89]1494 28 2822.6 14.4 13.929.955.4 46.065.2
ODISE [89] (caption)149423.428.745.6 38.452.4
FC-CLIP (ours)20021 26.816.8 34.154.4 44.663.7
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zero-shot test dataset
Mapillary VistasCityscapes
methodPQSQRQmIoUPQ SQRQAPmIoU
ODISE [89]14.261.017.2-23.9 75.329.01-
FC-CLIP (ours)18.257.722.927.944.0 75.453.626.856.2
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Following prior arts, we also adopt prompt engineering from [29, 89] and prompt templates", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 330, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 344 + ], + "score": 1.0, + "content": "from [31, 52]. If not specified, FC-CLIP is only trained on COCO panoptic dataset [54]. Following", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "prior works [29, 89], we zero-shot evaluate the model on ADE20K [100], Cityscapes [22], and", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "score": 1.0, + "content": "Mapillary Vistas [64] for open-vocabulary panoptic segmentation. We also report open-vocabulary", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 505, + 376 + ], + "score": 1.0, + "content": "semantic segmentation results on those datasets along with PASCAL datasets [27, 63]. The panoptic", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 375, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 506, + 387 + ], + "score": 1.0, + "content": "segmentation results are evaluated with the panoptic quality (PQ) [44], Average Precision (AP), and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 104, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "mean intersection-over-union (mIoU), and semantic segmentation is evaluated with mIoU [27]. Note", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 396, + 497, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 497, + 409 + ], + "score": 1.0, + "content": "that all results are obtained with the same single checkpoint trained on COCO panoptic data only.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 422, + 162, + 434 + ], + "lines": [ + { + "bbox": [ + 105, + 421, + 163, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 163, + 435 + ], + "score": 1.0, + "content": "4.2 Results", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 443, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "We summarize the main results for open-vocabulary panoptic segmentation and semantic segmentation", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 453, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 467 + ], + "score": 1.0, + "content": "in Tab. 1, Tab. 2 and Tab. 3, where we train FC-CLIP on COCO train set with panoptic annotation", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 465, + 336, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 336, + 477 + ], + "score": 1.0, + "content": "and evaluate it on various datasets in a zero-shot manner.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 481, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 482, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 505, + 493 + ], + "score": 1.0, + "content": "Open-Vocabulary Panoptic Segmentation Evaluation on ADE20K In Tab. 1, we compare our", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 493, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 493, + 505, + 505 + ], + "score": 1.0, + "content": "FC-CLIP with other state-of-the-art methods on ADE20K [100], the main test-bed of zero-shot", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 504, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 505, + 516 + ], + "score": 1.0, + "content": "open-vocabulary panoptic segmentation. As shown in the table, our method achieves significantly", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 322, + 527 + ], + "score": 1.0, + "content": "better performance compared to MaskCLIP [25], with", + "type": "text" + }, + { + "bbox": [ + 323, + 514, + 350, + 525 + ], + "score": 0.63, + "content": "+ 1 1 . 7", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 514, + 368, + 527 + ], + "score": 1.0, + "content": "PQ,", + "type": "text" + }, + { + "bbox": [ + 369, + 514, + 396, + 525 + ], + "score": 0.86, + "content": "+ 1 0 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 514, + 428, + 527 + ], + "score": 1.0, + "content": "AP and", + "type": "text" + }, + { + "bbox": [ + 428, + 514, + 456, + 525 + ], + "score": 0.84, + "content": "+ 1 0 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "mIoU, even", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 525, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 227, + 537 + ], + "score": 1.0, + "content": "though we use fewer frozen", + "type": "text" + }, + { + "bbox": [ + 227, + 525, + 260, + 536 + ], + "score": 0.77, + "content": "\\left( - 6 6 \\mathbf { M } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 526, + 320, + 537 + ], + "score": 1.0, + "content": "and trainable", + "type": "text" + }, + { + "bbox": [ + 320, + 526, + 353, + 537 + ], + "score": 0.51, + "content": "\\left( { - 4 2 \\mathbf { M } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 526, + 505, + 537 + ], + "score": 1.0, + "content": "parameters. 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In Tab. 3, we", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5 + } + ], + "page_idx": 7, + "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": "8", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 145, + 109, + 466, + 200 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 70, + 506, + 104 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 69, + 506, + 83 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 506, + 83 + ], + "score": 1.0, + "content": "Table 1: Open-vocabulary panoptic segmentation performance on ADE20K. The proposed FC-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 81, + 506, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 506, + 94 + ], + "score": 1.0, + "content": "CLIP demonstrates better performances than prior arts, while using much fewer frozen parameters.", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 92, + 328, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 92, + 328, + 105 + ], + "score": 1.0, + "content": "We provide more results in the supplementary material", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "table_body", + "bbox": [ + 145, + 109, + 466, + 200 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 145, + 109, + 466, + 200 + ], + "spans": [ + { + "bbox": [ + 145, + 109, + 466, + 200 + ], + "score": 0.978, + "html": "
params (M)zero-shot test datasetADE20Ktraining dataset COCO
methodfrozentrainable PQAP mIoUPQAP mIoU
MaskCLIP[25]304 6315.16.0 23.71 --
FreeSeg [68]- 116.36.5 24.61 =-
ODISE [89]1494 28 2822.6 14.4 13.929.955.4 46.065.2
ODISE [89] (caption)149423.428.745.6 38.452.4
FC-CLIP (ours)20021 26.816.8 34.154.4 44.663.7
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zero-shot test dataset
Mapillary VistasCityscapes
methodPQSQRQmIoUPQ SQRQAPmIoU
ODISE [89]14.261.017.2-23.9 75.329.01-
FC-CLIP (ours)18.257.722.927.944.0 75.453.626.856.2
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As shown in the table, our method achieves significantly", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 322, + 527 + ], + "score": 1.0, + "content": "better performance compared to MaskCLIP [25], with", + "type": "text" + }, + { + "bbox": [ + 323, + 514, + 350, + 525 + ], + "score": 0.63, + "content": "+ 1 1 . 7", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 514, + 368, + 527 + ], + "score": 1.0, + "content": "PQ,", + "type": "text" + }, + { + "bbox": [ + 369, + 514, + 396, + 525 + ], + "score": 0.86, + "content": "+ 1 0 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 514, + 428, + 527 + ], + "score": 1.0, + "content": "AP and", + "type": "text" + }, + { + "bbox": [ + 428, + 514, + 456, + 525 + ], + "score": 0.84, + "content": "+ 1 0 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "mIoU, even", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 525, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 106, + 526, + 227, + 537 + ], + "score": 1.0, + "content": "though we use fewer frozen", + "type": "text" + }, + { + "bbox": [ + 227, + 525, + 260, + 536 + ], + "score": 0.77, + "content": "\\left( - 6 6 \\mathbf { M } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 526, + 320, + 537 + ], + "score": 1.0, + "content": "and trainable", + "type": "text" + }, + { + "bbox": [ + 320, + 526, + 353, + 537 + ], + "score": 0.51, + "content": "\\left( { - 4 2 \\mathbf { M } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 526, + 505, + 537 + ], + "score": 1.0, + "content": "parameters. 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FC-CLIP is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 132, + 558 + ], + "score": 0.75, + "content": "+ 1 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 547, + 149, + 560 + ], + "score": 1.0, + "content": "PQ,", + "type": "text" + }, + { + "bbox": [ + 150, + 547, + 177, + 558 + ], + "score": 0.83, + "content": "+ 1 0 . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 547, + 210, + 560 + ], + "score": 1.0, + "content": "AP, and", + "type": "text" + }, + { + "bbox": [ + 210, + 547, + 232, + 558 + ], + "score": 0.86, + "content": "+ 9 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "mIoU better than FreeSeg without using COCO-Stuff annotations [5]", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "score": 1.0, + "content": "(which contains more semantic classes than COCO-Panoptic). 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Against other open-vocabulary", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "semantic segmentation methods, our model maintains its advantages across different datasets, despite", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "being trained solely with panoptic annotations. 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It is", + "type": "text", + "cross_page": true + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "worth mentioning that these methods build their approach on top of ViT-L (with extra designs [91]),", + "type": "text", + "cross_page": true + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 498, + 507, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 507, + 510 + ], + "score": 1.0, + "content": "resulting in a significantly larger model size compared to our deployed ConvNeXt-L (304M vs.", + "type": "text", + "cross_page": true + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 507, + 507, + 522 + ], + "spans": [ + { + "bbox": [ + 104, + 507, + 507, + 522 + ], + "score": 1.0, + "content": "198M). Despite the disparity in model size, FC-CLIP remains competitive in terms of performance.", + "type": "text", + "cross_page": true + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "Specifially, FC-CLIP outperforms state-of-the-art open-vocabulary semantic segmentation method", + "type": "text", + "cross_page": true + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 531, + 424, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 424, + 543 + ], + "score": 1.0, + "content": "SAN [91] by 1.1 and 1.1 mIoU on the challenging A-847 and PC-459 datasets.", + "type": "text", + "cross_page": true + } + ], + "index": 25 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 699, + 505, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 111, + 98, + 500, + 270 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 70, + 503, + 93 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 69, + 505, + 83 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 505, + 83 + ], + "score": 1.0, + "content": "Table 3: Open-vocabulary semantic segmentation performance. The proposed FC-CLIP also", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 81, + 455, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 455, + 94 + ], + "score": 1.0, + "content": "demonstrates state-of-the-art performances on open-vocabulary semantic segmentation", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 111, + 98, + 500, + 270 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 111, + 98, + 500, + 270 + ], + "spans": [ + { + "bbox": [ + 111, + 98, + 500, + 270 + ], + "score": 0.983, + "html": "
methodtraining datasetmIoU
A-847 PC-459 A-150 PC-59PAS-21 PAS-20
SPNet [85]Pascal VOC[27]--124.318.3-
ZS3Net [4]Pascal VOC [27]-19.438.3-
LSeg [48]Pascal VOC[27]--1-47.4-
GroupViT[88]GCC[75]+YFCC[79]4.34.910.625.950.752.3
SimBaseline [90]COCO Stuff [5]--15.3-74.5-
ZegFormer [24]COCO Stuff [5]1116.4173.3=
LSeg+ [48, 29]COCO Stuff [5]3.87.818.046.5-
OVSeg [52]COCO Stuff [5]9.012.429.655.7=94.5
SAN [91]COCO Stuff [5]13.717.133.360.2-95.5
OpenSeg [29]COCO Panoptic + COCO Caption6.39.021.142.1--
ODISE [89] (caption)COCO Panoptic + COCO Caption11.013.828.755.382.7-
MaskCLIP[25]COCO Panoptic8.210.023.745.9--
ODISE [89]COCO Panoptic11.114.529.957.384.6-
FC-CLIP (ours)COCO Panoptic14.818.234.158.481.895.4
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methodADE20KCOCO
ODISE[89]0.410.39
FC-CLIP (ours)2.71 (6.61×)2.76 (7.08×)
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Specifically, with the same training", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 388, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 388, + 336, + 402 + ], + "score": 1.0, + "content": "annotations used, FC-CLIP outperforms MaskCLIP by", + "type": "text" + }, + { + "bbox": [ + 337, + 389, + 359, + 400 + ], + "score": 0.8, + "content": "+ 6 . 6", + "type": "inline_equation" + }, + { + "bbox": [ + 359, + 388, + 363, + 402 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 363, + 389, + 385, + 400 + ], + "score": 0.79, + "content": "+ 8 . 2", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 388, + 389, + 402 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 389, + 389, + 416, + 400 + ], + "score": 0.84, + "content": "+ 1 0 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 388, + 421, + 402 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 421, + 389, + 448, + 400 + ], + "score": 0.81, + "content": "+ 1 2 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 388, + 506, + 402 + ], + "score": 1.0, + "content": "mIoU across", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 399, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 506, + 412 + ], + "score": 1.0, + "content": "A-847, PC-459, A-150, and PC-59, respectively. Compared to methods with caption annotations,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 410, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 104, + 410, + 406, + 423 + ], + "score": 1.0, + "content": "FC-CLIP persists its advantages, where it outperforms ODISE (caption) by", + "type": "text" + }, + { + "bbox": [ + 407, + 411, + 428, + 422 + ], + "score": 0.82, + "content": "+ 3 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 429, + 410, + 432, + 423 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 432, + 411, + 454, + 421 + ], + "score": 0.81, + "content": "+ 4 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 410, + 457, + 423 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 457, + 411, + 479, + 422 + ], + "score": 0.81, + "content": "+ 5 . 4", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 410, + 482, + 423 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 483, + 411, + 505, + 421 + ], + "score": 0.83, + "content": "+ 3 . 1", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "mIoU across datasets A-847, PC-459, A-150, PC-59 respectively. Against other open-vocabulary", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 505, + 445 + ], + "score": 1.0, + "content": "semantic segmentation methods, our model maintains its advantages across different datasets, despite", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "being trained solely with panoptic annotations. Furthermore, it demonstrates comparable performance", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 455, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 506, + 467 + ], + "score": 1.0, + "content": "to state-of-the-art open-vocabulary semantic segmentation methods, which utilize the COCO-Stuff", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 465, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 505, + 478 + ], + "score": 1.0, + "content": "dataset as their training set. The COCO-Stuff dataset comprises 171 classes, 38 more classes than", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "score": 1.0, + "content": "COCO-Panoptic, and offers highly desirable annotations for semantic segmentation tasks. It is", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "worth mentioning that these methods build their approach on top of ViT-L (with extra designs [91]),", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 498, + 507, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 507, + 510 + ], + "score": 1.0, + "content": "resulting in a significantly larger model size compared to our deployed ConvNeXt-L (304M vs.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 507, + 507, + 522 + ], + "spans": [ + { + "bbox": [ + 104, + 507, + 507, + 522 + ], + "score": 1.0, + "content": "198M). Despite the disparity in model size, FC-CLIP remains competitive in terms of performance.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "Specifially, FC-CLIP outperforms state-of-the-art open-vocabulary semantic segmentation method", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 531, + 424, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 424, + 543 + ], + "score": 1.0, + "content": "SAN [91] by 1.1 and 1.1 mIoU on the challenging A-847 and PC-459 datasets.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 107, + 546, + 505, + 591 + ], + "lines": [ + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 505, + 559 + ], + "score": 1.0, + "content": "Inference Speed We provide a comparison of FPS (frames per second) in Tab. 4. The proposed", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 557, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 505, + 571 + ], + "score": 1.0, + "content": "FC-CLIP not only demonstrates superior performances, but also enjoys a significant fast inference", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 568, + 507, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 187, + 581 + ], + "score": 1.0, + "content": "time: FC-CLIP runs", + "type": "text" + }, + { + "bbox": [ + 187, + 569, + 214, + 579 + ], + "score": 0.87, + "content": "6 . 6 1 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 568, + 231, + 581 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 232, + 569, + 258, + 579 + ], + "score": 0.87, + "content": "7 . 0 8 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 568, + 507, + 581 + ], + "score": 1.0, + "content": "faster than ODISE evaluated on ADE20K and COCO datasets,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 579, + 159, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 159, + 594 + ], + "score": 1.0, + "content": "respectively.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 106, + 596, + 505, + 673 + ], + "lines": [ + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "Training on ADE20K and Evaluating on COCO We further validate the effectiveness of FC-CLIP", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 608, + 506, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 506, + 619 + ], + "score": 1.0, + "content": "by using a different training dataset. Specifically, we follow [68, 89] to train our model on ADE20K", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 617, + 507, + 631 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 507, + 631 + ], + "score": 1.0, + "content": "dataset with panoptic annotation, and evaluate it on COCO panoptic dataset. As shown in Tab. 5,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 628, + 507, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 265, + 642 + ], + "score": 1.0, + "content": "FC-CLIP outperforms FreeSeg [68] by", + "type": "text" + }, + { + "bbox": [ + 266, + 629, + 292, + 640 + ], + "score": 0.64, + "content": "+ 1 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 628, + 392, + 642 + ], + "score": 1.0, + "content": "PQ, and ODISE [89] by", + "type": "text" + }, + { + "bbox": [ + 392, + 629, + 414, + 640 + ], + "score": 0.6, + "content": "+ 2 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 628, + 507, + 642 + ], + "score": 1.0, + "content": "PQ on COCO dataset.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 104, + 639, + 280, + 653 + ], + "score": 1.0, + "content": "Notably, our model actually has a lower SQ", + "type": "text" + }, + { + "bbox": [ + 280, + 641, + 307, + 651 + ], + "score": 0.39, + "content": "( - 1 . 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "compared to ODISE, which utilizes a much larger", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "score": 1.0, + "content": "backbone and thus has a stronger mask generator. Nevertheless, FC-CLIP still outperforms ODISE", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 661, + 297, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 297, + 676 + ], + "score": 1.0, + "content": "significantly with a simple yet effective design.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "Fine-tuning CLIP Backbone Harms Performance on Novel Vocabularies We validate the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 689, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 702 + ], + "score": 1.0, + "content": "necessity of freezing CLIP backbone to ensure a better generalization to novel vocabularies. We", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 713 + ], + "score": 1.0, + "content": "compare the performance of trainable CLIP variant and frozen CLIP variant in Fig. 4, where we use", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 710, + 505, + 725 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 725 + ], + "score": 1.0, + "content": "the same mask proposals to ensure a fair comparison. Specifically, we compare the performance on", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 309, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 111, + 98, + 500, + 270 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 70, + 503, + 93 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 69, + 505, + 83 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 505, + 83 + ], + "score": 1.0, + "content": "Table 3: Open-vocabulary semantic segmentation performance. The proposed FC-CLIP also", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 81, + 455, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 455, + 94 + ], + "score": 1.0, + "content": "demonstrates state-of-the-art performances on open-vocabulary semantic segmentation", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 111, + 98, + 500, + 270 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 111, + 98, + 500, + 270 + ], + "spans": [ + { + "bbox": [ + 111, + 98, + 500, + 270 + ], + "score": 0.983, + "html": "
methodtraining datasetmIoU
A-847 PC-459 A-150 PC-59PAS-21 PAS-20
SPNet [85]Pascal VOC[27]--124.318.3-
ZS3Net [4]Pascal VOC [27]-19.438.3-
LSeg [48]Pascal VOC[27]--1-47.4-
GroupViT[88]GCC[75]+YFCC[79]4.34.910.625.950.752.3
SimBaseline [90]COCO Stuff [5]--15.3-74.5-
ZegFormer [24]COCO Stuff [5]1116.4173.3=
LSeg+ [48, 29]COCO Stuff [5]3.87.818.046.5-
OVSeg [52]COCO Stuff [5]9.012.429.655.7=94.5
SAN [91]COCO Stuff [5]13.717.133.360.2-95.5
OpenSeg [29]COCO Panoptic + COCO Caption6.39.021.142.1--
ODISE [89] (caption)COCO Panoptic + COCO Caption11.013.828.755.382.7-
MaskCLIP[25]COCO Panoptic8.210.023.745.9--
ODISE [89]COCO Panoptic11.114.529.957.384.6-
FC-CLIP (ours)COCO Panoptic14.818.234.158.481.895.4
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methodADE20KCOCO
ODISE[89]0.410.39
FC-CLIP (ours)2.71 (6.61×)2.76 (7.08×)
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As shown in Tab. 5,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 628, + 507, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 265, + 642 + ], + "score": 1.0, + "content": "FC-CLIP outperforms FreeSeg [68] by", + "type": "text" + }, + { + "bbox": [ + 266, + 629, + 292, + 640 + ], + "score": 0.64, + "content": "+ 1 0 . 5", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 628, + 392, + 642 + ], + "score": 1.0, + "content": "PQ, and ODISE [89] by", + "type": "text" + }, + { + "bbox": [ + 392, + 629, + 414, + 640 + ], + "score": 0.6, + "content": "+ 2 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 628, + 507, + 642 + ], + "score": 1.0, + "content": "PQ on COCO dataset.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 639, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 104, + 639, + 280, + 653 + ], + "score": 1.0, + "content": "Notably, our model actually has a lower SQ", + "type": "text" + }, + { + "bbox": [ + 280, + 641, + 307, + 651 + ], + "score": 0.39, + "content": "( - 1 . 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 639, + 506, + 653 + ], + "score": 1.0, + "content": "compared to ODISE, which utilizes a much larger", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 663 + ], + "score": 1.0, + "content": "backbone and thus has a stronger mask generator. Nevertheless, FC-CLIP still outperforms ODISE", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 661, + 297, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 297, + 676 + ], + "score": 1.0, + "content": "significantly with a simple yet effective design.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33, + "bbox_fs": [ + 104, + 596, + 507, + 676 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "Fine-tuning CLIP Backbone Harms Performance on Novel Vocabularies We validate the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 689, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 702 + ], + "score": 1.0, + "content": "necessity of freezing CLIP backbone to ensure a better generalization to novel vocabularies. 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methodzero-shot test datasettraining dataset ADE20K
COCO PQ SQRQPQ SQRQ
FreeSeg [68]16.5 72.021.6- --
ODISE [89]25.0 79.430.431.4 77.936.9
FC-CLIP (ours)27.0 78.032.941.9 78.250.2
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methodzero-shot test datasettraining dataset ADE20K
COCO PQ SQRQPQ SQRQ
FreeSeg [68]16.5 72.021.6- --
ODISE [89]25.0 79.430.431.4 77.936.9
FC-CLIP (ours)27.0 78.032.941.9 78.250.2
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We show 10 common", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 363, + 506, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 506, + 376 + ], + "score": 1.0, + "content": "classes (labeled in green) shared by COCO and ADE20K, and 10 novel classes (labeled in red) that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 374, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 506, + 388 + ], + "score": 1.0, + "content": "are only in ADE20K. The frozen CLIP demonstrates a much better recognition ability for novel", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 385, + 331, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 331, + 398 + ], + "score": 1.0, + "content": "classes, while performing similarly for the seen classes.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + } + ], + "index": 10.75 + }, + { + "type": "text", + "bbox": [ + 107, + 418, + 505, + 463 + ], + "lines": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 417, + 505, + 431 + ], + "score": 1.0, + "content": "10 seen classes, which are shared by both COCO and ADE20K (e.g., person, sky), and 10 unseen", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 429, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 505, + 442 + ], + "score": 1.0, + "content": "classes, which are only included in ADE20K dataset (e.g., arcade machine, dishwasher). As shown in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 440, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 505, + 454 + ], + "score": 1.0, + "content": "the figure, tuning CLIP backbone leads to a worse performance on unseen concepts, which breaks the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 451, + 467, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 467, + 465 + ], + "score": 1.0, + "content": "CLIP feature alignment and thus loses its recognition ability on a much wider vocabulary.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 417, + 505, + 465 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 473, + 183, + 487 + ], + "lines": [ + { + "bbox": [ + 104, + 471, + 185, + 489 + ], + "spans": [ + { + "bbox": [ + 104, + 471, + 185, + 489 + ], + "score": 1.0, + "content": "5 Conclusion", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 496, + 505, + 562 + ], + "lines": [ + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "In this work, we have presented FC-CLIP, a simple yet effective single-stage framework for open-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 507, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 506, + 520 + ], + "score": 1.0, + "content": "vocabulary segmentation. FC-CLIP shows great potential by building everything on top of a shared", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 518, + 507, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 507, + 531 + ], + "score": 1.0, + "content": "frozen convolutional CLIP backbone, which not only significantly reduces training and testing costs,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "but also establishes a strong baseline on multiple benchmarks. 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We note that there exist some interesting research topics to be", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 505, + 599 + ], + "score": 1.0, + "content": "explored in the near future, such as better unleashing CLIP’s potential in both mask segmentation and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 597, + 486, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 486, + 610 + ], + "score": 1.0, + "content": "classification, how to deal with conflict or overlapping vocabularies (e.g., cat vs. cat head), etc.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 565, + 506, + 610 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 612, + 505, + 656 + ], + "lines": [ + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 505, + 624 + ], + "score": 1.0, + "content": "Broader Impact FC-CLIP shows great potential for segmenting and naming every object in the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 623, + 507, + 636 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 507, + 636 + ], + "score": 1.0, + "content": "scene, which could facilitate many applications including intelligent home assistants, robots, self-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 633, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 647 + ], + "score": 1.0, + "content": "driving, etc. Yet it relies on CLIP model pre-trained on the Internet data that may be biased, which", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 645, + 330, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 330, + 657 + ], + "score": 1.0, + "content": "calls for future research for calibration to avoid misuse.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 612, + 507, + 657 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 72, + 163, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 70, + 165, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 165, + 86 + ], + "score": 1.0, + "content": "References", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 110, + 75, + 507, + 729 + ], + "lines": [ + { + "bbox": [ + 114, + 90, + 506, + 102 + ], + "spans": [ + { + "bbox": [ + 114, + 90, + 506, + 102 + ], + "score": 1.0, + "content": "[1] Jean-Baptiste Alayrac, Jeff Donahue, Pauline Luc, Antoine Miech, Iain Barr, Yana Hasson, Karel Lenc,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 129, + 100, + 507, + 113 + ], + "spans": [ + { + "bbox": [ + 129, + 100, + 507, + 113 + ], + "score": 1.0, + "content": "Arthur Mensch, Katherine Millican, Malcolm Reynolds, et al. 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We specifically", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 204, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 104, + 204, + 159, + 221 + ], + "score": 1.0, + "content": "focus on the", + "type": "text" + }, + { + "bbox": [ + 159, + 207, + 186, + 218 + ], + "score": 0.84, + "content": "\\mathrm { P Q } ^ { \\mathrm { s e e n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 204, + 205, + 221 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 205, + 207, + 239, + 218 + ], + "score": 0.74, + "content": "\\mathrm { P Q } ^ { \\mathrm { u n s e e n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 204, + 506, + 221 + ], + "score": 1.0, + "content": "metrics, which evaluate the performance for classes that overlap", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 217, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 506, + 230 + ], + "score": 1.0, + "content": "and do not overlap between the training and testing datasets, respectively. To determine whether a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "class is seen or unseen, we adopt the prompt engineering technique described in [29], which provides", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 239, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 506, + 253 + ], + "score": 1.0, + "content": "synonyms or subcategories of classes. Specifically, if any category name in test dataset overlaps", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 250, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 506, + 263 + ], + "score": 1.0, + "content": "with a category name in training dataset, we consider it as a seen class; otherwise unseen. 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Our supplementary analysis also includes comparisons against", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 506, + 107 + ], + "score": 1.0, + "content": "other methods that specifically address open-vocabulary semantic segmentation, ensemble methods,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 118 + ], + "score": 1.0, + "content": "and hyperparameter tuning. 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We specifically", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 204, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 104, + 204, + 159, + 221 + ], + "score": 1.0, + "content": "focus on the", + "type": "text" + }, + { + "bbox": [ + 159, + 207, + 186, + 218 + ], + "score": 0.84, + "content": "\\mathrm { P Q } ^ { \\mathrm { s e e n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 204, + 205, + 221 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 205, + 207, + 239, + 218 + ], + "score": 0.74, + "content": "\\mathrm { P Q } ^ { \\mathrm { u n s e e n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 204, + 506, + 221 + ], + "score": 1.0, + "content": "metrics, which evaluate the performance for classes that overlap", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 217, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 506, + 230 + ], + "score": 1.0, + "content": "and do not overlap between the training and testing datasets, respectively. To determine whether a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 228, + 505, + 241 + ], + "score": 1.0, + "content": "class is seen or unseen, we adopt the prompt engineering technique described in [29], which provides", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 239, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 506, + 253 + ], + "score": 1.0, + "content": "synonyms or subcategories of classes. Specifically, if any category name in test dataset overlaps", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 250, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 506, + 263 + ], + "score": 1.0, + "content": "with a category name in training dataset, we consider it as a seen class; otherwise unseen. As", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 261, + 506, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 506, + 273 + ], + "score": 1.0, + "content": "discussed in the main paper, the proposed FC-CLIP contains three components: a class-agnostic mask", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 271, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 286 + ], + "score": 1.0, + "content": "generator, an in-vocabulary classifier, and an out-of-vocabulary classifier. We thus explore using", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 284, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 506, + 295 + ], + "score": 1.0, + "content": "frozen or trainable CLIP for each component, and summarize the results in Tab. 6. To ensure a fair", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 294, + 505, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 505, + 306 + ], + "score": 1.0, + "content": "comparison, all \"trainable\" modules utilize the same weights, resulting in identical mask proposals", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 305, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 505, + 317 + ], + "score": 1.0, + "content": "and in-vocabulary classification results. 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Using a", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 382, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 106, + 382, + 505, + 393 + ], + "score": 1.0, + "content": "trainable mask generator and in-vocabulary classifier, along with a frozen out-of-vocabulary classifier", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 391, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 506, + 406 + ], + "score": 1.0, + "content": "boosts the performance but requires maintaining one trainable and one frozen CLIP weights, resulting", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 403, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 106, + 403, + 116, + 416 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 117, + 403, + 131, + 414 + ], + "score": 0.86, + "content": "2 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 403, + 505, + 416 + ], + "score": 1.0, + "content": "more backbone parameters. 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Note that", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 479, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 479, + 505, + 490 + ], + "score": 1.0, + "content": "our mask generator and in-vocabulary classifier use the same backbone following [20, 29, 94], and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 488, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 505, + 502 + ], + "score": 1.0, + "content": "thus it is infeasible (denoted as N/A) for the setting in the 2nd last row. 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mask generatorin-vocabulary classifierout-of-vocabulary classifierPQPQseenPQunseen
trainabletrainable117.737.92.6
trainable-frozen21.132.412.6
trainabletrainabletrainable24.138.913.1
trainabletrainablefrozen25.440.014.6
trainablefrozenfrozenN/AN/AN/A
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grounding PQgrounding mloU
methodADE20K Cityscapes MV|A-847 PC-459 A-150 PC-59 PAS-21 PAS-20
ALIGN [40, 29]- =17.8 121.825.7 34.21-
ALIGN w/ proposal [40, 29]17.319.7 25.332.0
LSeg+ [48,29]10.517.1 30.856.7
OpenSeg [29]21.832.1 41.057.2-
OpenSeg [29] w/L. Narr- -- 25.439.045.5 61.5--
FC-CLIP (ours)38.4 48.121.5 33.441.254.1 74.988.798.5
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methodarithmeticgeometric
(a=0.0,β=0.0)17.817.8
(α = 1.0,β = 1.0)21.921.9
(α = 0.0,β = 1.0)25.325.3
(α = 1.0,β = 0.0)17.517.5
(a = 0.5,β = 0.5)25.025.3
(α = 0.5, β = 0.6)25.626.4
(α = 0.5,β = 0.7)25.526.7
(α = 0.5,β = 0.8)25.426.6
(α = 0.4,β = 0.6)25.125.6
(α = 0.4,β = 0.7)25.626.4
(α = 0.4,β = 0.8)25.626.8
(α = 0.4, β = 0.9)25.425.8
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CLIP backboneCOCO PQ @res 224 448 672 896 1120ADE20K PQ @res 224 448 672 896 1120
ViT-L/1419.3 22.5 20.6 18.5 14.911.9 13.7 12.6 11.6 9.1
ConvNeXt-L
17.3 23.5 27.0 28.6 29.39.3 12.8 14.8 16.0 15.9
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grounding PQgrounding mloU
methodADE20K Cityscapes MV|A-847 PC-459 A-150 PC-59 PAS-21 PAS-20
ALIGN [40, 29]- =17.8 121.825.7 34.21-
ALIGN w/ proposal [40, 29]17.319.7 25.332.0
LSeg+ [48,29]10.517.1 30.856.7
OpenSeg [29]21.832.1 41.057.2-
OpenSeg [29] w/L. Narr- -- 25.439.045.5 61.5--
FC-CLIP (ours)38.4 48.121.5 33.441.254.1 74.988.798.5
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methodarithmeticgeometric
(a=0.0,β=0.0)17.817.8
(α = 1.0,β = 1.0)21.921.9
(α = 0.0,β = 1.0)25.325.3
(α = 1.0,β = 0.0)17.517.5
(a = 0.5,β = 0.5)25.025.3
(α = 0.5, β = 0.6)25.626.4
(α = 0.5,β = 0.7)25.526.7
(α = 0.5,β = 0.8)25.426.6
(α = 0.4,β = 0.6)25.125.6
(α = 0.4,β = 0.7)25.626.4
(α = 0.4,β = 0.8)25.626.8
(α = 0.4, β = 0.9)25.425.8
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CLIP backboneCOCO PQ @res 224 448 672 896 1120ADE20K PQ @res 224 448 672 896 1120
ViT-L/1419.3 22.5 20.6 18.5 14.911.9 13.7 12.6 11.6 9.1
ConvNeXt-L
17.3 23.5 27.0 28.6 29.39.3 12.8 14.8 16.0 15.9
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We also explore extreme cases, including", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 645, + 504, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 140, + 656 + ], + "score": 0.89, + "content": "\\alpha = 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 645, + 158, + 658 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 158, + 645, + 192, + 657 + ], + "score": 0.91, + "content": "\\beta = 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 645, + 470, + 658 + ], + "score": 1.0, + "content": "(i.e., exclusively utilizing the in-vocabulary classifier for every class),", + "type": "text" + }, + { + "bbox": [ + 470, + 646, + 504, + 655 + ], + "score": 0.87, + "content": "\\alpha = 1 . 0", + "type": "inline_equation" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 123, + 668 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 657, + 157, + 667 + ], + "score": 0.9, + "content": "\\beta = 1 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 655, + 453, + 668 + ], + "score": 1.0, + "content": "(i.e., exclusively utilizing the out-of-vocabulary classifier for every class),", + "type": "text" + }, + { + "bbox": [ + 453, + 657, + 487, + 667 + ], + "score": 0.89, + "content": "\\alpha = 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 667, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 140, + 678 + ], + "score": 0.91, + "content": "\\beta = 1 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 140, + 667, + 505, + 679 + ], + "score": 1.0, + "content": "(i.e., using the in-vocabulary classifier for seen classes and the out-of-vocabulary classifier for", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 677, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 187, + 691 + ], + "score": 1.0, + "content": "unseen classes), and", + "type": "text" + }, + { + "bbox": [ + 188, + 678, + 222, + 689 + ], + "score": 0.89, + "content": "\\alpha = 1 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 677, + 239, + 691 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 240, + 678, + 273, + 689 + ], + "score": 0.91, + "content": "\\beta = 0 . 0", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 677, + 506, + 691 + ], + "score": 1.0, + "content": "(i.e., using the out-of-vocabulary classifier for seen classes", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "and the in-vocabulary classifier for unseen classes). The results align with our observations that it", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "is preferable to bias towards the in-vocabulary classifier for seen classes and the out-of-vocabulary", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 711, + 221, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 221, + 723 + ], + "score": 1.0, + "content": "classifier for unseen classes.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 524, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 205, + 101, + 405, + 154 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 77, + 503, + 99 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 76, + 505, + 90 + ], + "spans": [ + { + "bbox": [ + 105, + 76, + 505, + 90 + ], + "score": 1.0, + "content": "Table 10: Quantitative results of ViT-based CLIP and CNN-based CLIP when input size", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 88, + 347, + 101 + ], + "spans": [ + { + "bbox": [ + 106, + 88, + 347, + 101 + ], + "score": 1.0, + "content": "(denoted as \"res\") varies for ImageNet-1k classification.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "table_body", + "bbox": [ + 205, + 101, + 405, + 154 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 205, + 101, + 405, + 154 + ], + "spans": [ + { + "bbox": [ + 205, + 101, + 405, + 154 + ], + "score": 0.96, + "html": "
CLIP backboneAccuracy ( @res 224336 448 560 672 784896
ViT-L/1475.3 74.3 71.3 67.5 63.1 58.5 53.9
ConvNeXt-L75.1 77.1 76.8 74.2 69.8 65.6 58.4
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methodbackbone panoptic datasets (PQ)semantic datasets (mIoU)
ADECityscapes MVA-847PC-459PC-59PAS-21
FC-CLIPR50 [35, 69]17.940.315.97.112.950.575.9
FC-CLIPR101 [35,69]19.140.916.77.712.348.977.6
FC-CLIPR50×4[69]21.842.217.48.713.154.079.0
FC-CLIPR50×16 [69]22.542.017.810.315.756.480.7
FC-CLIPR50×64 [69]22.842.718.210.816.255.780.3
FC-CLIP w/ kMaXConvNeXt-L [58,38]24.543.017.011.415.057.484.7
FC-CLIP w/ kMaX*ConvNeXt-L [58, 38]26.440.217.413.617.557.181.2
FC-CLIPConvNeXt-L [58,38]26.844.018.214.818.258.481.8
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Therefore, to evaluate", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "score": 1.0, + "content": "the effects of using ViT- or CNN-based CLIP in our framework, we incorporate them into our out-of-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 378, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 378, + 506, + 392 + ], + "score": 1.0, + "content": "vocabulary classifier, which is performed only during inference. To ensure a fair comparison, we use", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 390, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 506, + 402 + ], + "score": 1.0, + "content": "the same mask proposals and disable the geometric ensemble scheme. We also perform experiment", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 401, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 506, + 413 + ], + "score": 1.0, + "content": "on the ImageNet [73] benchmark to ensure a comprehensive comaprison. In Tab. 9 and Tab. 10, we", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "conduct an ablation study to analyze the impact of different input resolutions for CLIP models. We", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 420, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 436 + ], + "score": 1.0, + "content": "consider both ViT-based (ViT-L/14) and CNN-based (ConvNeXt-L) CLIP models. By employing", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 433, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 447 + ], + "score": 1.0, + "content": "them as zero-shot classifiers and varying the input resolutions, we observe that CNN-based CLIP", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 444, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 506, + 457 + ], + "score": 1.0, + "content": "demonstrates superior generalization ability as the input size scales up. Specifically, we observe that", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 455, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 506, + 467 + ], + "score": 1.0, + "content": "the ViT-L/14 CLIP has a higher PQ and Accuracy at a lower resolution (i.e., input size 224), but", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "suffers from a higher resolution, which leads existing two-stage methods [90, 52, 25, 91, 89] to adopt", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 476, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 489 + ], + "score": 1.0, + "content": "different input resolutions for mask generator and classifier branches. On the contrary, FC-CLIP", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 488, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 500 + ], + "score": 1.0, + "content": "provides a simple solution by adopting a CNN-based CLIP that generalizes well to different input", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 500, + 131, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 131, + 510 + ], + "score": 1.0, + "content": "sizes.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 514, + 505, + 581 + ], + "lines": [ + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 528 + ], + "score": 1.0, + "content": "FC-CLIP with Different Backbones and Different Segmentation Frameworks Though we", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "majorly report FC-CLIP results with ConvNeXt-L [58, 69] backbone in Mask2Former [20] frame-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 537, + 504, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 504, + 549 + ], + "score": 1.0, + "content": "work. We note that FC-CLIP can be easily incorporated with different backbones and segmentation", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "frameworks. Specifically, we experiment FC-CLIP with different backbones (e.g., ResNet [35]) and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "score": 1.0, + "content": "different segmentation architecture (e.g., kMaX-DeepLab [94]). As shown in Tab. 11, FC-CLIP", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 569, + 427, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 427, + 582 + ], + "score": 1.0, + "content": "demonstrates superior performance across different backbones and frameworks.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 391, + 597 + ], + "lines": [ + { + "bbox": [ + 106, + 585, + 392, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 585, + 392, + 599 + ], + "score": 1.0, + "content": "Visualization We provide visualization on ADE20K val set in Fig. 5.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "title", + "bbox": [ + 107, + 613, + 303, + 628 + ], + "lines": [ + { + "bbox": [ + 104, + 612, + 304, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 612, + 304, + 630 + ], + "score": 1.0, + "content": "7 Datasets Information and Licenses", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 639, + 436, + 651 + ], + "lines": [ + { + "bbox": [ + 106, + 639, + 438, + 652 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 438, + 652 + ], + "score": 1.0, + "content": "The datasets we used for training and/or testing FC-CLIP are described as follows.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 690 + ], + "lines": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "COCO: We train FC-CLIP on COCO data with panoptic annotation [54]. We follow the 2017", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 187, + 680 + ], + "score": 1.0, + "content": "splits which include", + "type": "text" + }, + { + "bbox": [ + 188, + 667, + 209, + 677 + ], + "score": 0.83, + "content": "1 1 8 k", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 667, + 312, + 680 + ], + "score": 1.0, + "content": "images for train split and", + "type": "text" + }, + { + "bbox": [ + 312, + 667, + 324, + 677 + ], + "score": 0.78, + "content": "5 k", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "images for val split. 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CLIP backboneAccuracy ( @res 224336 448 560 672 784896
ViT-L/1475.3 74.3 71.3 67.5 63.1 58.5 53.9
ConvNeXt-L75.1 77.1 76.8 74.2 69.8 65.6 58.4
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methodbackbone panoptic datasets (PQ)semantic datasets (mIoU)
ADECityscapes MVA-847PC-459PC-59PAS-21
FC-CLIPR50 [35, 69]17.940.315.97.112.950.575.9
FC-CLIPR101 [35,69]19.140.916.77.712.348.977.6
FC-CLIPR50×4[69]21.842.217.48.713.154.079.0
FC-CLIPR50×16 [69]22.542.017.810.315.756.480.7
FC-CLIPR50×64 [69]22.842.718.210.816.255.780.3
FC-CLIP w/ kMaXConvNeXt-L [58,38]24.543.017.011.415.057.484.7
FC-CLIP w/ kMaX*ConvNeXt-L [58, 38]26.440.217.413.617.557.181.2
FC-CLIPConvNeXt-L [58,38]26.844.018.214.818.258.481.8
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Therefore, to evaluate", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 506, + 380 + ], + "score": 1.0, + "content": "the effects of using ViT- or CNN-based CLIP in our framework, we incorporate them into our out-of-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 378, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 104, + 378, + 506, + 392 + ], + "score": 1.0, + "content": "vocabulary classifier, which is performed only during inference. To ensure a fair comparison, we use", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 390, + 506, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 506, + 402 + ], + "score": 1.0, + "content": "the same mask proposals and disable the geometric ensemble scheme. We also perform experiment", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 401, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 506, + 413 + ], + "score": 1.0, + "content": "on the ImageNet [73] benchmark to ensure a comprehensive comaprison. In Tab. 9 and Tab. 10, we", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 411, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 424 + ], + "score": 1.0, + "content": "conduct an ablation study to analyze the impact of different input resolutions for CLIP models. We", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 420, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 436 + ], + "score": 1.0, + "content": "consider both ViT-based (ViT-L/14) and CNN-based (ConvNeXt-L) CLIP models. By employing", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 433, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 506, + 447 + ], + "score": 1.0, + "content": "them as zero-shot classifiers and varying the input resolutions, we observe that CNN-based CLIP", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 444, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 506, + 457 + ], + "score": 1.0, + "content": "demonstrates superior generalization ability as the input size scales up. Specifically, we observe that", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 455, + 506, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 506, + 467 + ], + "score": 1.0, + "content": "the ViT-L/14 CLIP has a higher PQ and Accuracy at a lower resolution (i.e., input size 224), but", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 466, + 505, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 478 + ], + "score": 1.0, + "content": "suffers from a higher resolution, which leads existing two-stage methods [90, 52, 25, 91, 89] to adopt", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 476, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 489 + ], + "score": 1.0, + "content": "different input resolutions for mask generator and classifier branches. 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We note that FC-CLIP can be easily incorporated with different backbones and segmentation", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "frameworks. Specifically, we experiment FC-CLIP with different backbones (e.g., ResNet [35]) and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 505, + 571 + ], + "score": 1.0, + "content": "different segmentation architecture (e.g., kMaX-DeepLab [94]). 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We also evaluate the model with background class excluded, which leads to PAS-20.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 340, + 506, + 385 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 389, + 335, + 401 + ], + "lines": [ + { + "bbox": [ + 106, + 388, + 336, + 402 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 336, + 402 + ], + "score": 1.0, + "content": "URL: http://host.robots.ox.ac.uk/pascal/VOC/", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 106, + 388, + 336, + 402 + ] + } + ] + } + ], + "_backend": "pipeline", + "_version_name": "2.2.2" +} \ No newline at end of file diff --git a/parse/dev/EbMuimAbPbs/EbMuimAbPbs.md b/parse/dev/EbMuimAbPbs/EbMuimAbPbs.md new file mode 100644 index 0000000000000000000000000000000000000000..3de91297d01aea02b2029c9968303e19713b7925 --- /dev/null +++ b/parse/dev/EbMuimAbPbs/EbMuimAbPbs.md @@ -0,0 +1,442 @@ +# Flamingo: a Visual Language Model for Few-Shot Learning + +Jean-Baptiste Alayrac\*,‡ Jeff Donahue\* Pauline Luc\* Antoine Miech\* + +Iain Barr† Yana Hasson† Karel Lenc† Arthur Mensch† Katie Millican† + +Malcolm Reynolds† Roman Ring† Eliza Rutherford† Serkan Cabi Tengda Han + +Zhitao Gong Sina Samangooei Marianne Monteiro Jacob Menick + +Sebastian Borgeaud Andrew Brock Aida Nematzadeh Sahand Sharifzadeh + +Mikolaj Binkowski Ricardo Barreira Oriol Vinyals Andrew Zisserman + +Karen Simonyan\*,‡ + +\* Equal contributions, ordered alphabetically, † Equal contributions, ordered alphabetically, ‡ Equal senior contributions + +# DeepMind + +# Abstract + +Building models that can be rapidly adapted to novel tasks using only a handful of annotated examples is an open challenge for multimodal machine learning research. We introduce Flamingo, a family of Visual Language Models (VLM) with this ability. We propose key architectural innovations to: (i) bridge powerful pretrained vision-only and language-only models, (ii) handle sequences of arbitrarily interleaved visual and textual data, and (iii) seamlessly ingest images or videos as inputs. Thanks to their flexibility, Flamingo models can be trained on large-scale multimodal web corpora containing arbitrarily interleaved text and images, which is key to endow them with in-context few-shot learning capabilities. We perform a thorough evaluation of our models, exploring and measuring their ability to rapidly adapt to a variety of image and video tasks. These include open-ended tasks such as visual question-answering, where the model is prompted with a question which it has to answer; captioning tasks, which evaluate the ability to describe a scene or an event; and close-ended tasks such as multiple-choice visual question-answering. For tasks lying anywhere on this spectrum, a single Flamingo model can achieve a new state of the art with few-shot learning, simply by prompting the model with task-specific examples. On numerous benchmarks, Flamingo outperforms models fine-tuned on thousands of times more task-specific data. + +![](images/500fea4496e438926bc70a717688f49aef7e0ec0799bbdcc53a49ceb3646c261.jpg) +Figure 1: Selected examples of inputs and outputs obtained from Flamingo-80B. Flamingo can rapidly adapt to various image/video understanding tasks with few-shot prompting (top). Out of the box, Flamingo is also capable of multi-image visual dialogue (bottom). More examples in Appendix C. + +![](images/67d3c4f598fa5f712a5a0d97a635ffbeefb2449fa69c58e60a16d12063b978e9.jpg) +Figure 2: Flamingo results overview. Left: Our largest model, dubbed Flamingo, outperforms state-of-the-art fine-tuned models on 6 of the 16 tasks we consider with no fine-tuning. For the 9 tasks with published few-shot results, Flamingo sets the new few-shot state of the art. Note: We omit RareAct, our 16th benchmark, as it is a zero-shot benchmark with no available fine-tuned results to compare to. Right: Flamingo performance improves with model size and number of shots. + +# 1 Introduction + +One key aspect of intelligence is the ability to quickly learn to perform a new task given a short instruction [33, 70]. While initial progress has been made towards a similar capability in computer vision, the most widely used paradigm still consists of first pretraining on a large amount of supervised data, before fine-tuning the model on the task of interest [66, 118, 143]. However, successful finetuning often requires many thousands of annotated data points. In addition, it often requires careful per-task hyperparameter tuning and is also resource intensive. Recently, multimodal vision-language models trained with a contrastive objective [50, 85] have enabled zero-shot adaptation to novel tasks, without the need for fine-tuning. However, because these models simply provide a similarity score between a text and an image, they can only address limited use cases such as classification, where a finite set of outcomes is provided beforehand. They crucially lack the ability to generate language, which makes them less suitable to more open-ended tasks such as captioning or visual questionanswering. Others have explored visually-conditioned language generation [17, 114, 119, 124, 132] but have not yet shown good performance in low-data regimes. + +We introduce Flamingo, a Visual Language Model (VLM) that sets a new state of the art in few-shot learning on a wide range of open-ended vision and language tasks, simply by being prompted with a few input/output examples, as illustrated in Figure 1. Of the 16 tasks we consider, Flamingo also surpasses the fine-tuned state of the art on 6 tasks, despite using orders of magnitude less task-specific training data (see Figure 2). To achieve this, Flamingo takes inspiration from recent work on large language models (LMs) which are good few-shot learners [11, 18, 42, 86]. A single large LM can achieve strong performance on many tasks using only its text interface: a few examples of a task are provided to the model as a prompt, along with a query input, and the model generates a continuation to produce a predicted output for that query. We show that the same can be done for image and video understanding tasks such as classification, captioning, or question-answering: these can be cast as text prediction problems with visual input conditioning. The difference from a LM is that the model must be able to ingest a multimodal prompt containing images and/or videos interleaved with text. Flamingo models have this capability—they are visually-conditioned autoregressive text generation models able to ingest a sequence of text tokens interleaved with images and/or videos, and produce text as output. Flamingo models leverage two complementary pre-trained and frozen models: a vision model which can “perceive” visual scenes and a large LM which performs a basic form of reasoning. Novel architecture components are added in between these models to connect them in a way that preserves the knowledge they have accumulated during computationally intensive pre-training. Flamingo models are also able to ingest high-resolution images or videos thanks to a Perceiver-based [48] architecture that can produce a small fixed number of visual tokens per image/video, given a large and variable number of visual input features. + +A crucial aspect for the performance of large LMs is that they are trained on a large amount of text data. This training provides general-purpose generation capabilities that allows these LMs to perform well when prompted with task examples. Similarly, we demonstrate that the way we train the Flamingo models is crucial for their final performance. They are trained on a carefully chosen mixture of complementary large-scale multimodal data coming only from the web, without using any data annotated for machine learning purposes. After this training, a Flamingo model can be directly adapted to vision tasks via simple few-shot learning without any task-specific tuning. + +![](images/f1607ad89c4ea7b40f8723498b439571ecfb75b7d7f622105db2d86667955992.jpg) +Figure 3: Flamingo architecture overview. Flamingo is a family of visual language models (VLMs) that take as input visual data interleaved with text and produce free-form text as output. + +Contributions. In summary, our contributions are the following: (i) We introduce the Flamingo family of VLMs which can perform various multimodal tasks (such as captioning, visual dialogue, or visual question-answering) from only a few input/output examples. Thanks to architectural innovations, the Flamingo models can efficiently accept arbitrarily interleaved visual data and text as input and generate text in an open-ended manner. (ii) We quantitatively evaluate how Flamingo models can be adapted to various tasks via few-shot learning. We notably reserve a large set of heldout benchmarks which have not been used for validation of any design decisions or hyperparameters of the approach. We use these to estimate unbiased few-shot performance. (iii) Flamingo sets a new state of the art in few-shot learning on a wide array of 16 multimodal language and image/video understanding tasks. On 6 of these 16 tasks, Flamingo also outperforms the fine-tuned state of the art despite using only 32 task-specific examples, around 1000 times less task-specific training data than the current state of the art. With a larger annotation budget, Flamingo can also be effectively fine-tuned to set a new state of the art on five additional challenging benchmarks: VQAv2, VATEX, VizWiz, MSRVTTQA, and HatefulMemes. + +# 2 Approach + +This section describes Flamingo: a visual language model that accepts text interleaved with images/videos as input and outputs free-form text. The key architectural components shown in Figure 3 are chosen to leverage pretrained vision and language models and bridge them effectively. First, the Perceiver Resampler (Section 2.1) receives spatio-temporal features from the Vision Encoder (obtained from either an image or a video) and outputs a fixed number of visual tokens. Second, these visual tokens are used to condition the frozen LM using freshly initialised cross-attention layers (Section 2.2) that are interleaved between the pretrained LM layers. These new layers offer an expressive way for the LM to incorporate visual information for the next-token prediction task. Flamingo models the likelihood of text $y$ conditioned on interleaved images and videos $x$ as follows: + +$$ +p ( \boldsymbol y | \boldsymbol x ) = \prod _ { \ell = 1 } ^ { L } p ( \boldsymbol y _ { \ell } | \boldsymbol y _ { \angle \ell } , \boldsymbol x _ { \le \ell } ) , +$$ + +where $y _ { \ell }$ is the $\ell$ -th language token of the input text, $y _ { < \ell }$ is the set of preceding tokens, $x _ { \le \ell }$ is the set of images/videos preceding token $y _ { \ell }$ in the interleaved sequence and $p$ is parametrized by a Flamingo model. The ability to handle interleaved text and visual sequences (Section 2.3) makes it natural to use Flamingo models for in-context few-shot learning, analogously to GPT-3 with few-shot text prompting. The model is trained on a diverse mixture of datasets as described in Section 2.4. + +![](images/88258190e789163c53cdf24613ff85d84b6075a3d7a575194ef67f24043af676.jpg) +Figure 4: GATED XATTN-DENSE layers. To condition the LM on visual inputs, we insert new cross-attention layers between existing pretrained and frozen LM layers. The keys and values in these layers are obtained from the vision features while the queries are derived from the language inputs. They are followed by dense feed-forward layers. These layers are gated so that the LM is kept intact at initialization for improved stability and performance. + +# 2.1 Visual processing and the Perceiver Resampler + +Vision Encoder: from pixels to features. Our vision encoder is a pretrained and frozen NormalizerFree ResNet (NFNet) [10] – we use the F6 model. We pretrain the vision encoder using a contrastive objective on our datasets of image and text pairs, using the two-term contrastive loss from Radford et al. [85]. We use the output of the final stage, a 2D spatial grid of features that is flattened to a 1D sequence. For video inputs, frames are sampled at 1 FPS and encoded independently to obtain a 3D spatio-temporal grid of features to which learned temporal embeddings are added. Features are then flattened to 1D before being fed to the Perceiver Resampler. More details on the contrastive model training and performance are given in Appendix B.1.3 and Appendix B.3.2, respectively. + +Perceiver Resampler: from varying-size large feature maps to few visual tokens. This module connects the vision encoder to the frozen language model as shown in Figure 3. It takes as input a variable number of image or video features from the vision encoder and produces a fixed number of visual outputs (64), reducing the computational complexity of the vision-text cross-attention. Similar to Perceiver [48] and DETR [13], we learn a predefined number of latent input queries which are fed to a Transformer and cross-attend to the visual features. We show in our ablation studies (Section 3.3) that using such a vision-language resampler module outperforms a plain Transformer and an MLP. We provide an illustration, more architectural details, and pseudo-code in Appendix A.1.1. + +# 2.2 Conditioning frozen language models on visual representations + +Text generation is performed by a Transformer decoder, conditioned on the visual representations produced by the Perceiver Resampler. We interleave pretrained and frozen text-only LM blocks with blocks trained from scratch that cross-attend to the visual output from the Perceiver Resampler. + +Interleaving new GATED XATTN-DENSE layers within a frozen pretrained LM. We freeze the pretrained LM blocks, and insert gated cross-attention dense blocks (Figure 4) between the original layers, trained from scratch. To ensure that at initialization, the conditioned model yields the same results as the original language model, we use a tanh-gating mechanism [41]. This multiplies the output of a newly added layer by $\operatorname { t a n h } ( \alpha )$ before adding it to the input representation from the residual connection, where $\alpha$ is a layer-specific learnable scalar initialized to 0 [4]. Thus, at initialization, the model output matches that of the pretrained LM, improving training stability and final performance. In our ablation studies (Section 3.3), we compare the proposed GATED XATTN-DENSE layers against recent alternatives [22, 68] and explore the effect of how frequently these additional layers are inserted to trade off between efficiency and expressivity. See Appendix A.1.2 for more details. + +Varying model sizes. We perform experiments across three models sizes, building on the 1.4B, 7B, and 70B parameter Chinchilla models [42]; calling them respectively Flamingo-3B, Flamingo-9B and + +Flamingo-80B. For brevity, we refer to the last as Flamingo throughout the paper. While increasing the parameter count of the frozen LM and the trainable vision-text GATED XATTN-DENSE modules, we maintain a fixed-size frozen vision encoder and trainable Perceiver Resampler across the different models (small relative to the full model size). See Appendix B.1.1 for further details. + +# 2.3 Multi-visual input support: per-image/video attention masking + +The image-causal modelling introduced in Equation (1) is obtained by masking the full text-to-image cross-attention matrix, limiting which visual tokens the model sees at each text token. At a given text token, the model attends to the visual tokens of the image that appeared just before it in the interleaved sequence, rather than to all previous images (formalized and illustrated in Appendix A.1.3). Though the model only directly attends to a single image at a time, the dependency on all previous images remains via self-attention in the LM. This single-image cross-attention scheme importantly allows the model to seamlessly generalise to any number of visual inputs, regardless of how many are used during training. In particular, we use only up to 5 images per sequence when training on our interleaved datasets, yet our model is able to benefit from sequences of up to 32 pairs (or “shots”) of images/videos and corresponding texts during evaluation. We show in Section 3.3 that this scheme is more effective than allowing the model to cross-attend to all previous images directly. + +# 2.4 Training on a mixture of vision and language datasets + +We train the Flamingo models on a mixture of three kinds of datasets, all scraped from the web: an interleaved image and text dataset derived from webpages, image-text pairs, and video-text pairs. + +M3W: Interleaved image and text dataset. The few-shot capabilities of Flamingo models rely on training on interleaved text and image data. For this purpose, we collect the MultiModal MassiveWeb (M3W) dataset. We extract both text and images from the HTML of approximately 43 million webpages, determining the positions of images relative to the text based on the relative positions of the text and image elements in the Document Object Model (DOM). An example is then constructed by inserting tags in plain text at the locations of the images on the page, and inserting a special $\mathtt { < E O C > }$ (end of chunk) token (added to the vocabulary and learnt) prior to any image and at the end of the document. From each document, we sample a random subsequence of $L = 2 5 6$ tokens and take up to the first $N = 5$ images included in the sampled sequence. Further images are discarded in order to save compute. More details are provided in Appendix A.3. + +Pairs of image/video and text. For our image and text pairs we first leverage the ALIGN [50] dataset, composed of 1.8 billion images paired with alt-text. To complement this dataset, we collect our own dataset of image and text pairs targeting better quality and longer descriptions: LTIP (Long Text & Image Pairs) which consists of 312 million image and text pairs. We also collect a similar dataset but with videos instead of still images: VTP (Video & Text Pairs) consists of 27 million short videos (approximately 22 seconds on average) paired with sentence descriptions. We align the syntax of paired datasets with the syntax of M3W by prepending and appending $\mathtt { < E O C > }$ to each training caption (see Appendix A.3.3 for details). + +Multi-objective training and optimisation strategy. We train our models by minimizing a weighted sum of per-dataset expected negative log-likelihoods of text, given the visual inputs: + +$$ +\sum _ { m = 1 } ^ { M } \lambda _ { m } \cdot \mathbb { E } _ { ( x , y ) \sim \mathcal { D } _ { m } } \left[ - \sum _ { \ell = 1 } ^ { L } \log p ( y _ { \ell } | y _ { < \ell } , x _ { \le \ell } ) \right] , +$$ + +where $\mathcal { D } _ { m }$ and $\lambda _ { m }$ are the $m$ -th dataset and its weighting, respectively. Tuning the per-dataset weights $\lambda _ { m }$ is key to performance. We accumulate gradients over all datasets, which we found outperforms a “round-robin” approach [17]. We provide further training details and ablations in Appendix B.1.2. + +# 2.5 Task adaptation with few-shot in-context learning + +Once Flamingo is trained, we use it to tackle a visual task by conditioning it on a multimodal interleaved prompt. We evaluate the ability of our models to rapidly adapt to new tasks using incontext learning, analogously to GPT-3 [11], by interleaving support example pairs in the form of $( i m a g e , t e x t )$ or (??????????, ????????), followed by the query visual input, to build a prompt (details in + +Table 1: Comparison to the state of the art. A single Flamingo model reaches the state of the art on a wide array of image (I) and video (V) understanding tasks with few-shot learning, significantly outperforming previous best zero- and few-shot methods with as few as four examples. More importantly, using only 32 examples and without adapting any model weights, Flamingo outperforms the current best methods – fine-tuned on thousands of annotated examples – on seven tasks. Best few-shot numbers are in bold, best numbers overall are underlined. + +
MethodFTShot OAAYA ZAAO Cco(A) VOAASSVA XIA() ZIMZT3MA ITLTTI(A)VOA!J ooJS TAIY( [PiI[T vY VOAXANR eeeeY
Zero/Few shot SOTAX[124][58][58][135][79] grrreieee
[34][114][143][85]
43.338.232.235.2=-19.2 012.2 0-39.411.6 0-[85] 66.1 (0)40.7
x)(16)(4) 49.2(0)0 27.540.100
Flamingo-3B041.273.028.960.611.032.755.8 64.639.646.130.1 32.721.3 22.453.7 53.658.4
X X4 3243.353.2 57.185.0 99.033.050.0 59.234.072.0 71.214.9 25.635.7 37.776.741.3 41.647.31
X45.9 44.751.879.442.6 30.239.545.5 28.861.513.735.255.041.847.3 48.030.6 31.826.1 23.056.3 57.057.9 -
X0 449.356.393.136.251.734.972.618.237.770.842.850.433.624.762.7-
Flamingo-9B51.060.4106.347.257.444.072.829.440.777.341.250.432.628.463.5-
X32 050.656.384.335.646.731.667.217.440.760.139.752.035.026.746.460.8
美457.463.1103.2 41.756.039.675.123.944.174.542.455.636.530.868.6-
FlamingoX3257.867.6113.852.365.149.875.431.045.386.842.255.637.933.570.0-
54.480.2143.347.976.357.267.4 [150]46.835.4 [135]138.7 [132]36.775.254.725.279.1
√(X)[34] (10K)[140] (444K)[124] [28] (500K) (27K)[153] (500K)[65] (20K)(30K)[51] (130K)(6K)(10K)[128] (46K)[79] (123K)[137] (20K)[129] (38K)[62] (9K)
+ +Appendix A.2). We perform open-ended evaluations using beam search for decoding, and closeended evaluations using our model’s log-likelihood to score each possible answer. We explore zero-shot generalization by prompting the model with two text-only examples from the task, with no corresponding images. Evaluation hyperparameters and additional details are given in Appendix B.1.5. + +# 3 Experiments + +Our goal is to develop models that can rapidly adapt to diverse and challenging tasks. For this, we consider a wide array of 16 popular multimodal image/video and language benchmarks. In order to validate model design decisions during the course of the project, 5 of these benchmarks were used as part of our development (DEV) set: COCO, OKVQA, VQAv2, MSVDQA and VATEX. Performance estimates on the DEV benchmarks may be biased, as a result of model selection. We note that this is also the case for prior work which makes use of similar benchmarks to validate and ablate design decisions. To account for this, we report performance on an additional set of 11 benchmarks, spanning captioning, video question-answering, as well as some less commonly explored capabilities such as visual dialogue and multi-choice question-answering tasks. The evaluation benchmarks are described in Appendix B.1.4. We keep all evaluation hyperparameters fixed across all benchmarks. Depending on the task, we use four few-shot prompt templates we describe in more detail in Appendix B.1.5. We emphasize that we do not validate any design decisions on these 11 benchmarks and use them solely to estimate unbiased few-shot learning performance of our models. + +Concretely, estimating few-shot learning performance of a model involves prompting it with a set of support samples and evaluating it on a set of query samples. For the DEV benchmarks that are used both to validate design decisions and hyperparameters, as well as to report final performance, we therefore use four subsets: validation support, validation query, test support and test query. For other benchmarks, we need only the latter two. We report in Appendix B.1.4 how we form these subsets. + +We report the results of the Flamingo models on few-shot learning in Section 3.1. Section 3.2 gives Flamingo fine-tuned results. An ablation study is given in Section 3.3. Appendix B.2 provides more results including Flamingo’s performance on the ImageNet and Kinetics700 classification tasks, and on our contrastive model’s performance. Appendix C includes additional qualitative results. + +# 3.1 Few-shot learning on vision-language tasks + +Few-shot results. Results are given in Table 1. Flamingo outperforms by a large margin all previous zero-shot or few-shot methods on the 16 benchmarks considered. This is achieved with as few as four examples per task, demonstrating practical and efficient adaptation of vision models to new tasks. More importantly, Flamingo is often competitive with state-of-the-art methods additionally fine-tuned on up to hundreds of thousands of annotated examples. On six tasks, Flamingo even outperforms the fine-tuned SotA despite using a single set of model weights and only 32 task-specific examples. Finally, despite having only used the DEV benchmarks for design decisions, our results generalize well to the other benchmarks, confirming the generality of our approach. + +Table 2: Comparison to SotA when fine-tuning Flamingo. We fine-tune Flamingo on all nine tasks where Flamingo does not achieve SotA with few-shot learning. Flamingo sets a new SotA on five of them, outperfoming methods (marked with $\dagger .$ ) that use tricks such as model ensembling or domain-specific metric optimisation (e.g., CIDEr optimisation). + +
MethodVQAV2 test-stdCOCOVATEX testVizWizMSRVTTQA testVisDial valid|test-stdYouCook2TextVQA valid|test-stdHatefulMemes test seen
test-devtesttest-devtest-stdvalid
32 shots67.6:113.865.149.8-31.056.8-86.836.0·70.0
Fine-tuned82.082.1138.184.265.765.447.461.859.7118.657.154.186.6
SotA81.381.3149.681.457.2160.646.875.275.4138.754.773.784.6
[133][133][119][153][65][65][51][79][123][132][137][84][152]
+ +
settingAblatedFlamingo-3B Changed original value valueParam. Step count↓ time↓CoCo CIDEr↑OKVQA top1个VQAv2 top1个MSVDQA top1个VATEX CIDEr↑Overall score↑
Flamingo-3B model w/o Video-Text pairs3.2B1.74s86.5 84.242.1 43.055.8 53.936.3 34.553.4 46.070.7 67.3
iTraining dataAll dataw/o Image-Text pairs Image-Text pairs→LAION w/oM3W3.2B 3.2B 3.2B 3.2B1.42s 0.95s 1.74s66.3 79.539.2 41.451.6 53.532.0 33.941.6 47.660.9 66.4
(ii)OptimisationAccumulationRound Robin3.2B1.02s 1.68s54.1 76.136.5 39.852.7 52.131.4 33.223.5 40.853.4 62.9
Tanh gating√X3.2B1.74s78.440.552.935.947.566.5
(iv)Cross-attention architectureGATED XATTN-DENSEVANILLA XATTN2.4B1.16s 1.74s80.6 79.241.553.4 50.832.9 32.250.7 47.866.9 63.1
Cross-attentionGRAFTING Single in middle3.3B 2.0B0.87s71.536.1 38.150.229.142.359.8
(v)frequencyEveryEvery 4th Every 2nd2.3B 2.6B1.02s 1.24s82.3 83.742.7 41.055.1 55.834.6 34.550.8 49.768.8 68.2
(vi)ResamplerPerceiverMLP Transformer3.2B 3.2B1.85s 1.81s78.6 83.242.2 41.754.7 55.635.2 31.544.7 48.366.6 66.7
(vii)Vision encoderNFNet-F6CLIP ViT-L/14 NFNet-F03.1B1.58s 1.45s76.5 73.841.653.4 52.833.2 31.144.5 42.964.9 62.7
(vii)X(random init)2.9B 3.2B2.42s74.840.5 31.545.626.950.157.8
Freezing LM√X (pretrained)3.2B2.42s81.233.747.431.053.962.7
+ +Table 3: Ablation studies. Each row should be compared to the baseline Flamingo run (top row). Step time measures the time spent to perform gradient updates on all training datasets. + +Scaling with respect to parameters and shots. As shown in Figure 2, the larger the model, the better the few-shot performance, similar to GPT-3 [11]. The performance also improves with the number of shots. We further find that the largest model better exploits larger numbers of shots. Interestingly, even though our Flamingo models were trained with sequences limited to only 5 images on M3W, they are still able to benefit from up to 32 images or videos during inference. This demonstrates the flexibility of the Flamingo architecture for processing a variable number of videos or images. + +# 3.2 Fine-tuning Flamingo as a pretrained vision-language model + +While not the main focus of our work, we verify that when given more data, Flamingo models can be adapted to a task by fine-tuning their weights. In Table 2, we explore fine-tuning our largest model, Flamingo, for a given task with no limit on the annotation budget. In short, we do so by fine-tuning the model on a short schedule with a small learning rate by additionally unfreezing the vision backbone to accommodate a higher input resolution (details in Appendix B.2.2). We find that we can improve results over our previously presented in-context few-shot learning results, setting a new state of the art on five additional tasks: VQAv2, VATEX, VizWiz, MSRVTTQA, and HatefulMemes. + +# 3.3 Ablation studies + +In Table 3, we report our ablation results using Flamingo-3B on the validation subsets of the five DEV benchmarks with 4 shots. Note that we use smaller batch sizes and a shorter training schedule compared to the final models. The Overall score is obtained by dividing each benchmark score by its state-of-the-art (SotA) performance from Table 1 and averaging the results. More details and results are given in Appendix B.3 and Table 10. + +Importance of the training data mixture. As shown in row (i), getting the right training data plays a crucial role. In fact, removing the interleaved image-text dataset M3W leads to a decrease of more than $1 7 \%$ in performance while removing the conventional paired image-text pairs also decreases performance (by $9 . 8 \%$ ), demonstrating the need for different types of datasets. Moreover, removing our paired video-text dataset negatively affects performance on all video tasks. We ablate replacing our image-text pairs (ITP) by the publicly available LAION-400M dataset [96], which leads to a slight degradation in performance. We show in row (ii) the importance of our gradient accumulation strategy compared to using round-robin updates [17]. + +Visual conditioning of the frozen LM. We ablate the use of the 0-initialized tanh gating when merging the cross-attention output to the frozen LM output in row (iii). Without it, we see a drop of $4 . 2 \%$ in our overall score. Moreover, we have noticed that disabling the 0-initialized tanh gating leads to training instabilities. Next, we ablate different conditioning architectures in row (iv). VANILLA XATTN, refers to the vanilla cross-attention from the original Transformer decoder [115]. In the GRAFTING approach from [68], the frozen LM is used as is with no additional layers inserted, and a stack of interleaved self-attention and cross-attention layers that take the frozen LM output are learnt from scratch. Overall, we show that our GATED XATTN-DENSE conditioning approach works best. + +Compute/Memory vs. performance trade-offs. In row (v), we ablate the frequency at which we add new GATED XATTN-DENSE blocks. Although adding them at every layer is better, it significantly increases the number of trainable parameters and time complexity of the model. Notably, inserting them every fourth block accelerates training by $6 6 \%$ while only decreasing the overall score by $1 . 9 \%$ In light of this trade-off, we maximize the number of added layers under hardware constraints and add a GATED XATTN-DENSE every fourth layer for Flamingo-9B and every seventh for Flamingo-80B. We further compare in row (vi) the Perceiver Resampler to a MLP and a vanilla Transformer given a parameter budget. Both underperform the Perceiver Resampler while also being slower. + +Vision encoder. In row (vii), we compare our NFNet-F6 vision encoder pretrained with contrastive learning (details in Appendix B.1.3) to the publicly available CLIP ViT-L/14 [85] model trained at 224 resolution. Our NFNet-F6 has a $+ 5 . 8 \%$ advantage over the CLIP ViT-L/14 and $+ 8 . 0 \%$ over a smaller NFNet-F0 encoder, which highlights the importance of using a strong vision backbone. + +Freezing LM components prevents catastrophic forgetting. We verify the importance of freezing the LM layers at training in row (viii). If trained from scratch, we observe a large performance decrease of $- 1 2 . 9 \%$ . Interestingly, fine-tuning our pretrained LM also leads to a drop in performance of $- 8 . 0 \%$ . This indicates an instance of “catastrophic forgetting” [71], in which the model progressively forgets its pretraining while training on a new objective. In our setting, freezing the language model is a better alternative to training with the pre-training dataset (MassiveText) in the mixture. + +# 4 Related work + +Language modelling and few-shot adaptation. Language modelling has recently made substantial progress following the introduction of Transformers [115]. The paradigm of first pretraining on a vast amount of data followed by an adaptation on a downstream task has become standard [11, 23, 32, 44, 52, 75, 87, 108]. In this work, we build on the 70B Chinchilla language model [42] as the base LM for Flamingo. Numerous works have explored techniques to adapt language models to novel tasks using a few examples. These include adding small adapter modules [43], fine-tuning a small part of the LM [141], showing in-context examples in the prompt [11], or optimizing the prompt [56, 60] through gradient descent. In this paper, we take inspiration from the in-context [11] few-shot learning technique instead of more involved few-shot learning approaches based on metric learning [24, 103, 112, 117] or meta-learning [6, 7, 27, 31, 91, 155]. + +When language meets vision. These LM breakthroughs have been influential for vision-language modelling. In particular, BERT [23] inspired a large body of vision-language work [16, 28, 29, 38, 59, 61, 66, 101, 106, 107, 109, 118, 121, 142, 143, 151]. We differ from these approaches as Flamingo models do not require fine-tuning on new tasks. Another family of vision-language models is based on contrastive learning [2, 5, 49, 50, 57, 74, 82, 85, 138, 140, 146]. Flamingo differs from contrastive models as it can generate text, although we build and rely upon them for our vision encoder. Similar to our work are VLMs able to generate text in an autoregressive manner [19, 25, 45, 67, 116]. Concurrent works [17, 58, 119, 124, 154] also propose to formulate numerous vision tasks as text generation problems. Building on top of powerful pretrained language models has been explored in several recent works. One recent line of work [26, 68, 78, 114, 136, 144] proposes to freeze the pretrained LM weights to prevent catastrophic forgetting [71]. We follow this idea by freezing the + +Chinchilla LM layers [42] and adding learnable layers within the frozen LM. We differ from prior work by introducing the first LM that can ingest arbitrarily interleaved images, videos, and text. + +Web-scale vision and language training datasets. Manually annotated vision and language datasets are costly to obtain and thus relatively small (10k-100k) in scale [3, 15, 69, 122, 129, 139]. To alleviate this lack of data, numerous works [14, 50, 98, 110] automatically scrape readily available paired vision-text data. In addition to such paired data, we show the importance of also training on entire multimodal webpages containing interleaved images and text as a single sequence. Concurrent work CM3 [1] proposes to generate HTML markup from pages, while we simplify the text prediction task by only generating plain text. We emphasize few-shot learning and vision tasks while CM3 [1] primarily evaluates on language-only benchmarks in a zero-shot or fine-tuned setup. + +# 5 Discussion + +Limitations. First, our models build on pretrained LMs, and as a side effect, directly inherit their weaknesses. For example, LM priors are generally helpful, but may play a role in occasional hallucinations and ungrounded guesses. Furthermore, LMs generalise poorly to sequences longer than the training ones. They also suffer from poor sample efficiency during training. Addressing these issues can accelerate progress in the field and enhance the abilities of VLMs like Flamingo. + +Second, the classification performance of Flamingo lags behind that of state-of-the-art contrastive models [82, 85]. These models directly optimize for text-image retrieval, of which classification is a special case. In contrast, our models handle a wider range of tasks, such as open-ended ones. A unified approach to achieve the best of both worlds is an important research direction. + +Third, in-context learning has significant advantages over gradient-based few-shot learning methods, but also suffers from drawbacks depending on the characteristics of the application at hand. We demonstrate the effectiveness of in-context learning when access is limited to only a few dozen examples. In-context learning also enables simple deployment, requiring only inference, generally with no hyperparameter tuning needed. However, in-context learning is known to be highly sensitive to various aspects of the demonstrations [80, 148], and its inference compute cost and absolute performance scale poorly with the number of shots beyond this low-data regime. There may be opportunities to combine few-shot learning methods to leverage their complementary benefits. We discuss the limitations of our work in more depth in Appendix D.1. + +Societal impacts. In terms of societal impacts, Flamingo offers a number of benefits while carrying some risks. Its ability to rapidly adapt to a broad range of tasks have the potential to enable non-expert users to obtain good performance in data-starved regimes, lowering the barriers to both beneficial and malicious applications. Flamingo is exposed to the same risks as large language models, such as outputting offensive language, propagating social biases and stereotypes, as well as leaking private information [42, 126]. Its ability to additionally handle visual inputs poses specific risks such as gender and racial biases relating to the contents of the input images, similar to a number of visual recognition systems [12, 21, 37, 97, 147]. We refer the reader to Appendix D.2 for a more extensive discussion of the societal impacts of our work, both positive and negative; as well as mitigation strategies and early investigations of risks relating to racial or gender bias and toxic outputs. Finally we note that, following prior work focusing on language models [72, 81, 111], the few-shot capabilities of Flamingo could be useful for mitigating such risks. + +Conclusion. We proposed Flamingo, a general-purpose family of models that can be applied to image and video tasks with minimal task-specific training data. We also qualitatively explored interactive abilities of Flamingo such as “chatting” with the model, demonstrating flexibility beyond traditional vision benchmarks. Our results suggest that connecting pre-trained large language models with powerful visual models is an important step towards general-purpose visual understanding. + +Acknowledgments and Disclosure of Funding. This research was funded by DeepMind. We would like to thank many colleagues for useful discussions, suggestions, feedback, and advice, including: Samuel Albanie, Relja Arandjelovic, Kareem Ayoub, Lorrayne Bennett, Adria Recasens Continente, ´ Tom Eccles, Nando de Freitas, Sander Dieleman, Conor Durkan, Aleksa Gordic, Raia Hadsell, ´ Will Hawkins, Lisa Anne Hendricks, Felix Hill, Jordan Hoffmann, Geoffrey Irving, Drew Jaegle, Koray Kavukcuoglu, Agustin Dal Lago, Mateusz Malinowski, Sona Mokrá, Gaby Pearl, Toby Pohlen, ˇ Jack Rae, Laurent Sifre, Francis Song, Maria Tsimpoukelli, Gregory Wayne, and Boxi Wu. + +References [1] Armen Aghajanyan, Bernie Huang, Candace Ross, Vladimir Karpukhin, Hu Xu, Naman Goyal, Dmytro Okhonko, Mandar Joshi, Gargi Ghosh, Mike Lewis, and Luke Zettlemoyer. CM3: A causal masked multimodal model of the internet. arXiv:2201.07520, 2022. 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For all authors... + +(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s contributions and scope? [Yes] +(b) Did you describe the limitations of your work? [Yes] See Section 5. +(c) Did you discuss any potential negative societal impacts of your work? [Yes] See Section 5 for a brief discussion and Appendix D.2 for the full discussion. +(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] + +2. If you are including theoretical results... + +(a) Did you state the full set of assumptions of all theoretical results? [N/A] (b) Did you include complete proofs of all theoretical results? [N/A] + +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] The code and the data are proprietary. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] See Section 3 and Appendix B. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [No] We do not observe large enough variance in our training runs to justify the computation cost incurred by multiple training runs. For the largest models, it is not feasible within our compute budget. +(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)? [Yes] Details can be found in Appendix B.1.2. In short, our largest run was trained on 1536 TPU chips for 15 days. + +4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... + +(a) If your work uses existing assets, did you cite the creators? [Yes] We properly cited the prior methods on which our work is based, as well as prior datasets when appropriate (e.g., ALIGN). +(b) Did you mention the license of the assets? [N/A] The assets we used are previous work for which we cited papers. We do mention the license of all visual assets we use for the figures of the paper in Appendix G. +(c) Did you include any new assets either in the supplemental material or as a URL? [No] +(d) Did you discuss whether and how consent was obtained from people whose data you’re using/curating? [Yes] Our data was automatically scraped from million of webpages. See Datasheets [30] in Appendix F. +(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [Yes] See Datasheets [30] in Appendix F. + +5. If you used crowdsourcing or conducted research with human subjects... + +(a) Did you include the full text of instructions given to participants and screenshots, if applicable? 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[N/A] \ No newline at end of file diff --git a/parse/dev/Fkckkr3ya8/Fkckkr3ya8_content_list.json b/parse/dev/Fkckkr3ya8/Fkckkr3ya8_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..14e6abfff103b9129fa21aa3f8219ea4731f246b --- /dev/null +++ b/parse/dev/Fkckkr3ya8/Fkckkr3ya8_content_list.json @@ -0,0 +1,3971 @@ +[ + { + "type": "text", + "text": "Faith and Fate: Limits of Transformers on Compositionality ", + "text_level": 1, + "bbox": [ + 232, + 122, + 766, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Nouha Dziri1∗, Ximing $\\mathbf { L u } ^ { 1 , 2 * }$ , Melanie Sclar2∗, Xiang Lorraine $\\mathbf { L i } ^ { \\dagger }$ , Liwei Jiang1,2† , Bill Yuchen Lin1†, Peter West1,2, Chandra Bhagavatula1, Ronan Le Bras1, Jena D. Hwang1, Soumya Sanyal3, Sean Welleck1,2, Xiang $\\mathbf { R e n } ^ { 1 , 3 }$ , Allyson Ettinger1,4, Zaid Harchaoui1,2, Yejin Choi1,2 ", + "bbox": [ + 184, + 224, + 816, + 285 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1Allen Institute for Artificial Intelligence 2University of Washington 3University of Southern California 4University of Chicago ", + "bbox": [ + 267, + 289, + 732, + 318 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "nouhad@allenai.org, ximinglu@allenai.org, msclar@cs.washington.edu ", + "bbox": [ + 217, + 324, + 781, + 338 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 362, + 535, + 378 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Transformer large language models (LLMs) have sparked admiration for their exceptional performance on tasks that demand intricate multi-step reasoning. Yet, these models simultaneously show failures on surprisingly trivial problems. This begs the question: Are these errors incidental, or do they signal more substantial limitations? In an attempt to demystify transformer LLMs, we investigate the limits of these models across three representative compositional tasks—multi-digit multiplication, logic grid puzzles, and a classic dynamic programming problem. These tasks require breaking problems down into sub-steps and synthesizing these steps into a precise answer. We formulate compositional tasks as computation graphs to systematically quantify the level of complexity, and break down reasoning steps into intermediate sub-procedures. Our empirical findings suggest that transformer LLMs solve compositional tasks by reducing multi-step compositional reasoning into linearized subgraph matching, without necessarily developing systematic problem-solving skills. To round off our empirical study, we provide theoretical arguments on abstract multi-step reasoning problems that highlight how autoregressive generations’ performance can rapidly decay with increased task complexity. ", + "bbox": [ + 233, + 392, + 766, + 613 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 637, + 310, + 655 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "“It was the epoch of belief, it was the epoch of incredulity.” – Charles Dickens, A Tale of Two Cities ", + "bbox": [ + 174, + 667, + 818, + 683 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Large-scale transformers such as ChatGPT [57] and GPT4 [58] demonstrate unprecedented capabilities [57, 74, 11, 15, 85], even noted as “sparks of AGI” [12]. In stark contrast, the same models sometimes struggle with simple, intuitive tasks [9, 62, 40]. For instance, humans can solve 3-digit by 3-digit multiplication arithmetic after learning basic calculation rules [22, 34]. Yet, off-the-shelf ChatGPT and GPT4 achieve only $55 \\%$ and $59 \\%$ accuracies on this task, respectively (§3). ", + "bbox": [ + 174, + 689, + 825, + 758 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The striking discrepancy between the impressive successes of transformer LLMs on seemingly complex tasks and the astonishing failures on seemingly trivial tasks spark critical open questions about how to faithfully interpret their mixed capabilities. Under what conditions do transformers succeed, fail, and why? What types of errors do they make? Can transformers uncover implicit problem-solving rules or be taught to follow reasoning paths? ", + "bbox": [ + 174, + 765, + 825, + 834 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Seeking thorough answers to these questions remains an open research challenge. However, we offer novel insights into the fundamental limits of transformers2, centered around compositional problems that require strict multi-hop reasoning to derive correct predictions. Applying step-by-step reasoning is fundamental to human intelligence [69, 68]. These compositional problems present compelling challenges for AI systems as they require combining basic reasoning operations to follow computational paths that arrive at unique correct solutions. In particular, we study three straightforward and flexible representative compositional tasks: long-form multiplication, logic grid puzzles (i.e., Einstein’s puzzle [61]), and a classic dynamic programming problem. ", + "bbox": [ + 176, + 840, + 823, + 868 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 92, + 825, + 174 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We propose two hypotheses. First, transformers solve compositional tasks by reducing multi-step compositional reasoning into linearized path matching. This contrasts with the systematic multi-step reasoning approach that learns to apply underlying computational rules required for building correct answers [71, 37, 27]. Shortcut learning [29] via pattern-matching may yield fast correct answers when similar compositional patterns are available during training but does not allow for robust generalization to uncommon or complex examples. Second, due to error propagation, transformers may have inherent limitations on solving high-complexity compositional tasks that exhibit novel patterns. Errors in the early stages of the computational process can lead to substantial compounding errors in subsequent steps, preventing models from finding correct solutions. ", + "bbox": [ + 174, + 181, + 825, + 306 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To investigate our hypotheses, we formulate compositional tasks as computation graphs. These graphs break down problem-solving into submodular functional steps, enabling structured measurements of complexity and verbalization of computational steps as input sequences to language models. Moreover, we leverage information gain to predict patterns that models are likely to learn based on the underlying task distribution without the need to perform full computations within the graph. ", + "bbox": [ + 174, + 311, + 825, + 381 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Empirical results show that training on task-specific data leads to near-perfect performance on indomain instances and under low compositional complexity, but fails drastically on instances outside of this region. This substantial gap suggests that systematic problem-solving capabilities do not emerge from maximum likelihood training [5] on input-output sequences, even when prompted or trained with human-like reasoning steps (i.e., a linearization of computation graphs; $\\ S 3 . 1 \\ r ]$ ). Models’ success can be attributed, in part, to their exposure to training examples sub-graphs that involve the same computations required for solving test examples (see Section 3.2.2) In order to gain a deeper understanding of models’ failures, we conduct a comprehensive analysis by decomposing their computation graphs and examining different error types. We find that while models can memorize single-step operations, they fail to compose them into correct reasoning paths, suggesting that they mostly make predictions based on shallow, rote learning rather than a deep, holistic task understanding $( \\ S 3 . 2 . 3 )$ . Importantly, we provide theoretical evidence of exponential error accumulation using abstract compositional tasks. All tasks analyzed empirically in this paper are instantiations of these abstractions (§4). We argue that transformers could be inherently limited in solving compositionally complex tasks out-of-the-box3. ", + "bbox": [ + 174, + 387, + 825, + 594 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "As transformers continue to make tangible real-world impacts, it is pressing to interpret their remarkable performance critically. Our work takes a realistic look at the limitations of transformers in the context of compositional tasks. To shed light on practical future steps, we identify directions for addressing these limitations, such as using transformers for tasks that could be decomposed into few reasoning steps, tasks where evaluation may afford some leniency, and using transformers in combination with planning modules or refinement methods to improve their generations. To advance language AI, fundamental innovations are required to address or complement these limitations. ", + "bbox": [ + 174, + 601, + 825, + 698 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Measuring Limitations of Transformers in Compositional Tasks ", + "text_level": 1, + "bbox": [ + 176, + 715, + 736, + 734 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Human problem-solving skills can be conceptualized as a graph structure, where each vertex represents a partial solution and the edges represent operators that can be applied to modify these solutions. As we will outline next and illustrate in Figure 1, we use computation graphs and corresponding metrics to methodically evaluate transformers’ reasoning abilities. ", + "bbox": [ + 174, + 748, + 826, + 804 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 Computation Graph Definition ", + "text_level": 1, + "bbox": [ + 176, + 819, + 428, + 835 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Let $A$ be a deterministic algorithm (function), and let ${ \\mathcal { F } } _ { A }$ be a set of primitives (functions) the algorithm uses in its execution. Assuming the inputs $\\mathbf { x }$ to algorithm $A$ are given, we define $A ( \\mathbf { x } )$ ’s static computation graph $G _ { A ( \\mathbf { x } ) }$ . $\\bar { G _ { A ( { \\bf x } ) } } \\bar { = } ( \\bar { V _ { \\bf , } } E , s , o p )$ is a directed acyclic graph. Nodes $V$ represent all variables’ values during $A$ ’s execution: each node $v \\in V$ has a value $s ( v ) \\in \\mathbb { R }$ associated. Edges $E$ represent the function arguments involved in some computation: for each nonsource node $v \\in V$ , let $U = \\{ u _ { 1 } , \\dotsc , u _ { j } \\} \\subset V ^ { j }$ be its parent nodes. Then, $s ( v ) = f ( u _ { 1 } , \\ldots , u _ { j } )$ for some $f \\in { \\mathcal { F } } _ { A }$ . Since each node $v$ is uniquely defined by the computation of a single primitive $f$ , we define $o p : V \\to { \\mathcal { F } } _ { A }$ as $o p ( v ) = f$ . ", + "bbox": [ + 176, + 844, + 825, + 888 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/512d6d4d9856b4b2e64590487454ad5b2a6ce6aa8a1007c9936064d9caa73eca.jpg", + "image_caption": [ + "Figure 1: Transformation of an algorithm $A$ to its computational graph $G _ { A ( \\mathbf { x } ) }$ . The depicted example is of long-form multiplication algorithm $A$ , for inputs $\\mathbf { x } = [ 7 , 4 9 ]$ (i.e. computing $7 \\times 4 9$ ). " + ], + "image_footnote": [], + "bbox": [ + 179, + 93, + 818, + 233 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 296, + 826, + 367 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let $S \\subset V$ be the source nodes of $G _ { A ( \\mathbf { x } ) }$ and without loss of generality, let $o \\in V$ be its sole leaf node. By definition, $S \\equiv \\mathbf { x }$ and $A ( \\mathbf { x } ) = { \\dot { s } } ( o )$ , representing the input and output of $A$ respectively. ", + "bbox": [ + 174, + 372, + 823, + 402 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To be able to train and evaluate a language model’s ability to follow algorithm $A$ we must linearize $G _ { A ( \\mathbf { x } ) }$ Since we only consider autoregressive models, this linearization must also be a topological ordering. ", + "bbox": [ + 176, + 409, + 826, + 438 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.2 Quantifying Compositional Complexity using Graph Metrics ", + "text_level": 1, + "bbox": [ + 174, + 452, + 637, + 468 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "$A$ ’s representation as a computation graph $G _ { A ( \\mathbf { x } ) }$ enables measuring task complexity from many angles. ", + "bbox": [ + 173, + 478, + 825, + 493 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We define a node $v \\in V$ ’s layer number as the length of the longest path from a source node to $v$ in the directed acyclic graph $G _ { A ( \\mathbf { c } ) }$ 1 . We then define the reasoning depth as the largest layer number in the graph. In computation graphs, reasoning depth is a proxy for the maximum level of multi-hop reasoning required to solve the task. ", + "bbox": [ + 173, + 498, + 825, + 554 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let $d _ { S } : V \\to \\mathbb { N } _ { 0 }$ 0 be the shortest distance to any of $G$ ’s source nodes $S ~ \\subset ~ V$ . We define the reasoning width of a graph as the mode of $\\{ d ( v ) : v \\in V \\}$ . This metric aims to measure the maximum number of variables required to maintain in parallel during the computation. Relatedly, we also define the average parallelism of a graph as the ratio between $| V |$ and its reasoning depth. This aims to compute the average width in computation through the graph, and not just in its mode. ", + "bbox": [ + 173, + 560, + 825, + 631 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.3 Predicting Surface Patterns through Relative Information Gain ", + "text_level": 1, + "bbox": [ + 174, + 645, + 653, + 661 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "When evaluating model performance, we may observe partially correct answers even in an overall incorrect response. To understand model strategies in these partial successes, we use Relative Information Gain to predict surface patterns that models are likely to recognize. We represent task $T$ as a distribution $( X _ { 1 } , \\ldots , X _ { n } , Y _ { 1 } , \\ldots , Y _ { m } )$ and measure the amount of (normalized) information gained about an output element $Y _ { j }$ by observing a subset of input random variables $X \\subset \\{ X _ { 1 } , \\ldots , X _ { n } \\}$ : ", + "bbox": [ + 174, + 671, + 825, + 742 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/4e0d2fa0454218f2f26f7a0c43b77741d332d06f5973318009b0dd666849a2eb.jpg", + "text": "$$\n{ \\mathrm { R e l a t i v e I G } } ( Y _ { j } , X ) = { \\frac { H ( Y _ { j } ) - H ( Y _ { j } | X ) } { H ( Y _ { j } ) } } \\in [ 0 , 1 ]\n$$", + "text_format": "latex", + "bbox": [ + 331, + 747, + 665, + 781 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "s RelativeIG may be used to analyze the influence of any node in the computation graph (as defined in $\\ S 2 . 1 )$ with respect to a set of its ancestors; in particular, output nodes with respect to input nodes. ", + "bbox": [ + 173, + 786, + 828, + 814 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "2.4 Exploring Three Representative Compositional Tasks: Definitions ", + "text_level": 1, + "bbox": [ + 174, + 829, + 671, + 845 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Multiplication Multi-digit multiplication requires executing operations with numerical symbols based on procedural rules [34]. This task has multiple algorithmic solutions; in constructing computation graphs, we use the well-known $O ( k _ { 1 } k _ { 2 } )$ long-form multiplication algorithm for computing $x \\cdot y$ , where $x$ has $k _ { 1 } \\leq 5$ digits and $y$ has $k _ { 2 } \\leq 5$ digits in base 10. See $\\ S \\mathrm { A } . 1$ for data construction details. ", + "bbox": [ + 174, + 854, + 826, + 911 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/0a9ea8dbc04e3cc8d7574cadb5e8ce5f386114a1e9a25943d47e81640672cb0c.jpg", + "image_caption": [ + "Figure 2: (a) Zero-shot accuracy. Axes refer to problem sizes (number of digits in multiplication, number of houses and attributes in puzzle, and sequence length in the DP task). Transformers’ accuracy decreases to near zero as task complexity increases, measuring task complexity by the problem size. (b) Average parallelism negatively correlates with accuracy. " + ], + "image_footnote": [], + "bbox": [ + 189, + 87, + 808, + 204 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To instantiate $G _ { A ( \\mathbf { x } ) }$ , let $\\mathcal { F } _ { A } = \\left\\{ \\begin{array} { r l r l } \\end{array} \\right.$ {one-digit multiplication, sum, mod 10, carry over, concatenation}. Source nodes $S$ are digits of input numbers, leaf node $o$ is the final output, and intermediate nodes $v$ are partial results generated during execution of the long-form multiplication algorithm (see Figure 1). ", + "bbox": [ + 174, + 276, + 826, + 319 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Einstein’s Puzzle Einstein’s puzzle is a well-known logic puzzle often used as a benchmark for solving constraint satisfaction problems [61]. It involves a list of houses with different attributes (e.g., owner’s name, pets), and the goal is to determine which attributes belong to each house by combining a set of pre-defined natural language clues or constraints. The solution to the puzzle is a matrix of size $K \\times M$ , where $K$ represents the number of houses and $M$ the number of attributes. As $K$ and $M$ increase, synthesizing different partial solutions that satisfy individual constraints becomes highly compositionally complex. To construct the computation graph, we consider a greedy algorithm that iteratively eliminates possible solutions by filling at least one cell each time. It deterministically fills the cell(s) that requires the minimum number of clues among all current unfilled cells. We refer to this as the elimination function. See $\\ S \\mathrm { A } . 2$ for examples, data construction, and algorithm details. ", + "bbox": [ + 174, + 333, + 825, + 472 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To instantiate $G _ { A ( \\mathbf { x } ) }$ , let $\\mathcal { F } _ { A } =$ {elimination function}. The source nodes are the clues, all intermediate nodes are partially-filled matrices, and the output node is a fully-filled solution matrix. ", + "bbox": [ + 173, + 477, + 823, + 506 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Dynamic Programming Problem Dynamic programming (DP) recursively breaks down complex problems into simpler sub-problems, so problems solved using this technique are compositional. We analyze a classic relaxation of the NP-complete Maximum Weighted Independent Set problem [39]: Given a sequence of integers, find a subsequence with the highest sum, such that no two numbers in the subsequence are adjacent in the original sequence. This relaxation may be solved in $O ( n )$ time using DP. See the solution in $\\ S \\mathrm { A } . 3$ . In the experiments, we restrict each integer to the $[ - 5 , 5 ]$ range. ", + "bbox": [ + 174, + 520, + 825, + 603 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To instantiate $G _ { A ( \\mathbf { x } ) }$ , let $\\mathcal { F } _ { A } = \\{ \\mathrm { e q u a l s } $ , and, not, indicator function, sum, $\\operatorname* { m a x } \\}$ . Source nodes are elements of the input list, and the output node is a list that for each element indicates whether it should be selected. We select an $O ( n )$ algorithm since $G _ { A ( \\mathbf { x } ) }$ ’s size is proportional to $A$ ’s complexity. ", + "bbox": [ + 174, + 609, + 825, + 652 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3 Testing the Limits of Transformers: Empirical Evidence ", + "text_level": 1, + "bbox": [ + 174, + 670, + 673, + 688 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Experimental Setup To understand the capabilities of LLMs, we evaluate GPT3 (text-davinci-003) [11], ChatGPT (GPT-3.5-turbo) [57] and GPT4 (gpt-4) [58] using zeroshot, few-shot, and finetuning techniques. To enable the generation of computation graphs beyond the final answers, we use the concept of scratchpads [56]. Scratchpads are a verbalization of the computation graphs (i.e., a linearized representation of a topological ordering of $G _ { A ( \\mathbf { x } ) } )$ . Overall, we consider question-answer and question-scratchpad formats for few-shot and finetuning settings to gauge models’ capabilities for learning with and without explicit reasoning. See details of additional models and experimental configurations in $\\ S _ { \\mathbf { B } }$ and examples of scratchpad in $\\ S \\mathrm { A }$ . ", + "bbox": [ + 173, + 703, + 825, + 814 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Testing the Limits of Transformers with Zero-shot, Few-shot and Finetuning ", + "text_level": 1, + "bbox": [ + 176, + 830, + 743, + 844 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Limits of transformers in zero- and few-shot settings To investigate the inherent problem-solving capabilities of LLMs, we begin by analyzing models’ zero-shot and few-shot performances on our compositional tasks. As shown in Figure 2, task performances deteriorate significantly from near perfection to zero with increasing complexity when measured by either problem size (Figure 2(a))or average parallelism (Figure 2(b)).The trend remains the same for few-shot prompting (see $\\ S \\mathbf { B } . 2 $ ). These results indicate that pre-training is in fact not sufficient to teach models how to combine basic operations to solve compositional problems, especially as problems grow more complex. ", + "bbox": [ + 174, + 856, + 823, + 911 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/98c833411bd0c6b716aedf0cec30ab4cbb5a412fa1cc6b477f6a66cf52175f3f.jpg", + "image_caption": [ + "Figure 3: GPT3 finetuned exhaustively on taskspecific data up to a certain problem size. The blue region represents the in-distribution examples and the red region refers to OOD examples. The same trend is observed for the puzzle task (See $\\ S \\mathbf { B } . 2$ ) " + ], + "image_footnote": [], + "bbox": [ + 186, + 88, + 475, + 205 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/96e7406a331949c7ca2529b2ac06cfce2c25015dbc0ac7eed9d1f2fe574a568a.jpg", + "image_caption": [ + "Figure 4: Results of training beyond the overfitting point for the multiplication task with the goal of exploring whether OOD generalization capabilities (i.e., grokking) arise. " + ], + "image_footnote": [], + "bbox": [ + 508, + 89, + 816, + 205 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 296, + 825, + 338 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Limits of transformers with question-answer training The limited performance of models may be attributed to the lack of task-specific data during pre-training. To fully bring out models’ potentials in solving these tasks, we next exhaustively finetune GPT3 with question-answer pairs. In multiplication and DP, we finetune models with all enumerations of questions up to the maximum problem size4 within reasonable training budget, leaving out $10 \\%$ for validation and $10 \\%$ for testing. In puzzles, we train on a subset of all instances up to $( K , M ) \\leq ( 4 , 4 )$ due to combinatorial explosion. We separately finetune GPT3 models on ${ \\sim } 1 . 8 \\mathbf { M }$ multiplication pairs, ${ \\sim } 1 4 2 \\mathrm { K }$ DP pairs, and ${ \\sim } 4 1 \\mathrm { K }$ puzzle pairs (see details in $\\ S \\mathbf { B } . 3$ ). Additionally, to examine problems of different complexity, we consider different training splits based on the depth and width of computation graphs. ", + "bbox": [ + 173, + 353, + 825, + 478 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Figure 3 and Figure 5a show high accuracy for examples with splits seen during training, i.e., indomain. However, the performance sharply declines when evaluating unseen splits during training, i.e., out-of-domain $( O O D )$ . Similar trends hold in all tasks (see $\\ S \\ B . 3 $ ), suggesting that systematic problem-solving capabilities do not emerge via exhaustive training on task-specific data. ", + "bbox": [ + 174, + 484, + 825, + 540 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Limits of transformers with explicit scratchpad training Next, we test whether we can explicitly teach models the required computational operations via scratchpads. To do so, we finetune GPT3 with question-scratchpad pairs for all tasks. We consider the same distribution splits as before. The results, presented in Figure 5b, show that once again GPT3 achieves near-perfect performance on in-distribution, but fails entirely in generalizing to OOD cases—in particular, wider or deeper computation graphs. These results indicate that even when training directly with guidance on the computation steps, models still fail to learn component operations in a generalizable manner. This observation holds for all tasks (See details in $\\ S \\ B . 4 ,$ . Similarly, prompting transformers with question-scratchpad pairs enhances the performance compared to the zero-shot setting (refer to $\\ S \\mathrm { ~ B . } 5 \\ r ,$ ). However, this performance boost diminishes to zero as complexity increases. These findings suggest that the autoregressive characteristic of transformers, which forces them to tackle problems sequentially, presents a fundamental challenge that cannot be resolved by instructing the model to generate a step-by-step solution. Instead, models depend on a greedy process of producing the next word to make predictions without a rigorous global understanding of the task. ", + "bbox": [ + 174, + 555, + 825, + 748 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Limits of transformers with grokking We explore whether extended training beyond overfitting leads to improved generalization abilities, a phenomenon known as grokking [59, 53]. Due to budget constraints, we only experiment on the multiplication task. Following [53], we fine-tune GPT3 with question-answer pairs for 420K steps and separately finetune GPT3 with question-scratchpad pairs for 30K steps. Both models’ training far exceeded the point at which in-domain accuracy plateaus5. Figure 4 shows no improvement in generalization for OOD cases beyond the overfitting point, even after extensive training periods. We hypothesize that the absence of grokking may be due to the level of difficulty of the task. We speculate that increased task difficulty significantly impedes learning a well-structured representation, which, according to [47], aligns with achieving grokking. Even if grokking were to emerge through more prolonged training, such an approach would prove inefficient and unscalable. Future work is required to accurately explain when and how grokking occurs. ", + "bbox": [ + 173, + 763, + 825, + 847 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/40c7603b0863f9ca9527b38939832efd316cec76535ff5c73745219d590481f7.jpg", + "image_caption": [ + "Figure 5: GPT3 finetuning and prompting accuracy on different data splits. Although the in-distribution performance is almost perfect, GPT3 exhibits poor generalization with increasing graph depth and width. Refer to $\\ S _ { \\mathrm { B } . 3 }$ and $\\ S _ { \\mathrm { B } . 4 }$ for results on the puzzle and DP tasks. " + ], + "image_footnote": [], + "bbox": [ + 173, + 88, + 818, + 217 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 275, + 825, + 344 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.2 Breaking Down Successes and Failures of Transformers ", + "text_level": 1, + "bbox": [ + 174, + 362, + 599, + 377 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.2.1 Information Gain Explains Where Transformers Partially Excel ", + "text_level": 1, + "bbox": [ + 176, + 387, + 668, + 404 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "At times transformers predict partially correct answers even when the overall response is incorrect. We speculate that this may be due to particularities in the task distribution that allow for guessing partial answers without performing the full multi-step reasoning that the task requires. ", + "bbox": [ + 174, + 412, + 825, + 455 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Using relative information gain (defined in $\\ S 2 . 3$ ), we can predict surface patterns that a model is likely to learn and contrast them empirically. For multiplication, relative information gain shows that the first digit (two digits) of the output highly correlates with the first digit (two digits) of each input number (see $\\ S { \\bf C } . 1 $ ). Hence, this spurious pattern is likely to be learned by a model. Similarly, the prediction of the last digit (or two digits) of the output is observed to solely rely on the last digit (or two digits) of each input number. This pattern holds true due to the principles of modulo arithmetic, which ensures the validity of this relationship in all cases. Empirically, we verify that models indeed learn the patterns we predicted and other patterns as well (e.g., order of magnitude of the answer, number of trailing zeros for multiplication) in all the settings with and without scratchpad. See details for multiplication, plus dynamic programming task analysis in $\\ S C$ . ", + "bbox": [ + 174, + 460, + 825, + 601 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "These experiments suggest that if an output element heavily relies on a single or a small set of input features, transformers are likely to recognize such correlation during training and directly map these input features to predict the output element in testing, without going through the rigorous multi-hop reasoning and giving a false illusion of performing compositional reasoning. ", + "bbox": [ + 174, + 606, + 825, + 662 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.2.2 Transformers Reduce Multi-Step Compositional Reasoning into Linearized Subgraph Matching ", + "text_level": 1, + "bbox": [ + 173, + 678, + 820, + 707 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We now explore whether models’ correct predictions on unseen test data are due to learning the underlying algorithm or, instead, explainable by exposure to similar training examples. We hypothesize that, beyond simple memorization, transformers largely rely on pattern matching for solving these tasks. To test this, we calculate the average frequency with which partial computations needed to solve an instance appear in the training data, for both correctly and wrongly predicted examples. ", + "bbox": [ + 174, + 717, + 825, + 786 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Given a model-generated computation graph ${ \\widehat G } _ { A ( \\mathbf { x } ) }$ we analyze how often the full computation of ∈ bancestors of v including v, denoted F CGbA(x)( each node $v \\in \\widehat { V }$ is seen in training. We define $v$ . We say that ’s full computation as the subgraph induced by all $F C _ { \\widehat { G } _ { A ( \\mathbf { x } ) } } ( v )$ is seen during training if $F C _ { \\widehat { G } _ { A ( \\mathbf { x } ) } } ( v ) \\cong F C _ { G _ { A ( \\mathbf { x ^ { \\prime } } ) } } ( w )$ for some computation graph $G _ { A ( { \\bf x } ^ { \\prime } ) }$ in training, and for some $w \\in V$ . We characterize complexity of a full computation subgraph by its depth, as defined in $\\ S 2 . 1$ . ", + "bbox": [ + 174, + 792, + 826, + 877 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Figure 6 shows that full computation subgraphs appear significantly more frequently in the training data for correctly predicted test examples than for incorrectly predicted ones, for both the multiplication and DP task (both frequencies tend to zero for large depths since we ensured a disjoint train/test split). This high correlation suggests that pattern matching—and not general reasoning capabilities—may be the cause behind correct model outputs. This type of learning could be largely effective when the compositional complexity of tasks is low but it becomes less efficient when tasks are increasingly complex. This may elucidate the observed performance gain in low-complexity and in-domain cases and the striking performance drop in OOD and highly complex cases. ", + "bbox": [ + 173, + 882, + 823, + 911 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/8bb6d6f82604f856d0cc391ffeab132fe2df194538e86ff15d50c6aeb8d6156b.jpg", + "image_caption": [ + "Figure 6: Average frequency in which test examples’ full computations subgraph appear in the training data w.r.t. the subgraph depth, grouped by final answer. " + ], + "image_footnote": [], + "bbox": [ + 183, + 104, + 382, + 279 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/936c1d29360fa8ee5d90557e0e00094ab0baa866a7ce62843ddd65cc8e51c5b9.jpg", + "image_caption": [ + "Figure 7: Ratio of nodes in each of the four correct/error categories for each layer in computation graph. Results shown are for few-shot prompting and fine-tuning with scratchpad. " + ], + "image_footnote": [], + "bbox": [ + 411, + 93, + 816, + 281 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 369, + 825, + 453 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "3.2.3 What Types of Errors do Transformers Make at Different Reasoning Depths? ", + "text_level": 1, + "bbox": [ + 173, + 468, + 763, + 483 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "For clearer understanding of where transformers fall short, we analyze the types of errors that transformers make for nodes at different layers in the computation graph. For every input $\\mathbf { x }$ , we compare the ground truth computation graph $G _ { A ( \\mathbf { x } ) }$ with the (possibly incorrect) model-generated computation graph ${ \\widehat G } _ { A ( \\mathbf { x } ) }$ . We consider a node $v$ as having a correct value if and only if $s ( v ) = \\widehat { s } ( v ) . ^ { 6 }$ . We consider a node $v$ to be derived from a correct computation if given that $U = \\{ u _ { 1 } , \\ldots , u _ { k } \\}$ are the immediate predecessors of $v$ in $\\widehat { G } _ { A ( \\mathbf { x } ) }$ and that $\\widehat { o p } ( v ) = f$ , we have that $f ( u _ { 1 } , \\dots , u _ { k } ) = { \\widehat { s } } ( v )$ . Note that the notion of correct computation is independent of $G$ , and that a node $v$ derived from a correct computation may not have the correct value if an error occurred in some of its ancestors. ", + "bbox": [ + 173, + 493, + 826, + 613 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We classify each node $v \\in \\widehat { V }$ into one of four categories. Node $v$ is fully correct if $v$ and its ancestors have correct values and are derived from correct computations. If a node $v$ is not fully correct, its error can be of the following types: $v$ has a local error if its parent nodes have correct values but $v$ is derived from an incorrect computation (i.e., a one-hop reasoning error); $v$ has a propagation error if $v$ is derived from a correct computation but some of its parent nodes have incorrect values; $v$ has a restoration error if it has a correct value but is derived from an incorrect computation. ", + "bbox": [ + 174, + 621, + 825, + 705 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Figure 7 shows results for few-shot GPT4 and fine-tuned GPT3 with scratchpad, with respect to graph layer number for each node. In all settings, the ratio of fully correct nodes is almost perfect but sharply decreases toward zero with increasing graph layers. Moreover, the ratio of propagation errors is usually higher than the ratio of local errors. Both phenomena suggest that models are able to correctly perform single-step reasoning, potentially due to memorizing such single-step operations during training, but fail to plan and compose several of these steps for an overall correct reasoning. ", + "bbox": [ + 174, + 710, + 825, + 795 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Both the DP and the puzzle tasks have a high ratio of restoration errors, suggesting memorization since correct outputs are produced despite incorrect computations. There are signs of memorization even when restoration errors are near zero: $8 2 . 3 \\%$ of the final correct answers for 4-digit by 2-digit multiplications (a setting unseen during training) had at least one error in the computation graph, but still produced correct answers. These patterns are possibly due to high frequency of (input, output) multiplication pairs in the pretraining data, in contrast to intermediate reasoning steps. ", + "bbox": [ + 174, + 801, + 825, + 885 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 Error Propagations: The Theoretical Limits ", + "text_level": 1, + "bbox": [ + 173, + 88, + 575, + 107 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Experiments (§3) highlight the limitations of current transformers in handling complex, multi-step reasoning tasks. Concretely, we show that errors rapidly escalate as the problem size grows (§3.2.3). Here, we aim to provide theoretical insights into why autoregressive transformer LLMs can perform significantly worse in compositional tasks as the problem size increases, making explicit the different ways in which compounding stochastic errors affect final performance. We argue using stylized examples that transformers may be too limited to solve compositionally complex tasks. Formal statements and full proofs are provided in $\\ S _ { \\mathrm { { D } } }$ . ", + "bbox": [ + 174, + 114, + 825, + 213 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Algorithms designed to solve compositional tasks typically involve multiple independent applications of a function and/or iterated applications of the same function. A transformer executing such an algorithm acts as an estimator of these functions. In this context, we examine the probability of such an estimator reaching the correct answer as the problem size increases. We first consider a scenario where a transformer estimates an algorithm requiring $n$ independent applications of a function: ", + "bbox": [ + 174, + 218, + 825, + 289 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Proposition 4.1 (informal). Let $f _ { n }$ involve the combination $h _ { n }$ of n independent applications of a function g. Let ${ \\widehat { f } } , { \\widehat { g } } , { \\widehat { h } } _ { n }$ be their estimators. Assume that $\\widehat { h } _ { n }$ is a perfect estimator of $h _ { n }$ and that $h _ { n }$ has low bcollision, with $c _ { n }$ being an upper bound of $h _ { n }$ ’s collision rate $( c _ { n } < c \\forall n$ , with $c \\ll 1 _ { . }$ ). If $\\operatorname { \\mathbb { P } } ( g \\neq { \\widehat { \\boldsymbol { g } } } ) =$ $\\epsilon > 0$ where $\\widehat g$ ’s errors are independent, then $\\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) > 1 - c _ { n } - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c _ { n } ) .$ . This implies that $\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } )$ decreases exponentially as n increases, with $\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c$ . Moreover, i $f c _ { n } \\leq \\beta \\alpha ^ { n }$ for some $\\alpha \\in ( 0 , 1 ) , \\beta > 0 ;$ , $\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } )$ tends exponentially to 1 as n increases. ", + "bbox": [ + 173, + 295, + 826, + 400 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Prop. 4.1’s proof $( \\ S \\mathrm { D . 1 } )$ shows the rate of convergence is exponential, thus concluding that transformers will rapidly fail with increasing $n$ . Let’s now analyze the iterated application function scenario. ", + "bbox": [ + 173, + 410, + 823, + 439 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Proposition 4.2 (informal). Let $f _ { n } ( \\mathbf { x } ) { = } g ^ { n } ( \\mathbf { x } )$ involve the repeated application of g. Assume that the probability of recovering from a mistake due to the randomness of applying the estimator on an incorrect input has probability at most c. If $\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0$ , then $\\dot { \\mathbb { P } } ( f _ { n } \\neq \\widehat { f } _ { n } )$ decreases exponentially with $n$ . Precisely, $\\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\ge 1 - ( 1 - \\epsilon - c ) ^ { n - 1 } ( 1 - \\epsilon - c / ( c + \\epsilon ) )$ , implying $\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c / ( c + \\epsilon )$ . ", + "bbox": [ + 173, + 445, + 826, + 529 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The argument is as follows. Let $s _ { n } : = \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )$ , where $s _ { 1 } = 1 - \\epsilon$ by definition. Derive $s _ { n } \\leq ( 1 - \\epsilon - c ) \\cdot s _ { n - 1 } + c$ using law of total probability. Then, prove by induction a non-recursive ≤ − −upper bound for $s _ { n }$ − with limit $\\frac { c } { c + \\epsilon }$ when $n + \\infty$ . See formal statement and derivation in $\\ S _ { \\mathrm { D } . 2 }$ . ", + "bbox": [ + 174, + 534, + 825, + 579 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Prop. 4.2’s proof also shows an exponential rate of convergence. Note that if $c \\ll \\epsilon$ then $\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\mathbb { P } ( f _ { n } \\neq { \\widehat { f _ { n } } } ) \\approx 1$ . It is reasonable to assume $c \\ll \\epsilon$ when $g$ has low collision, since $c$ represents the probability of the estimator $\\widehat g ( y )$ arriving at the correct output $g ( x )$ by chance when given the wrong input $y \\neq x$ . More details in $\\ S _ { \\mathrm { D } . 3 }$ . ", + "bbox": [ + 174, + 584, + 825, + 651 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Moreover, repeated applications of a function often imply unbounded errors: if $g ( x )$ can be expressed as an affine transformation $F x { + c }$ , then it may be viewed as a first-order vector autoregression, which are known to be unstable when $| \\lambda | \\geq 1$ for at least one $\\lambda$ eigenvalue of $F$ [31, Prop. 10.1]. While we make these arguments with affine maps, similar behaviors, possibly even more acute, could occur with nonlinear maps [25]—but their study is beyond the scope of this paper. ", + "bbox": [ + 174, + 656, + 825, + 727 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In Prop. 4.2’s current form, we implicitly assume that there is a single valid reasoning for each input since $g$ is a function. We can potentially generalize this assumption with a state-transition framing, where the probability of transitioning from a valid state to an invalid one is $\\epsilon$ , and the probability of recovering from an invalid state is at most $c$ . See formal statement in D.2. ", + "bbox": [ + 174, + 732, + 825, + 787 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "All tasks evaluated in the present work can be seen as instances of the results just proven. Prop. 4.1 directly applies to multiplication, since $m$ -by- $^ n$ digit multiplication can be seen as $n$ independent instances of $m$ -by-1 digit multiplication (see Cor. D.1). Prop. 4.2 directly applies to the recursive function of the dynamic programming task, as well as to $m$ -by-1 digit multiplication, and to the puzzle through its elimination function (details in D.3). They are also all low collision settings. ", + "bbox": [ + 174, + 795, + 825, + 864 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Note that Prop 4.1 and 4.2 apply to any high-performant estimator of reasoning tasks. We focus on out-of-the-box transformers to align with the scope of our experiments and with the goal of framing empirical results. In $\\ S 5$ , we discuss how these propositions may inform future research directions. ", + "bbox": [ + 174, + 869, + 825, + 912 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5 Discussion ", + "text_level": 1, + "bbox": [ + 174, + 89, + 294, + 106 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Collapsed Compositionality and Robustness Implications Transformers today demonstrate undeniably powerful empirical results. Yet, our study suggests that they may have fundamental weaknesses in certain intellectual tasks that require true multi-step compositional operations such as multiplications and logic puzzles. Our careful study based on the computation graph and analyses demonstrates that transformers can often solve multi-step compositional problems by collapsing the depth of the compositional operations via analogical pattern matching. More broadly, our findings suggest that the strong performance of transformers should be taken with a certain grain of salt: Despite initially appearing challenging, certain tasks may not possess the inherent compositionality they seem to have. This is due to the fact that desired solutions could be readily derived from input-output sequences present in the training data, allowing for shortcut pattern matching to produce acceptable solutions. However, such an approach can ultimately result in poor generalization as shown in our study. For example, fine-tuning GPT3 on our tasks both with and without explicit reasoning graphs shows that models’ learning fails to generalize beyond levels of complexity seen in training. ", + "bbox": [ + 174, + 119, + 825, + 299 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Theoretical Findings and their Empirical Implications The proofs presented in $\\ S 4$ show that, under reasonable assumptions, the probability of incorrect predictions converges exponentially to $\\approx 1$ for abstract compositional tasks. Importantly, these proofs apply to autoregressive LMs in general. Our insights indicate that the current configuration of transformers, with their reliance on a greedy process for predicting the next word, constrains their error recovery capability and impedes the development of a comprehensive global understanding of the task. Building on these findings, we suggest several empirical strategies for harnessing the potential of transformers. Firstly, transformers may be employed in ways that require chaining only a few compositional steps to reach a solution rather than lengthy reasoning steps (e.g., [35]). Secondly, transformers may be best suited for compositional tasks where evaluation metrics can afford some leniency; for example, finding approximate solutions that do not require executing the whole graph, such as identifying the most significant digit in a multiplication. Finally, we suggest augmenting transformers with planning modules as well as using refinement methods, that can iteratively improve their generations [82, 48]. ", + "bbox": [ + 174, + 311, + 825, + 492 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Call for Broad Participation to Investigate Limitations Identification of limitations is an important step towards achieving greater robustness. Our study suggests fundamental limitations that impede transformers from fully mastering certain compositional operations. However, we acknowledge that due to our compute budget constraints as well as limited access to the largest language models such as GPT4, we are unable to push the empirical limits of transformers even further in terms of training data size and number of epochs. We invite the broader research community, particularly those with more extensive resources at their disposal, to investigate these possibilities further. ", + "bbox": [ + 174, + 503, + 825, + 602 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 618, + 321, + 636 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Reasoning abilities in transformer LLMs Recently, transformers [11, 58, 57, 17, 16, 63, 73, 74] have demonstrated impressive reasoning abilities across a wide range of tasks, even outperforming humans in certain cases [79, 28, 15, 85]. This success has been largely attributed to the scaling effect, where larger models and training datasets result in improved performance [38, 33, 1]. However, these models have also been shown to struggle across multiple domains [32], including algorithmic reasoning [78], commonsense reasoning [62, 40], theory of mind [65], planning [76], logical reasoning [70], and ethical reasoning [36]. These difficulties have motivated us to take a step back and thoroughly examine both the successes and failures of transformers from empirical and theoretical perspectives on compositional reasoning tasks. ", + "bbox": [ + 174, + 648, + 825, + 773 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Challenges of transformers in compositional tasks Transformers perform fairly well in singlestep reasoning tasks [70], but face challenges when it comes to effectively combining multiple steps to solve compositionally complex problems [84, 55, 66, 81]. Recent research has focused on overcoming these limitations through various approaches. First, fine-tuning transformers to directly generate the final answer while keeping the reasoning implicit [7, 18]. Second, encouraging transformers to generate reasoning steps explicitly within a single generation [55, 80, 44, 42]. For example, Nye et al. [55] and Zhou et al. [86] used scratchpads to teach transformers how to perform algorithmic reasoning tasks such as addition by splitting the task into intermediate steps [44, 80]. Further, leveraging LLMs to generate each reasoning step iteratively via a selection and inference mechanism [20, 19, 72]. ", + "bbox": [ + 174, + 786, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Lastly, choosing a training split that maximizes the number of observed patterns between the train and test data [10], or diversifying in-prompt examples to cover the maximum of patterns [41], ultimately enhancing generalization. The primary focus of these studies is to enhance model performance on compositional problems without striving for complete mastery. In contrast, our work explores the fundamental limits of vanilla transformers in achieving full mastery, striving for $100 \\%$ performance in both in-domain and OOD settings. Our findings show that reaching full mastery is inherently challenging, providing insights into the complexities involved. ", + "bbox": [ + 174, + 92, + 825, + 188 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Challenges of transformers in generalization Extensive research has been done to investigate the generalization capabilities of transformers [3, 54, 26, 64, 8, 46]. This encompasses various facets of generalization, including easy-to-hard generalization [67, 4], length generalization [2, 60, 13, 54, 8], and generalization on symbolic mathematical integration [83]. Schwarzschild et al. [67] and Bansal et al. [4] employ weight-tied neural networks to generalize from easy to hard examples. Liu et al., [45] found that shallow transformers learn shortcuts during training, leading to poor OOD generalization. Razeghi et al. [64] revealed a positive correlation between the frequency of training terms and their test performance. Building upon this line of inquiry, we present a more rigorous examination of sub-graph matching between training and test instances for complex compositional tasks where we demonstrate how pattern matching can hinder generalization. We complement our empirical results with theoretical insights on transformers’ limits. ", + "bbox": [ + 174, + 202, + 825, + 354 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Grokking The phenomena of models’ gaining generalization capabilities when training significantly beyond overfitting, known as grokking was recently introduced in [59]. Subsequent works focus on characterizing when and why grokking arises: [47] show that perfect generalization in an arithmetic addition task happens when there is sufficient data to determine the appropriate structured representation, later extended to sparse parity in [52] where a sparse subnetwork of neurons is shown responsible for generalization behavior. Recently, [77] propose that grokking occurs when a task admits a generalizing and a memorizing solution, and the former is slower to learn. In this present work, our aim is not to explain grokking but rather to observe its emergence. We do not observe grokking arising in the context of multiplication, and we leave it to future work to explore whether this may be due to task difficulty hindering the learning of well-structured representations. ", + "bbox": [ + 174, + 368, + 825, + 507 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Transformers’ theoretical expressiveness Lin et al. [43] study autoregressive models’ limitations from a computational complexity theory perspective. Transformer-specific work has focused on quantifying the class of problems that (not necessarily autoregressive) transformers can express assuming perfect parameters [51, 50, 14, 49, inter alia]. All tasks analyzed in our work belong to a class expressible by transformers, suggesting that known upper bound might not be tight. Importantly, Hahn [30] shows that transformers cannot robustly model noncounter-free regular languages even when allowing infinite precision. In contrast, our focus is on error accumulation, which enables to investigate if reasoning tasks theoretically solvable by transformers are likely to be solved by them. ", + "bbox": [ + 174, + 520, + 825, + 631 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Additional literature and societal impact discussion can be found in $\\ S \\mathrm { E }$ . ", + "bbox": [ + 174, + 637, + 640, + 651 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "7 Conclusions ", + "text_level": 1, + "bbox": [ + 174, + 666, + 307, + 684 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "On a broader scope, as transformers continue to gain widespread deployment with significant realworld impacts, it is ever more urgent to understand their successes and failures. Our study critically investigates transformers’ limitations and emphasizes the need to develop models capable of robust generalization and systematic problem-solving. By examining the compositional capabilities of these models, we aspire to work towards more reliable AI systems that excel not only in tasks where abundant training examples are sufficient, but also in cases requiring precise compositional reasoning. ", + "bbox": [ + 174, + 691, + 825, + 775 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "8 Limitations ", + "text_level": 1, + "bbox": [ + 174, + 790, + 302, + 806 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We focus on analyzing compositional reasoning capabilities through the lens of computation graphs. Although they are a useful way to systematically represent rigorous reasoning processes, it is important to note that for the scratchpad approach, we are limited to only establishing a correlation between the model generation and its preceding context, as we cannot inspect the exact tokens model attends to when making the prediction. This limitation arises from our lack of access to the activations of the studied models. Furthermore, we posit that alternative approaches to linearizing reasoning processes may yield different performances and provide opportunities for further exploration. ", + "bbox": [ + 174, + 814, + 825, + 911 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgements ", + "text_level": 1, + "bbox": [ + 176, + 89, + 338, + 106 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "We thank members of the Mosaic team at AI2 for valuable feedback on this project, as well as Agustín Santiago Gutiérrez and Kawin Ethayarajh for valuable discussions. This research was supported by the NSF DMS-2134012, DARPA MCS program through NIWC Pacific (N66001-19-2-4031), and the Allen Institute for AI. ", + "bbox": [ + 174, + 122, + 825, + 178 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "References \n[1] Armen Aghajanyan, Lili Yu, Alexis Conneau, Wei-Ning Hsu, Karen Hambardzumyan, Susan Zhang, Stephen Roller, Naman Goyal, Omer Levy, and Luke Zettlemoyer. Scaling laws for generative mixed-modal language models. 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", + "bbox": [ + 171, + 80, + 826, + 917 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Appendices ", + "text_level": 1, + "bbox": [ + 174, + 87, + 343, + 114 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A Compositional Tasks 19 ", + "text_level": 1, + "bbox": [ + 173, + 147, + 823, + 162 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A.1 Multiplication . . . 19 \nA.2 Einstein’s Puzzle 20 \nA.3 Dynamic Programming Problem . . . . 22 ", + "bbox": [ + 196, + 169, + 826, + 226 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "B Experimental Setups & Empirical Results 24 ", + "text_level": 1, + "bbox": [ + 173, + 243, + 825, + 258 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "B.1 Models 24 \nB.2 Limits of Transformers in Zero- and Few-shot Settings 24 \nB.3 Limits of Transformers with question-answer Training 24 \nB.4 Limits of Transformers with Explicit Scratchpad Training . 26 \nB.5 Limits of Transformers with Explicit Scratchpad Prompting . 26 ", + "bbox": [ + 196, + 263, + 826, + 363 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "C Surface Patterns 29 ", + "text_level": 1, + "bbox": [ + 174, + 377, + 826, + 395 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "C.1 Relative Information Gain Predictions for Multiplication . . 29 \nC.2 Empirical Surface Pattern Analysis for Multiplication with GPT4, ChatGPT and GPT3 30 \nC.3 Relative Information Gain Predictions for Dynamic Programming Task 31 \nC.4 Empirical Surface Pattern Results for Dynamic Programming Task . . . 33 ", + "bbox": [ + 196, + 400, + 826, + 478 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "D Theoretical Results: Derivations 35 ", + "text_level": 1, + "bbox": [ + 171, + 496, + 825, + 511 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "D.1 Error accumulates with larger parallel applications of an estimated function (width) 35 \nD.2 Error accumulates with larger iterative applications of an estimated function (depth) 36 \nD.3 Discussing $c \\ll \\epsilon$ in the context of Proposition 4.2 . . 38 ", + "bbox": [ + 196, + 517, + 825, + 574 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "E Additional Literature and Societal Impact 40 ", + "text_level": 1, + "bbox": [ + 171, + 590, + 826, + 607 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "E.1 Additional Literature . . 40 \nE.2 Societal Impact Discussion . . 40 ", + "bbox": [ + 191, + 612, + 826, + 648 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "A Compositional Tasks ", + "text_level": 1, + "bbox": [ + 176, + 89, + 383, + 107 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "A.1 Multiplication ", + "text_level": 1, + "bbox": [ + 174, + 122, + 316, + 137 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Data Construction We exhaustively generate multiplication problems as question-answer pairs (e.g., Q: “What is 4 times 32?” A: “128”). We focus on multiplications of two numbers $x =$ $( x _ { 1 } , x _ { 2 } , \\ldots , x _ { k } )$ and $y = \\left( y _ { 1 } , y _ { 2 } , \\ldots , y _ { k } \\right)$ where each number can have up to $k$ digits, amounting to $9 \\times 1 0 ^ { ( k - 1 ) }$ combinations per each number. We set $k$ to 5 in our experiments. Figure 8 showcases an example prompt for performing few-shot learning without the inclusion of a scratchpad, while Figure 9 demonstrates an example prompt using a scratchpad. Throughout our experimentation, we explored various versions of the scratchpad, ranging from verbose and detailed to more concise alternatives. Among these variations, the scratchpad version depicted in Figure 9 ultimately produced the most favorable outcomes. Listing 1 shows the Python code for solving the task. ", + "bbox": [ + 173, + 147, + 826, + 275 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "To multiply two numbers, start by multiplying the rightmost digit of the multiplicand by each digit of the multiplier, writing down the products and carrying over any remainders. Repeat this process for each digit of the multiplicand, and then add up all the partial products to obtain the final result. ", + "bbox": [ + 183, + 301, + 772, + 366 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Questions: what's 22 times 2? Answer 44. ", + "bbox": [ + 184, + 378, + 490, + 391 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/b5887e93c2a9523478e0eabd8733d71ea83f8a3fae703d80a823e11a7ddc5028.jpg", + "image_caption": [ + "Figure 8: Example prompt for the multiplication task used for the few-shot setting. ", + "Figure 9: A sample scratchpad for the multiplication task. " + ], + "image_footnote": [], + "bbox": [ + 179, + 460, + 813, + 821 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "def multiply (x , y ) : summands $=$ [0] \\* len( y ) 3 for i in range (len ( y) - 1 , -1 , -1) : ", + "bbox": [ + 160, + 872, + 823, + 912 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "4 digits $=$ [0] \\* len( x ) \n5 carry $\\qquad = \\quad 0$ \n6 for j in range (len ( x) - 1 , -1 , -1) : \n7 t = x [ j ] \\* y [ i ] \n8 t $+ =$ carry \n9 carry $=$ t / / 1 0 \n10 digits [ j ] = t % 10 \n11 digits . insert (0 , carry ) \n12 summands [ i ] $=$ sum( digits [ - k ] \\* (10 \\*\\* ( k - 1) ) for k in range \n(1 , len( digits ) + 1) ) \n13 \n14 product $=$ sum( summands [ - i ] $^ *$ (10 \\*\\* ( i - 1) ) for i in range (1 , len \n$( { \\mathfrak { y } } ) \\ + \\ { \\ \\mathbf { 1 } } )$ ) \n15 return product ", + "bbox": [ + 155, + 92, + 821, + 270 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "A.2 Einstein’s Puzzle ", + "text_level": 1, + "bbox": [ + 174, + 315, + 334, + 330 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Data Construction In our experiments, we initially establish a set of properties, such as Color, PhoneModel, Pet, and so forth, along with their corresponding values expressed in natural language templates (e.g., “The house has a red color.”). We then devise a fundamental and straightforward set of clue types: 1) ‘found_at’, e.g., “Alice lives in House $2 ^ { \\circ }$ , 2) ‘same_house’, e.g., “The person who is a cat lover lives in the house that has a red color.”, 3) ‘direct_left’, e.g., “The person who has a dog as a pet lives to the left of the person who lives in a red house.”, and 4) ‘besides’, e.g., “The person who has a dog as a pet and the person who has a red house live next to each other.” In addition, we also set up harder clue types such as ‘not_at’, ‘left_of’ (not necessarily directly left of), ‘two_house_between’, etc. which are only used in auxiliary experiments. ", + "bbox": [ + 173, + 351, + 826, + 476 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "The solution to the puzzle is a matrix of size $K \\times M$ , where $K$ represents the number of houses and $M$ the number of attributes. During the puzzle generation, the $M$ properties are randomly selected from the candidate pool, followed by the random sampling of $K$ values for each property. The sampled values are then randomly permuted and assigned within the table to create the solution. It is important to note that we ensure one of the sampled properties is ‘Name’ to enhance the readability and comprehensibility of the puzzles. To construct the clues, we initially over-generate all valid clues based on the solution and subsequently remove redundant clues at random until we obtain a set with a ", + "bbox": [ + 173, + 481, + 825, + 579 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "General Unique Rules ", + "text_level": 1, + "bbox": [ + 187, + 618, + 290, + 628 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/de69f2324e78268188f15e90b8465b4c19b7ff402d3675a29edceb0bdec1953a.jpg", + "image_caption": [ + "Listing 1: Example Python code for solving the multiplication task. " + ], + "image_footnote": [], + "bbox": [ + 366, + 746, + 792, + 852 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "There are 3 houses (numbered 1 on the left, 3 on the right). Each has a different person in them. They have different characteristics: ", + "bbox": [ + 187, + 628, + 756, + 638 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "- Each person has a unique name: peter, eric, arnold \n- People have different favorite sports: soccer, tennis, basketball \n- People own different car models: tesla, ford, camry ", + "bbox": [ + 186, + 640, + 555, + 669 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Clues ", + "text_level": 1, + "bbox": [ + 186, + 675, + 215, + 684 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "1. The person who owns a Ford is the person who loves tennis. \n2. Arnold is in the third house. \n3. The person who owns a Camry is directly left of the person who owns a Ford. \n4. Eric is the person who owns a Camry. \n5. The person who loves basketball is Eric. \n6. The person who loves tennis and the person who loves soccer are next to each oth ", + "bbox": [ + 184, + 684, + 550, + 744 + ], + "page_idx": 19 + }, + { + "type": "table", + "img_path": "images/6afa1ce1cc8e0a885ce7222d329bf60745063405f2697c348013e285ae7959df.jpg", + "table_caption": [ + "Ground-Truth Table " + ], + "table_footnote": [], + "table_body": "
HouseNameSportsCar
1EricBasketballCamry
2PeterTennisFord
3ArmoldSoccerTesla
", + "bbox": [ + 617, + 660, + 813, + 741 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Reasoning Path Generation ", + "text_level": 1, + "bbox": [ + 186, + 750, + 313, + 758 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/c1f662dcd9a95bf0151fbba08361f2ba2fc7380e48d0d2549d274878e48e301e.jpg", + "image_caption": [ + "Figure 10: A sample of the puzzle task and the reasoning path to reach a solution. " + ], + "image_footnote": [], + "bbox": [ + 183, + 768, + 348, + 866 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "This is a logic puzzle. There are 3 houses (numbered 1 on the left, 3 on the right). Each has a different person in them. They have different characteristics: ", + "bbox": [ + 181, + 104, + 810, + 130 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Each person has a unique name: peter, eric, arnold People have different favorite sports: soccer, tennis, basketball People own different car models: tesla model 3, ford f150, toyota ca ", + "bbox": [ + 187, + 131, + 723, + 167 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "The person who owns a Ford F-150 is the person who loves tennis. ", + "bbox": [ + 209, + 180, + 694, + 193 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "2. Arnold is in the third house. ", + "bbox": [ + 186, + 194, + 428, + 204 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "3. The person who owns a Toyota Camry is directly left of the person who owns a Ford F-150. ", + "bbox": [ + 181, + 205, + 794, + 229 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "4. Eric is the person who owns a Toyota Camry. ", + "bbox": [ + 191, + 231, + 534, + 242 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "5. The person who loves basketball is Eric. ", + "bbox": [ + 187, + 244, + 514, + 255 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "6. The person who loves tennis and the person who loves soccer are next to each other. ", + "bbox": [ + 181, + 256, + 794, + 280 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Let's think step by step. Please first briefly talk about your reasoning and show your final solution by filling the blanks in the below table. ", + "bbox": [ + 181, + 294, + 808, + 319 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "$\\$ 1$ House: $\\$ 1$ Name: $\\$ 1$ Sports: $\\$ 1$ Car: $\\$ 1$ House: $\\$ 1$ Name: $\\$ 1$ Sports: $\\$ 1$ Car: $\\$ 1$ House: $\\$ 1$ Name: $\\$ 1$ Sports: $\\$ 1$ Car: ", + "bbox": [ + 183, + 330, + 563, + 371 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Reasoning: ", + "bbox": [ + 184, + 382, + 261, + 393 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Step 1: First apply clue We know that The Name in house 3 is arnold. ", + "bbox": [ + 181, + 395, + 807, + 419 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Step 2: Then combine clues: ", + "bbox": [ + 184, + 420, + 808, + 444 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Unique Values Rules and the fixed table structure. We know that The Name in house 1 is eric. The FavoriteSport in house 1 is basketball. The Name in house 2 is peter. ", + "bbox": [ + 181, + 445, + 810, + 482 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Step 3: Then apply clue We know that The CarModel in house 1 is toyota camry. ", + "bbox": [ + 181, + 483, + 779, + 507 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Step 4: Then apply clue and Unique Values We know that The CarModel in house 2 is ford f150. The CarModel in house 3 is tesla model 3. ", + "bbox": [ + 181, + 508, + 810, + 545 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Step 5: Then apply clue and Unique Values We know that The FavoriteSport in house 2 is tennis. The FavoriteSport in house 3 is soccer. ", + "bbox": [ + 181, + 545, + 808, + 580 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Final solution: ", + "bbox": [ + 184, + 608, + 300, + 619 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/35e7023a8afea770feed4ae01a02697069ccf61e195d148ff2f86c09a94841ff.jpg", + "image_caption": [ + "Figure 11: A sample scratchpad for the puzzle task. " + ], + "image_footnote": [], + "bbox": [ + 184, + 621, + 642, + 660 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "unique solution, as previously sampled. This process ensures a coherent and engaging puzzle-solving experience. Refer to Figure 10 for an example. ", + "bbox": [ + 174, + 723, + 825, + 752 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Graph Construction Algorithm To solve the complex compositional reasoning process for a logical grid puzzle, we use existing puzzle solvers [21] to generate the computation graph. It follows the basic greedy principle of applying the minimum number of rules to solve any cell, i.e., if using only one rule to solve any given cell, then apply this rule. This algorithm iterates through all clues in the clue set until one or a set of clue combinations can solve any cell in the table. While it may not be the most efficient way to solve the puzzle, it provides models with explicit scratchpad verbalization through an intuitive computation graph. Refer to Figure 10 for the pseudo-code of the process, and Figure 11 for a scratchpad example. ", + "bbox": [ + 173, + 766, + 825, + 878 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "A.3 Dynamic Programming Problem ", + "text_level": 1, + "bbox": [ + 176, + 90, + 444, + 106 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "A.3.1 Solution to this problem ", + "text_level": 1, + "bbox": [ + 174, + 116, + 397, + 131 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Let $a = [ a _ { 1 } , \\ldots , a _ { n } ]$ be an input. Let $d p _ { i }$ be the maximum sum of a subsequence that does not include adjacent elements, when considering only the elements of the input from the $i$ -th position onwards. ", + "bbox": [ + 176, + 140, + 823, + 183 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Trivially, $d p _ { n } = \\operatorname* { m a x } ( a _ { n } , 0 )$ since we only want to choose a number if it is non-negative. Moreover, $d p _ { n - 1 } = \\operatorname* { m a x } ( a _ { n } , a _ { n - 1 } , 0 )$ since we cannot choose adjacent numbers. ", + "bbox": [ + 171, + 188, + 823, + 217 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "For any given $d p _ { i }$ with $i \\le n - 2$ , we can express it in terms of $d p _ { i + 1 }$ and $d p _ { i + 2 }$ . Concretely, the maximum sum of a subsequence starting at position $i$ may or may not include the element in the $i$ -th position, $a _ { i }$ . If the subsequence includes $a _ { i }$ , then the maximum sum is $a _ { i } + d p _ { i + 2 }$ , since using $a _ { i }$ blocks us from using the next element. If the subsequence does not include $a _ { i }$ , then its sum is $d p _ { i + 1 }$ Moreover, the answer may never be less than zero, because otherwise we would select the empty sequence7. In summary, ", + "bbox": [ + 173, + 223, + 825, + 306 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/170641a020ab8507bddf61d8640d3c4e341e2d524b00f02600f86f66ebd9facb.jpg", + "text": "$$\nd p _ { i } = \\operatorname* { m a x } ( d p _ { i + 1 } , \\ a _ { i } + d p _ { i + 2 } , \\ 0 )\n$$", + "text_format": "latex", + "bbox": [ + 382, + 314, + 616, + 330 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "We now have a recursion with its base cases $d p _ { n } = \\operatorname* { m a x } ( a _ { n } , 0 )$ and $d p _ { n - 1 } = \\operatorname* { m a x } ( a _ { n } , a _ { n - 1 } , 0 )$ , and we can therefore compute all values in $O ( n )$ . It now only rests to reconstruct the lexicographically smallest subsequence that maximizes the desired sum, based solely on the computed $d p$ values. ", + "bbox": [ + 174, + 338, + 825, + 380 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Starting from $d p _ { 1 }$ and iterating sequentially through $d p _ { n - 2 }$ , we choose an item if and only if $d p _ { i } = a _ { i } + d p _ { i + 2 }$ (that is, the maximum sum comes from choosing the current element) and we have not chosen the previous element. This helps disambiguate cases where choosing or not choosing $a _ { i }$ yields the same sum, but possibly only one of those will not incur in choosing adjacent numbers. Similarly, for positions $i = n - 1$ and $i = n$ we choose the element if $d p _ { i } = a _ { i }$ (that is, choosing the element yields the maximum sum) and we have not chosen the immediately previous element. See an example Python solution in 2. ", + "bbox": [ + 173, + 386, + 825, + 483 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Given a sequence of integers, find a subsequence with the highest sum, such that no two numbers in the subsequence are adjacent in the original sequence. Output a list with \"1\" for chosen numbers and $\" 2 \"$ for unchosen ones. If multiple solutions exist, select the lexicographically smallest. input $=$ [3, 2, 1, 5, 2]. ", + "bbox": [ + 179, + 511, + 803, + 579 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/4813571b44f7026017a8fa5537c61e87b55cb5cdc6e880fe8ec4cce23706e8fa.jpg", + "image_caption": [ + "Figure 12: Example prompt for the DP task, used for zero-shot and few-shot settings. " + ], + "image_footnote": [], + "bbox": [ + 156, + 621, + 759, + 875 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/991431143e3c3f61db645c077b6f078bd3f5fbfb6d0d07929ac78ebe13bc4206.jpg", + "image_caption": [ + "Listing 2: Example Python code for solving the DP task. We chose this implementation because the computation graph has always the same topology for any given input length. " + ], + "image_footnote": [], + "bbox": [ + 153, + 92, + 818, + 295 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/ec1ef9509772b6081d3fa0205796821c2c606ebf16c3fcd4cf1992262e90d379.jpg", + "image_caption": [ + "Figure 13: A sample scratchpad for the DP task used for fine-tuning with few-shot settings. " + ], + "image_footnote": [], + "bbox": [ + 178, + 395, + 820, + 734 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Data Construction We exhaustively generate data for this DP task. For question-answer setting, we include a thorough explanation of the task before asking to generate a solution (see Figure 12). We use all lists up to 5 elements as training, and we consider only lists where elements are in the range $[ - 5 , 5 ]$ (giving a total of $1 1 ^ { n }$ lists for an input list of size $n$ ). For out-of-domain evaluation, we use lists of sizes 6 to 10 inclusive. Example scratchpads and zero-shot prompts are shown in Figure 13 and 12 respectively. The scratchpad is generated automatically through templates. We considered five exemplars for the few-shot setup. ", + "bbox": [ + 173, + 814, + 826, + 911 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "B Experimental Setups & Empirical Results ", + "text_level": 1, + "bbox": [ + 173, + 88, + 560, + 107 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "B.1 Models ", + "text_level": 1, + "bbox": [ + 174, + 122, + 266, + 137 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "For our experiments, we evaluate the performance of 6 LLMs: GPT4 (gpt-4) [58], ChatGPT (GPT3.5-turbo) [57], GPT3 (text-davinci-003) [11], FlanT5 [17] and LLaMa [75]. The evaluations were conducted from January 2023 to May 2023 using the OpenAI API. We perform fine-tuning on GPT3 (text-davinci-003) for the three tasks, observing faster convergence when training on question-scratchpad pairs rather than question-answer pairs. For question-answer pairs fine-tuning, we train separately the model for {14, 12, 4} epochs for multiplication, puzzle, and DP respectively, saving the best model based on the validation set. Regarding training on question-scratchpad pairs, we train the model for $\\{ 1 6 , 8 , 2 \\}$ epochs for multiplication, puzzle, and DP. The batch size is set to approximately $0 . 2 \\%$ of the number of examples in the training set. Generally, we observe that larger batch sizes tend to yield better results for larger datasets. For the learning rate multiplier, we experiment with values ranging from 0.02 to 0.2 to determine the optimal setting for achieving the best results and chose 0.2. During inference, we set nucleus sampling $p$ to 0.7 and temperature to 1. For each task, we evaluate the performance of each model on 500 test examples. ", + "bbox": [ + 174, + 147, + 826, + 328 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "B.2 Limits of Transformers in Zero- and Few-shot Settings ", + "text_level": 1, + "bbox": [ + 174, + 343, + 596, + 358 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Figure 15, Figure 17 and Figure 20 show the zero-shot performance of GPT4, ChatGPT, LLaMA and FlanT5 on the three tasks. Overall, there is a notable decline in performance as the task complexity increases (measured by graph parallelism for multiplication and DP, and propagation steps for puzzles as shown in Figure14). The few-shot performance with question-answer pairs results in minimal improvement over the zero-shot setting as depicted in Figure 16 and Figure 20 for the multiplication and DP tasks. In contrast, the few-shot setting did not lead to any improvement in the puzzle task. ", + "bbox": [ + 173, + 368, + 825, + 453 + ], + "page_idx": 23 + }, + { + "type": "image", + "img_path": "images/ea6992ce8a25df0d1215daf2984fa4d4084bb80ccb147a9226b868537418a451.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 236, + 465, + 759, + 592 + ], + "page_idx": 23 + }, + { + "type": "image", + "img_path": "images/e75a5cc230193e4aa595be20001bd5d61fe7b113de1b793dd518bb93bea49daa.jpg", + "image_caption": [ + "Figure 14: Graph parallelism vs accuracy. The accuracy decreases as the complexity increases. ", + "Figure 15: Zero-shot accuracy. Performance of ChatGPT, GPT3, LLaMA and FlanT5 on the multiplication task. " + ], + "image_footnote": [], + "bbox": [ + 173, + 616, + 820, + 750 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "B.3 Limits of Transformers with question-answer Training ", + "text_level": 1, + "bbox": [ + 173, + 789, + 596, + 804 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Figure 18 and Figure 21 show the performance of GPT3 finetuned on question-answer pairs. The model was trained on various splits, considering the problem size, depth, and width of the computation graph. Specifically, for the multiplication task, the model was fine-tuned on a range of multiplication problems, spanning from 1-digit by 1-digit multiplication to 4-digit by 2-digit multiplication amounting to $1 . 8 \\mathbf { M }$ pairs. As for the puzzle task, the model was fine-tuned on puzzles of sizes ranging from $2 \\mathbf { x } 2$ to 4x4 resulting in a total of $1 4 2 \\mathrm { k }$ pairs. Additionally, for the DP task, the model was fine-tuned on problems with a sequence length of 5 resulting in 41K pairs. In an additional setup, we divided those datasets based on the depth and width of the computation graph for all the tasks and finetuned on different splits. The results indicate a lack of generalization for out-of-domain (OOD) examples while showcasing near-perfect performance for in-domain examples. One hypothesis on why the model exhibit such a poor generaliztion is tokenization. So we train GPT2-XL from scratch on up to $4 \\mathbf { x } 4$ (90M data points), we assign each digit to one token and each math symbol as well. However, the performance is still low and GPT2-XL fails to answer correctly 3x3 test examples. ", + "bbox": [ + 173, + 814, + 825, + 911 + ], + "page_idx": 23 + }, + { + "type": "image", + "img_path": "images/c880db358b58268e1792064754f307e2067e3d19333e18ea3afe9c371ea4951b.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 174, + 93, + 823, + 203 + ], + "page_idx": 24 + }, + { + "type": "image", + "img_path": "images/338a0cd89eec4133bb361d8ff0adf9890b46ba1cf6e2e8c5155394c4c40b51f5.jpg", + "image_caption": [ + "Figure 16: Few-shot accuracy with question-answer pairs. Performance of GPT4, ChatGPT, GPT3, LLaMA and FlanT5 on the multiplication task. " + ], + "image_footnote": [], + "bbox": [ + 173, + 238, + 823, + 372 + ], + "page_idx": 24 + }, + { + "type": "image", + "img_path": "images/46a866e5eee035da3533a705b9a64c74ebe2d10f5552248445b368594be02e55.jpg", + "image_caption": [ + "Figure 17: Zero-shot accuracy. Performance of ChatGPT, GPT3, LLaMA and FlanT5 on the puzzle task. Few-shot performance led to worse performance. ", + "Figure 18: GPT3 finetuned on the puzzle task using question-answer pairs. The training data consisted of puzzles of size 4x4, and the model was subsequently evaluated on larger puzzle sizes for OOD testing. " + ], + "image_footnote": [], + "bbox": [ + 174, + 410, + 821, + 569 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 645, + 825, + 729 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "GPT3 finetuning cost We will discuss here the approximate cost of fine-tuning GPT3 for the multiplication task. When fine-tuning with question-answer pairs, each example typically consists of around 20 tokens, and 250 tokens for question-scratchpad pairs. The cost for utilizing the text-davinci-003 model amounts to $\\$ 0.02$ (USD) per 1,000 tokens. With this particular setup, the total number of training examples required for multiplication up to 5 digits by 5 digits reaches an astonishing figure of approximately 9.1 billion examples. Should we choose to fine-tune GPT3 for 4 epochs on question-answer pairs, the cost would amount to $\\$ 12$ million and $\\$ 700$ million for question-scratchpad training. For a more comprehensive breakdown of the cost per problem size, please refer to Table 1. ", + "bbox": [ + 173, + 744, + 825, + 869 + ], + "page_idx": 24 + }, + { + "type": "image", + "img_path": "images/656b4cad6b115d52177abb4cbc47ffea8f09767553a0ede182e15e288403855f.jpg", + "image_caption": [ + "Figure 19: GPT3 finetuned on the multiplication task using question-answer pairs " + ], + "image_footnote": [], + "bbox": [ + 271, + 88, + 725, + 243 + ], + "page_idx": 25 + }, + { + "type": "image", + "img_path": "images/fb4810842abf43c3479d855a8b8c6fa86e0385dff405d9383e1c782aa18b611c.jpg", + "image_caption": [ + "Figure 20: Zero-shot and Few-shot accuracy using question-answer pairs. Performance of GPT4, ChatGPT, and GPT3 on the dynamic programming task. LLaMA and FlanT5 results are near zero for all problem sizes. " + ], + "image_footnote": [], + "bbox": [ + 174, + 280, + 823, + 421 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "B.4 Limits of Transformers with Explicit Scratchpad Training ", + "text_level": 1, + "bbox": [ + 173, + 482, + 619, + 497 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Figure 23, 24, 22 show the performance of GPT3 finetuned on different splits of the tasks using questionscratchpad pairs. Specifically, for the multiplication task, the model was fine-tuned on a range of multiplication problems, spanning from 1-digit by 1-digit multiplication to 3-digit by 2-digit multiplication. ", + "bbox": [ + 173, + 508, + 517, + 592 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "As for the puzzle task, the model was fine-tuned on puzzles of sizes ranging from $2 \\mathbf { x } 2$ to 4x4. Additionally, for the DP task, the model was fine-tuned on problems with a sequence length of 5. Furthermore, different data splits were considered, including variations based on the number of hours, number of properties, depth and width of the graph, and the number of digits in the multiplication output. On all tasks, we can see that the model fails to generalize to OOD data while achieving perfect accuracy on in-domain data, indicating that it cannot learn the underlying computational rules. ", + "bbox": [ + 174, + 598, + 517, + 736 + ], + "page_idx": 25 + }, + { + "type": "image", + "img_path": "images/146010ffb2abed9fee724a30d6d92d5c875ef6097d894c9731f66cab1bd842c5.jpg", + "image_caption": [ + "Figure 23: GPT3 finetuned exhaustively on taskspecific data up to a certain problem size. In particular, we train on examples up to 3-digit by 2-digit multiplication (left) and on examples that have up to 5 digits in the output response (right). The blue region represents the in-distribution examples and the red region refers to OOD examples. " + ], + "image_footnote": [], + "bbox": [ + 531, + 523, + 820, + 635 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 736, + 637, + 751 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "B.5 Limits of Transformers with Explicit Scratchpad Prompting ", + "text_level": 1, + "bbox": [ + 174, + 765, + 635, + 781 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Figure 25 shows the results. GPT-4 exhibits an increase in few-shot accuracy in most problem sizes when using question-scratchpad pairs of few-shot examples across the three tasks. While its performance surpasses that of zero-shot and few-shot with question-answer pairs, it tends to decline as the complexity of the tasks increases. The same applies for the rest of the models. ", + "bbox": [ + 173, + 791, + 825, + 847 + ], + "page_idx": 25 + }, + { + "type": "image", + "img_path": "images/6cba5ccfa863bf7c58e9af0b5eec63e3e671c5a56324b1d6de3302ae2dc4aeab.jpg", + "image_caption": [ + "Figure 21: GPT3 finetuned on the dynamic programming task using question-answer pairs. We consider different data splits: problem size, depth, and width of the graph. Specifically, the model was trained with a problem size of 5, and the graph’s depth and width were set to 18. " + ], + "image_footnote": [], + "bbox": [ + 173, + 125, + 821, + 270 + ], + "page_idx": 26 + }, + { + "type": "image", + "img_path": "images/48b4bdf869822dd693033ded8662caeb853f3d450fc835ed025d27feb1da74c5.jpg", + "image_caption": [ + "Figure 22: GPT3 finetuned on the dynamic programming task using question-scratchpad pairs. We consider different data splits: problem size, depth, and width of the graph. Specifically, the model was trained with a problem size of 5, and the graph’s depth and width were set to 18. " + ], + "image_footnote": [], + "bbox": [ + 178, + 397, + 823, + 544 + ], + "page_idx": 26 + }, + { + "type": "image", + "img_path": "images/69e4fd915d0050a0a67f3aa2b955e65dd832d6a0c1d59cd1bf8885bfe0f8ad72.jpg", + "image_caption": [ + "Figure 24: GPT3 finetuned on the puzzle task using question-scratchpad pairs. The training data consisted of puzzles of size 4x4, and the model was subsequently evaluated on larger puzzle sizes for OOD testing. " + ], + "image_footnote": [], + "bbox": [ + 173, + 654, + 821, + 823 + ], + "page_idx": 26 + }, + { + "type": "table", + "img_path": "images/ce64a8d9f0d2d8cdda66fbd83412d22a5eda0f3d59455a6b23452151a69d5ed0.jpg", + "table_caption": [], + "table_footnote": [ + "Table 1: Finetuning cost of GPT3 model on the multiplication data. " + ], + "table_body": "
Problem size# examplesGPT3 Cost
without scratchpadwith scratchpad
1x181$0.12$7.44
2x1810$1.28$74.4
2x28100$12.96$744
3x18100$12.96$744
3x281000$129.6$7440
3x3810000$1296$74,404
4x181000$129.6$7440
4x2810000$1296$74,404
4x38100000$12,960$744,040
4x481000000$129,600$7,440,400
5x1810000$1296$74,404
5x28100000$12,960$744,040
5x381000000$129,600$7,440,400
5x4810000000$1,296,000$70,440,400
5x58100000000$12,960,000$700,440,400
", + "bbox": [ + 305, + 183, + 691, + 386 + ], + "page_idx": 27 + }, + { + "type": "image", + "img_path": "images/75226bbc1f53687d3514b94ed8efac1a77b016576b002ce82cc8213be5c50610.jpg", + "image_caption": [ + "Figure 25: GPT4 few-shot accuracy with question-scratchpad pairs on the 3 tasks. The performance improves for most problem sizes compared to zero-shot performance and few-shot using questionanswer pairs but degrades to zero as the complexity increases. " + ], + "image_footnote": [], + "bbox": [ + 178, + 599, + 821, + 781 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "C Surface Patterns ", + "text_level": 1, + "bbox": [ + 174, + 89, + 349, + 106 + ], + "page_idx": 28 + }, + { + "type": "table", + "img_path": "images/d4824851df1fd584ac82f22e2777c43c5afec8a9f0c249707cfa83fcb3b28624.jpg", + "table_caption": [ + "C.1 Relative Information Gain Predictions for Multiplication ", + "Table 2: Highest Relative Information Gain Elements and Pairs of Elements, for multiplications between $\\boldsymbol { x } = ( x _ { 1 } , \\dots , x _ { n } )$ and $y = ( y _ { 1 } , \\dotsc , y _ { n } )$ , with $2 \\leq n \\leq 5$ . We define $z : = x \\cdot y$ , which will always have size $2 n$ (with possibly a leading zero). $z _ { 2 n }$ denotes the least-significant digit of $z$ , and $z _ { 1 }$ denotes the left-most digit. Only (input, output) pairs above 0.01 are shown. Note that since multiplication is commutative, several pairs of input variables (e.g. $a _ { 0 }$ and $b _ { 0 }$ ) exhibit the same relative information gain. " + ], + "table_footnote": [], + "table_body": "
Relative Information Gain
Input variableOutput variable2x23x34x45x5
xn22n0.2230.2230.2230.223
yn2m0.2230.2230.2230.223
X1210.1980.1990.1990.199
Y1210.1980.1990.1990.199
xnyn22n1.0001.0001.0001.000
xn-1xn22n0.2230.2230.2230.223
Yn-1 yn22n0.2230.2230.2230.223
xnyn22n-10.1100.1010.1010.101
yn-1yn22n-10.0320.0360.0360.036
Xn-1xn22n-10.0320.0360.0360.036
Xn-1 yn-122n-10.0180.0250.0250.025
x1 y1220.0990.0880.0880.088
x2 y2220.0250.0160.0160.016
x1 y1210.7880.7920.7930.793
y1 y2210.2130.2110.2110.211
x1 X2210.2130.2110.2110.211
", + "bbox": [ + 310, + 155, + 686, + 472 + ], + "page_idx": 28 + }, + { + "type": "image", + "img_path": "images/044223ea98f300d8d567f750f64d0ef16b00afc0545000083f47caa60de72664.jpg", + "image_caption": [ + "C.2 Empirical Surface Pattern Analysis for Multiplication with GPT4, ChatGPT and GPT3 " + ], + "image_footnote": [], + "bbox": [ + 220, + 127, + 767, + 393 + ], + "page_idx": 29 + }, + { + "type": "image", + "img_path": "images/59c989aaeae5145e01c77f63bc74e88a7bf4f03c1346944a8ab8b795dd8c75a5.jpg", + "image_caption": [ + "Figure 26: GPT4 zero-shot accuracy in predicting partially correct responses. This evidences surface pattern learning, since the accuracy of full answer prediction is significantly lower–and often near zero (see Figure 2). Specifically, ‘accuracy trailing zeros’ pertains to accurately predicting the number of zeros in the output number, which is known to be relatively easy to predict based on arithmetic calculations. ", + "Figure 27: ChatGPT zero-shot accuracy in predicting partially correct responses. We observe the same trend for GPT3 predictions. " + ], + "image_footnote": [], + "bbox": [ + 220, + 497, + 769, + 765 + ], + "page_idx": 29 + }, + { + "type": "image", + "img_path": "images/cc0ca310518cdc8a0fd2a1f403417b59962f634b453bb18887d68227f9de21c9.jpg", + "image_caption": [ + "Figure 28: GPT4 five-shot accuracy in predicting partially correct responses. We observe the same trend for ChatGPT, GPT3 few-shot predictions. " + ], + "image_footnote": [], + "bbox": [ + 220, + 88, + 767, + 358 + ], + "page_idx": 30 + }, + { + "type": "image", + "img_path": "images/e28d5f64f192a8793634b87c1f1cad5df5c3b96e3ff63cf37632908aecfe4346.jpg", + "image_caption": [ + "Figure 29: GPT3 finetuned on question-scratchpad pairs. Accuracy of predicting partially correct responses. " + ], + "image_footnote": [], + "bbox": [ + 218, + 414, + 769, + 683 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "C.3 Relative Information Gain Predictions for Dynamic Programming Task ", + "text_level": 1, + "bbox": [ + 174, + 751, + 710, + 767 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Let $a _ { i }$ be the $i$ -th element of the input sequence, and let $o _ { i }$ be the $i$ -th element of the output sequence. As shown in Table 3, $a _ { i }$ is a good predictor of $o _ { i }$ , and this is especially true for $a _ { 1 }$ and $a _ { n - 1 }$ , the first and last elements of the sequence. This matches the task intuition, since one would never pick an element $a _ { i } < 0$ and decrease the final sum (one may pick $a _ { i } = 0$ if it makes a lexicographically smaller output sequence). ", + "bbox": [ + 174, + 779, + 825, + 849 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "$a _ { i }$ weakly helps to predict its neighbors. The only case of this behavior with Relative $\\mathrm { G } { > } 0 . 1$ is at the start of the sequence, where the first element helps predict the value of the second. This again matches intuition, since a very high $a _ { 1 }$ indicates that with high probability $O _ { 2 }$ will not be selected for the final subsequence. ", + "bbox": [ + 174, + 854, + 825, + 911 + ], + "page_idx": 30 + }, + { + "type": "table", + "img_path": "images/444afa7d751d4658d41082d65a2605e59a967553b5ac842efcc1579f4c126023.jpg", + "table_caption": [ + "Table 3: Highest Relative Information Gain Elements, for DP problems of size $\\overline { { 2 \\leq n \\leq 1 0 } }$ . We only show the (input, output) pairs where at least three problem sizes have RelativeIG ${ > } 0$ , and at least one with Relative $\\mathrm { I G } { > } 0 . 1$ . $a _ { n - 1 }$ refers to the last element of the sequence, regardless of its actual id in the sequence. " + ], + "table_footnote": [], + "table_body": "
Relative Information Gain for each problem size
Input variableOutput variable2345678910
a1020.150.130.140.140.140.140.140.140.14
a1010.640.710.690.690.690.690.690.690.69
a2020.530.420.450.440.450.440.440.450.44
a3030.640.490.530.520.520.520.520.52
a4040.600.460.500.490.490.490.49
a5050.620.470.510.500.500.50
a6060.610.470.510.490.50
a7070.610.470.510.50
a8080.610.470.51
a9090.610.47
a100100.61
an-1On-10.640.600.620.610.610.610.610.61
an-2On-20.460.470.470.470.470.47
an-30n-30.510.510.510.51
an-40n-40.490.50
", + "bbox": [ + 209, + 87, + 789, + 371 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Similar behaviors, but with higher relative information gains overall, are observed when analyzing triples of consecutive elements in the list. Table 4 shows that $o _ { i }$ is highly predicted by $( a _ { i - 1 } , a _ { i } , a _ { i + 1 } )$ Moreover, $o _ { i }$ is highly predicted by both $( a _ { i - 2 } , a _ { i - 1 } , a _ { i } )$ and $( a _ { i } , a _ { i + 1 } , a _ { i + 2 } )$ , with the former generally having higher scores than the latter. This again matches the task intuitions, since the value of the neighbors helps determine whether to select a number for the subsequence; and asking for the lexicographically smallest sequence biases the output subsequence to care more about the previous numbers rather than the following ones. We believe that this last point is the cause of the weakly predictive power of $( a _ { i - 3 } , a _ { i - 2 } , a _ { i - 1 } )$ to predict $o _ { i }$ ; whereas $( a _ { i + 1 } , a _ { i + 2 } , a _ { i + 3 } )$ is not shown, since all the relative information gain values were below 0.1. ", + "bbox": [ + 174, + 462, + 825, + 588 + ], + "page_idx": 31 + }, + { + "type": "table", + "img_path": "images/0ba7e81a9552fa0dd5bf5a161bbe860cc2c32727053b2dc0f0dea6166606fa9a.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Relative Information Gain for each problem size
Input variableOutput variable345678910
an-3 an-2 an-10n-10.950.950.950.95
an-3an-2an-1On-20.870.870.870.87
an-3 an-2 an-1On-30.640.640.640.64
a1 a2 a3011.000.960.970.970.970.970.970.97
α1 a2 a3021.000.910.920.910.920.910.920.91
a2 a3 a4020.560.550.550.550.550.550.56
α1 a2 a3031.000.660.730.710.720.720.720.72
a2 a3 a4030.860.770.780.780.780.780.78
a3 a4 a5030.670.660.660.660.660.66
a2 a3 a4040.940.640.70.680.690.690.69
a3 a4 a5040.880.790.810.80.80.8
a4 a5 a6040.630.620.620.620.62
a3 a4 a5050.950.650.710.690.70.7
a4 a5 a6050.870.780.790.790.79
a5 a6 a7050.640.630.630.64
a4 a5 a6060.940.640.710.690.7
a5 a6 a7060.870.780.80.8
a6 a7 a8060.640.620.63
a5 a6 a7070.950.640.710.69
a6 a7 a8070.870.780.8
a6 a7 a8080.950.640.71
a1 a2 a30.120.10.110.110.110.110.11
a2 a3 a4040.10.090.10.090.10.1
a3 a4 a505 060.110.10.10.10.11
a4 a5 a6070.110.090.10.11
a5 a6 a7080.110.090.11
", + "bbox": [ + 212, + 88, + 792, + 522 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Table 4: Highest Relative Information Gain Contiguous Triples, for DP problems of size $3 \\leq n \\leq 1 0$ . We only show the (input, output) pairs where at least three problem sizes have Relative $_ { \\mathrm { I G > 0 } }$ , and at least one with RelativeIG ${ \\mathrm { { s 0 . 1 } } }$ . $a _ { n - 1 }$ refers to the last element of the sequence, regardless of its actual id in the sequence. ", + "bbox": [ + 173, + 523, + 826, + 579 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "C.4 Empirical Surface Pattern Results for Dynamic Programming Task ", + "text_level": 1, + "bbox": [ + 174, + 613, + 683, + 630 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "We observe that all analyzed models match the Relative Information Gain prediction that $o _ { 1 }$ (whether the first element goes into the output sequence or not) should be the easiest value to predict (see Figures 30, 31, and 32). However, since GPT3 often predicts shorter output sequences than the required size, the analysis of the predictive power of $o _ { n - 1 }$ is only done for GPT4. In GPT4, we observe that $o _ { n - 1 }$ is among the easiest values to predict as expected by Relative Information Gain. ", + "bbox": [ + 173, + 638, + 826, + 710 + ], + "page_idx": 32 + }, + { + "type": "image", + "img_path": "images/161599db53dd76364992c52e0bd5d24910373a50bcd166ddb44149b485fa6bc2.jpg", + "image_caption": [ + "Figure 30: GPT4 five-shot with scratchpad accuracy in predicting output elements $o _ { i }$ in the DP task. All $o _ { i }$ are predicted with high accuracy with $o _ { 1 }$ and $o _ { n - 1 }$ being consistently among the highest. These observations go in line with the Relative Information Gain prediction. " + ], + "image_footnote": [], + "bbox": [ + 181, + 727, + 803, + 833 + ], + "page_idx": 32 + }, + { + "type": "image", + "img_path": "images/6f97e096b1f0185fd9d6cbf8a5a1880b3ab150be299af91afeefeb57c8fdffbd.jpg", + "image_caption": [ + "Figure 31: GPT3 few-shot without scratchpad accuracy in predicting output elements $o _ { i }$ in the DP task. As predicted by Relative Information Gain, the model predicts $o _ { 1 }$ correctly with the highest probability. However, because GPT3 often does not produce the correct output size, it hinders us from analyzing on 1. " + ], + "image_footnote": [], + "bbox": [ + 187, + 97, + 815, + 256 + ], + "page_idx": 33 + }, + { + "type": "image", + "img_path": "images/0c91beb293a39042084dbf0f7b5f4eb85b5273b68edf7a928262bf9e8dc69ea9.jpg", + "image_caption": [ + "Figure 32: GPT3 fine-tuned without scratchpad accuracy in predicting output elements $o _ { i }$ in the DP task. As predicted by Relative Information Gain, the model predicts $o _ { 1 }$ correctly with the highest probability. However, because GPT3 often does not produce the correct output size, it hinders us from analyzing on−1. " + ], + "image_footnote": [], + "bbox": [ + 187, + 347, + 813, + 506 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "D Theoretical Results: Derivations ", + "text_level": 1, + "bbox": [ + 173, + 88, + 480, + 107 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "D.1 Error accumulates with larger parallel applications of an estimated function (width) ", + "text_level": 1, + "bbox": [ + 171, + 121, + 802, + 137 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Here we provide formal statements and derivations to Propositions 4.1 and 4.2 shown in the main paper. The mathematical framework used is a simplified representation of how multi-step reasoning works, showing two quintessential reasoning types: independent applications of the same step, or consecutive applications of the same step. We take an error estimation and accumulation perspective, since transformers are still being investigated from a theoretical standpoint. ", + "bbox": [ + 173, + 147, + 826, + 218 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Proposition D.1. Let $f _ { n } ( \\mathbf { x } ) = h _ { n } ( g ( \\mathbf { x } , 1 ) , g ( \\mathbf { x } , 2 ) ) , \\ldots , g ( \\mathbf { x } , n ) )$ . Let $\\widehat { h } _ { n } , \\widehat { g } , \\widehat { f } _ { n }$ be estimators of $h _ { n } , g , f _ { n }$ respectively. Assume $\\mathbb { P } ( h _ { n } = { \\widehat { h } } _ { n } ) = 1$ and $\\mathbb { P } ( h _ { n } ( X ) = h _ { n } ( Y ) \\mid X \\neq Y ) < c _ { n }$ , where $c _ { n } < c$ for some constant $c \\ll 1$ (i.e. $\\widehat { h } _ { n }$ perfectly estimates $h _ { n }$ , and $h _ { n }$ is almost injective). If $\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0$ and errors in $\\widehat g$ are independent, $\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c .$ . ", + "bbox": [ + 173, + 222, + 828, + 294 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Moreover, if $c _ { n } \\leq \\beta \\alpha ^ { n }$ for some some $\\alpha \\in ( 0 , 1 )$ and $\\beta > 0$ , then $\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) = 1 .$ ", + "bbox": [ + 171, + 301, + 767, + 324 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Proof. For ease of writing, let $X _ { i } = g ( X , i )$ and $Y _ { i } = \\widehat { g } ( X , i )$ , and let $\\pmb { X } = ( X _ { 1 } , \\ldots , X _ { n } )$ and $Y = ( Y _ { 1 } , \\ldots , Y _ { n } )$ . We will compute some auxiliary probabilities, and then upper bound $\\operatorname { I P } ( f = { \\widehat { f } } )$ , to finally compute its limit. ", + "bbox": [ + 173, + 338, + 826, + 385 + ], + "page_idx": 34 + }, + { + "type": "equation", + "img_path": "images/31667975c656018bada9587a212e80f562b9c22e8e65cbee87aca2f0f3271284.jpg", + "text": "$$\n{ \\begin{array} { r l } & { \\mathbb { P } ( X = Y ) = \\mathbb { P } ( X _ { 1 } = Y _ { 1 } , X _ { 2 } = Y _ { 2 } , \\ldots , X _ { n } = Y _ { n } ) } \\\\ & { \\qquad = \\mathbb { P } ( X _ { 1 } = Y _ { 1 } ) \\cdot \\mathbb { P } ( X _ { 2 } = Y _ { 2 } ) \\ldots \\cdot \\mathbb { P } ( X _ { n } = Y _ { n } ) = \\mathbb { P } ( g = { \\widehat { g } } ) ^ { n } = ( 1 - \\epsilon ) ^ { n } } \\end{array} }\n$$", + "text_format": "latex", + "bbox": [ + 209, + 388, + 785, + 425 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Since by hypothesis we know $\\mathbb { P } ( h _ { n } ( Y ) = \\widehat { h } _ { n } ( Y ) ) = 1$ , we have that: ", + "bbox": [ + 174, + 436, + 637, + 455 + ], + "page_idx": 34 + }, + { + "type": "equation", + "img_path": "images/0832573737dc9ad9568257ea2dfd873f9ab6cdd9b881b2a1593bf76fb7ab0b4c.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathbb { P } ( h _ { n } ( \\pmb X ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) = \\mathbb { P } ( h _ { n } ( \\pmb X ) = \\widehat { h } _ { n } ( \\pmb Y ) \\cap h _ { n } ( \\pmb Y ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad = \\mathbb { P } ( h _ { n } ( \\pmb X ) = h _ { n } ( \\pmb Y ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad \\le \\mathbb { P } ( h _ { n } ( \\pmb X ) = h _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad < c _ { n } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 233, + 458, + 764, + 530 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "We will now estimate $\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )$ using the law of total probability w.r.t. the event $X = Y$ . ", + "bbox": [ + 169, + 542, + 779, + 560 + ], + "page_idx": 34 + }, + { + "type": "equation", + "img_path": "images/0ef1173134fefdbc12596997300b2bbe5b39ee35849b2ece0fe1a40a9ce9a8dd.jpg", + "text": "$$\n{ \\begin{array} { r l } { { \\widehat { \\gamma } } ( f _ { n } = { \\widehat { f } } _ { n } ) = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) ) } \\\\ & { \\qquad = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X = Y ) \\cdot \\operatorname { P } ( X = Y ) + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot \\operatorname { P } ( X \\neq Y ) } \\\\ & { \\qquad = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( X ) ) \\cdot \\operatorname { P } ( X = Y ) + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - \\operatorname { P } ( X = Y ) ) } \\\\ & { \\qquad = 1 \\cdot ( 1 - \\epsilon ) ^ { n } + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - ( 1 - \\epsilon ) ^ { n } ) \\qquad { \\mathrm { ~ ( u s i n g ~ 2 ~ a n d ~ h y p o t h e s i s ) } } } \\\\ & { \\qquad < ( 1 - \\epsilon ) ^ { n } + c _ { n } \\cdot ( 1 - ( 1 - \\epsilon ) ^ { n } ) \\qquad { \\mathrm { ~ ( u s i n g ~ 3 ) } } } \\\\ & { \\qquad < c _ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c _ { n } ) } \\end{array} }\n$$", + "text_format": "latex", + "bbox": [ + 181, + 563, + 838, + 678 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "To conclude our proof, we will compute a lower bound for $\\scriptstyle \\operatorname* { l i m } \\operatorname* { i n f } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq \\widehat { f } _ { n } )$ . Note that since $c _ { n } < c$ for all $n$ , we know that $\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) < c + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c )$ . Then, $\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) >$ $1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c )$ . Since $1 - \\epsilon \\in [ 0 , 1 )$ , $\\operatorname* { l i m } _ { n + \\infty } 1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c ) = 1 - c$ . Thus, ", + "bbox": [ + 173, + 688, + 826, + 741 + ], + "page_idx": 34 + }, + { + "type": "equation", + "img_path": "images/42be23a5b205213bee6c72267eed93d7c9796152b953c85a80929da5cad662c9.jpg", + "text": "$$\n\\operatorname* { l i m i n f } _ { n \\to + \\infty } \\operatorname { I p } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\geq \\operatorname* { l i m i n f } _ { n \\to + \\infty } 1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c ) = 1 - c\n$$", + "text_format": "latex", + "bbox": [ + 281, + 747, + 715, + 772 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "which concludes our proof. ", + "bbox": [ + 173, + 784, + 354, + 799 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Note: In the case where $c _ { n } \\leq \\beta \\alpha ^ { n }$ , we can derive an even stronger conclusion. In this case, we can prove that $\\operatorname* { l i m } _ { n \\to + \\infty } \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) = 1$ . Recall that $\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) < \\alpha \\beta ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\alpha \\beta ^ { n } )$ . Note that since $1 - \\epsilon \\in [ 0 , 1 )$ and $\\alpha \\in ( 0 , 1 )$ , trivially $\\operatorname* { l i m } _ { n + \\infty } \\beta \\alpha ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\beta \\alpha ^ { n } ) = 0 .$ . ", + "bbox": [ + 173, + 816, + 826, + 876 + ], + "page_idx": 34 + }, + { + "type": "equation", + "img_path": "images/90c6146951098859b48f0ea82c677ee4f7f13933d51fe4c4370cda6e75dcc00c.jpg", + "text": "$$\n0 \\leq \\operatorname* { l i m i n f } _ { n + \\infty } \\operatorname* { l i m } _ { } \\operatorname* { l i m } _ { } ( f _ { n } = \\widehat { f } _ { n } ) \\leq \\operatorname* { l i m s u p } _ { n + \\infty } \\operatorname { l i m } _ { } ( f _ { n } = \\widehat { f } _ { n } ) \\leq \\operatorname* { l i m } _ { n + \\infty } \\operatorname* { s u p } _ { } \\beta \\alpha ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\beta \\alpha ^ { n } ) = 0\n$$", + "text_format": "latex", + "bbox": [ + 194, + 881, + 803, + 909 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Then, $\\begin{array} { r } { \\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } = \\widehat { f } _ { n } ) = 0 } \\end{array}$ and we conclude $\\begin{array} { r } { \\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq \\widehat { f } _ { n } ) = 1 } \\end{array}$ , assuming that $c _ { n } \\leq \\beta \\alpha ^ { n }$ for some adequate $\\alpha , \\beta$ . □ ", + "bbox": [ + 173, + 87, + 825, + 121 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "Corollary D.1. Assume that a model $\\mathcal { M }$ solves shifted addition perfectly, but it incorrectly solves at least one m digit by $^ { l }$ digit multiplication for some fixed m. Then, the probability that $\\mathcal { M }$ will solve any m digit by $n$ digit multiplication using the long-form multiplication algorithm tends to $\\boldsymbol { \\theta }$ when $n$ tends to infinity. ", + "bbox": [ + 173, + 130, + 825, + 186 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "1-digit numbers Proof. Let $g = d \\circ s$ $( x _ { m + j } )$ define the base-10 multiplication between , where $s : \\mathbb { Z } _ { 1 0 } ^ { m + n } \\times \\mathbf { \\bar { N } } \\to \\mathbb { N } \\times \\mathbb { N }$ denotes the selection of the numbers to $m$ -digit numbers $( x _ { 1 } x _ { 2 } \\ldots x _ { m } )$ and multiply and $d : \\mathbb { N } \\times \\bar { \\mathbb { Z } } _ { 1 0 } \\to \\mathbb { N }$ denotes the actual multiplication: ", + "bbox": [ + 173, + 200, + 826, + 243 + ], + "page_idx": 35 + }, + { + "type": "equation", + "img_path": "images/6c7877ebfb0cd86052f10b8da7edfdb0d4b6df79d0d7b124f6b8de76c9d98b5b.jpg", + "text": "$$\n\\begin{array} { c } { g : = d \\circ s } \\\\ { d ( x , y ) : = x \\cdot y } \\\\ { s ( [ x _ { 1 } , \\dots , x _ { m } , x _ { m + 1 } , \\dots , x _ { m + n } ] , j ) : = ( x _ { 1 } + x _ { 2 } + \\dots + x _ { m } , x _ { m + j } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 173, + 244, + 653, + 299 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "Let $n m$ $h _ { n } : \\mathbb { N } ^ { n } \\mathbb { N }$ n → -digit by 1-digit multiplications, and let describe the shifted addition used at the end of long-form multiplication to combine $f _ { n } : \\mathbb { Z } _ { 1 0 } ^ { m + n } \\to \\mathbb { N }$ describe the long-form multiplication of $m$ -digit by $n$ -digit numbers: ", + "bbox": [ + 173, + 324, + 831, + 366 + ], + "page_idx": 35 + }, + { + "type": "equation", + "img_path": "images/28173d4eea6f825c5399401776038e0a3760786d9b1cca32091f98c57fcca3af.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle h _ { n } ( x _ { 1 } , \\ldots , x _ { n } ) : = \\sum _ { i = 1 } ^ { n } x _ { i } 1 0 ^ { n - i } } \\ ~ } \\\\ { { \\displaystyle f _ { n } ( { \\bf x } ) : = h _ { n } ( g ( { \\bf x } , 1 ) , g ( { \\bf x } , 2 ) ) , \\ldots , g ( { \\bf x } , n ) ) } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 321, + 368, + 676, + 429 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "By hypothesis, $\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0$ and $\\mathbb { P } ( h _ { n } = \\widehat { h } _ { n } ) = 1$ , where $\\widehat g$ and $\\widehat { h } _ { n }$ denote estimators using model $\\mathcal { M }$ b. It can be shown that $\\mathbb { P } ( h _ { n } ( X ) = h _ { n } ( Y ) \\mid X \\neq Y ) < \\beta \\alpha ^ { n }$ for $\\alpha = 0 . 1$ and $\\beta = 1 0 ^ { m }$ . Using Lemma D.1, $\\operatorname* { l i m } _ { n \\to + \\infty } \\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) = 1$ , which concludes our proof. ", + "bbox": [ + 173, + 433, + 826, + 486 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "Note that Lemma D.1’s proofs gives us empirical bounds once $\\epsilon$ and $\\alpha$ are approximated. Also note that our definition of $g$ in the proof of Corollary D.1 highlights two possible sources of exponentially-accumulating error: errors in the selection of the numbers to multiply $s$ , and errors in the actual $m$ -digit by 1-digit multiplication $d$ . ", + "bbox": [ + 173, + 520, + 826, + 577 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "D.2 Error accumulates with larger iterative applications of an estimated function (depth) ", + "text_level": 1, + "bbox": [ + 173, + 590, + 803, + 607 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "Proposition D.2. Let $f _ { n } ( \\mathbf { x } ) = g ^ { n } ( \\mathbf { x } )$ . Assume $\\mathbb { P } ( g ( X ) = { \\widehat { g } } ( Y ) \\mid X \\neq Y ) \\leq c$ (i.e. recovering from a mistake due to the randomness of applying the estimator on an incorrect input has probability at most c). If $\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0$ with $c + \\epsilon < 1$ , then $\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I p } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - { \\dot { c } } / ( c + { \\dot { \\epsilon } } )$ . ", + "bbox": [ + 173, + 614, + 825, + 667 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "Proof. We first derive a recursive upper bound using the law of total probability, and then prove a non-recursive upper bound by induction. ", + "bbox": [ + 171, + 681, + 825, + 709 + ], + "page_idx": 35 + }, + { + "type": "equation", + "img_path": "images/e9984865717d88c0cc4a907f73f50b79079c151df885f11302470670313efe56.jpg", + "text": "$$\n\\begin{array} { r l } { \\mathfrak { n } : = \\mathbb { P } ( f _ { n } = \\widehat { f _ { n } } ) = \\mathbb { P } ( g ( g ^ { n - 1 } ( Z ) ) = \\widehat { g } ( \\widehat { g } ^ { n - 1 } ( Z ) ) ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) ) \\quad \\mathrm { ~ w h e r e ~ } X : = g ^ { n - 1 } ( Z ) \\mathrm { ~ a n d ~ } Y : = \\widehat { g } ^ { n - 1 } ( Z ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X = Y ) \\cdot \\mathbb { P } ( X = Y ) + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot \\mathbb { P } ( X \\neq Y ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( X ) ) \\cdot \\mathbb { P } ( X = Y ) + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - \\mathbb { P } ( X = Y ) ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( X ) ) \\cdot s _ { n - 1 } + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - s _ { n - 1 } ) } \\\\ & { \\qquad \\leq ( 1 - \\epsilon ) \\cdot s _ { n - 1 } + c \\cdot ( 1 - s _ { n - 1 } ) } \\\\ & { \\qquad \\leq ( 1 - \\epsilon - c ) \\cdot s _ { n - 1 } + c } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 710, + 834, + 833 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "We know $s _ { 1 } = ( 1 - \\epsilon )$ since $s _ { 1 } = \\mathbb { P } ( f _ { 1 } = \\widehat { f } _ { 1 } ) = \\mathbb { P } ( g = \\widehat { g } )$ . Let $b : = 1 - \\epsilon - c$ for ease of writing. Then, we have ", + "bbox": [ + 173, + 840, + 828, + 871 + ], + "page_idx": 35 + }, + { + "type": "equation", + "img_path": "images/33f48181f3f7e419cc2b1029e0f1c3471032aed8283f6416bbfff717c8fc201d.jpg", + "text": "$$\ns _ { n } \\leq b \\cdot s _ { n - 1 } + c\n$$", + "text_format": "latex", + "bbox": [ + 437, + 871, + 560, + 887 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "It can be easily shown by induction that $\\begin{array} { r } { s _ { n } \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { n - 2 } b ^ { i } } \\end{array}$ ", + "bbox": [ + 173, + 895, + 650, + 912 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "• The base case $n = 2$ is true since we know $s _ { 2 } \\leq b \\cdot s _ { 1 } + c , $ , and $b \\cdot s _ { 1 } + c = b ( 1 - \\epsilon ) + c =$ $\\begin{array} { r } { b ^ { 2 - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { 2 - 2 } b ^ { i } } \\end{array}$ , thus showing $\\begin{array} { r } { s _ { 2 } \\leq b ^ { 2 - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { 2 - 2 } b ^ { i } } \\end{array}$ ", + "bbox": [ + 218, + 90, + 823, + 125 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "• The inductive step yields directly using Equation 4, ", + "bbox": [ + 218, + 131, + 576, + 146 + ], + "page_idx": 36 + }, + { + "type": "equation", + "img_path": "images/e2c512b6f3caa2990a018eb887e6ee0b7e95d52b10186879a349358eb48823ed.jpg", + "text": "$$\n\\begin{array} { l } { { s _ { n } \\leq b \\cdot s _ { n - 1 } + c } } \\\\ { { \\mathrm { } \\quad \\leq b \\cdot \\left( b ^ { n - 2 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 0 } ^ { n - 3 } b ^ { i } \\right) + c \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 1 } ^ { n - 2 } b ^ { i } + c \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 0 } ^ { n - 2 } b ^ { i } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 228, + 152, + 857, + 215 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "We can rewrite the geometric series $\\textstyle \\sum _ { i = 0 } ^ { n - 2 } b ^ { i }$ in its closed form $\\frac { 1 - b ^ { n - 1 } } { 1 - b }$ , and recalling $b : = 1 - \\epsilon - c$ ", + "bbox": [ + 173, + 228, + 826, + 248 + ], + "page_idx": 36 + }, + { + "type": "equation", + "img_path": "images/fd050831d4887b4d9666730100a496c8fa3751fc96cdbec02db0d40c9ffb6b47.jpg", + "text": "$$\n\\begin{array} { l } { { s _ { n } \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\frac { 1 - b ^ { n - 1 } } { 1 - b } = b ^ { n - 1 } ( 1 - \\epsilon ) + c \\frac { 1 - b ^ { n - 1 } } { c + \\epsilon } } } \\\\ { { \\ = b ^ { n - 1 } ( 1 - \\epsilon ) + \\frac { c } { c + \\epsilon } - b ^ { n - 1 } \\frac { c } { c + \\epsilon } } } \\\\ { { \\ = b ^ { n - 1 } \\Big ( 1 - \\epsilon - \\frac { c } { c + \\epsilon } \\Big ) + \\frac { c } { c + \\epsilon } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 295, + 255, + 702, + 349 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "Recalling that $s _ { n } = \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )$ , we compute the limit inferior of $\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) = 1 - s _ { n } \\geq$ 1 − b n − 1 (1 − ϵ − cc +ϵ ) − cc +ϵ . ", + "bbox": [ + 171, + 359, + 826, + 395 + ], + "page_idx": 36 + }, + { + "type": "equation", + "img_path": "images/1d051f4e61b2c40fdec3a80eb9720cc0b6f09d04328df57d9b6c69370da6a55c.jpg", + "text": "$$\n\\operatorname* { l i m i n f } _ { n \\to + \\infty } \\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\geq \\operatorname* { l i m } _ { n \\to + \\infty } 1 - b ^ { n - 1 } \\bigg ( 1 - \\epsilon - \\frac { c } { c + \\epsilon } \\bigg ) - \\frac { c } { c + \\epsilon } = 1 - \\frac { c } { c + \\epsilon }\n$$", + "text_format": "latex", + "bbox": [ + 238, + 401, + 759, + 431 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "that concludes our proof. ", + "bbox": [ + 174, + 443, + 339, + 458 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "We can generalize the proof in Lemma 4.2 to tasks where there are potentially many valid reasoning chains with the following alternative state-transition framing. ", + "bbox": [ + 174, + 473, + 826, + 502 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "Lemma D.2. Let $S$ denote the set of all possible states a language model can generate, and let $z : S \\{ 0 , 1 \\}$ defines if a state is valid ( $O =$ invalid). Let ${ \\widehat { g } } : S \\to \\Pi ( S )$ be a state-transition function representing a language model’s probability distribution of generating each possible next state when attempting to perform a single reasoning step. Assume $\\mathbb { P } ( z ( \\widehat { g } ( X ) ) = 1 \\mid z ( X ) = 0 ) \\le c$ and $\\mathbb { P } ( z ( \\bar { g } ( X ) ) = \\bar { 0 } \\mid \\bar { z } ( X ) = 1 ) \\bar { = } \\epsilon > 0$ with $c + \\epsilon < 1$ . Then, lim i n→+ $\\underset { \\infty } { \\mathrm { n f } } \\mathbb { P } ( z ( \\widehat { g } ^ { n } ) = 0 ) = 1 - c / ( c + \\epsilon )$ . ", + "bbox": [ + 173, + 506, + 826, + 583 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "If for task $T$ we know that all valid reasoning chains to arrive at a correct result have at least length $n$ (i.e., the equivalent of defining $f _ { n } = g ^ { n }$ in Lemma D.1) then the probability of solving task $T$ correctly tends to at most $c / ( c + \\epsilon )$ . ", + "bbox": [ + 173, + 593, + 825, + 636 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "Corollary D.3. The recursions for dynamic programming tasks, the m-by-1 digit multiplication, and the puzzle’s elimination function are all tasks where there is a fixed reasoning step g being repeatedly applied. Therefore, we can directly apply Proposition 4.2 to these tasks. ", + "bbox": [ + 174, + 640, + 823, + 683 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "Proof. Let’s analyze the three tasks separately below. ", + "bbox": [ + 174, + 696, + 526, + 713 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "$m$ -by-1 digit multiplication may be viewed as $f ^ { m } ( \\mathbf { x } )$ Let $\\boldsymbol { x } = ( x _ { 1 } , \\dots , x _ { m } )$ be the $m$ -digit number that we multiply by the 1-digit number $y$ ( $0 \\leq y < 1 0 )$ . Let $z = ( z _ { 1 } , \\dots , z _ { m + 1 } )$ denote $z = x \\cdot y$ , which is guaranteed to have exactly $m + 1$ digits (with possibly leading zeros). We define $f$ as: ", + "bbox": [ + 173, + 726, + 826, + 784 + ], + "page_idx": 36 + }, + { + "type": "equation", + "img_path": "images/c085adfc232e49a513a8125d73fe9e36d2f14ee9a0c3e77cc78f34d773eda324.jpg", + "text": "$$\nf ( x _ { 1 } , \\dots , x _ { m } , y , i , c ) : = ( x _ { 1 } , \\dots , x _ { i - 1 } , x _ { i } ^ { \\prime } , x _ { i + 1 } , \\dots x _ { m } , y , i - 1 , c ^ { \\prime } )\n$$", + "text_format": "latex", + "bbox": [ + 272, + 790, + 725, + 808 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "where $x _ { i } ^ { \\prime } : = ( x _ { i } \\cdot y + c )$ mod 10 and $c ^ { \\prime } : = \\lfloor ( x _ { i } \\cdot y + c ) / 1 0 \\rfloor$ . Note that $x _ { i } ^ { \\prime } = z _ { i + 1 }$ since $f$ is performing one step of the long-form multiplication algorithm. ", + "bbox": [ + 174, + 820, + 820, + 851 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "Let the initial input be $\\textbf { x } : = \\ ( x _ { 1 } , \\dots , x _ { m } , y , m , 0 )$ . Then, it can be easily shown that $\\begin{array} { r l r } { f ^ { m } ( { \\bf x } ) } & { { } = } & { ( z _ { 2 } , \\ldots , z _ { m + 1 } , y , 0 , c ) } \\end{array}$ . Since $c$ is the left-most carry, it is the leading digit of $z$ , i.e. $c \\ = \\ z _ { 1 }$ (possibly zero) . Thus, the value of $z$ can be directly extracted from $f ^ { m } ( \\mathbf { x } ) \\ = \\ ( z _ { 2 } , \\ldots , z _ { m + 1 } , y , 0 , z _ { 1 } )$ . ", + "bbox": [ + 173, + 854, + 825, + 912 + ], + "page_idx": 36 + }, + { + "type": "text", + "text": "In the DP task, $d p$ ’s computation may be viewed as $f ^ { m - 2 } ( x )$ for a list of size $m$ See $\\ S \\mathrm { A } . 3 . 1$ for details on the solution to this problem. We will use identical notation. Let $a _ { 1 } , \\ldots , a _ { m }$ be an input list. Let $\\textbf { x } = ~ ( a _ { 1 } , \\dots , a _ { m - 2 } , a _ { m - 1 } ^ { \\prime } , a _ { m } ^ { \\prime } , m - 2 )$ , where $a _ { m } ^ { \\prime } : = \\operatorname* { m a x } ( a _ { m } , 0 )$ and $a _ { m - 1 } ^ { \\prime } : = \\operatorname* { m a x } ( a _ { m - 1 } , a _ { m } , 0 )$ . Intuitively, this means that we have applied the first two steps of the $d p$ computation, and stored the results in $a _ { m - 1 } ^ { \\prime }$ and $a _ { m } ^ { \\prime }$ . Let $f$ be a function representing the recursive computation of $d p _ { i }$ : ", + "bbox": [ + 173, + 90, + 825, + 175 + ], + "page_idx": 37 + }, + { + "type": "equation", + "img_path": "images/aa576ab4ce047e79246342a5fd38e9012c1b87c2d2b6a2368214e00d7d1fa2b8.jpg", + "text": "$$\nf ( a _ { 1 } , \\dots , a _ { i } , a _ { i + 1 } ^ { \\prime } , \\dots , a _ { m } ^ { \\prime } , i ) = ( a _ { 1 } , \\dots , a _ { i - 1 } , a _ { i } ^ { \\prime } , \\dots , a _ { m } ^ { \\prime } , i - 1 )\n$$", + "text_format": "latex", + "bbox": [ + 279, + 179, + 717, + 198 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "where $a _ { i } ^ { \\prime } : = \\operatorname* { m a x } ( a _ { i + 1 } ^ { \\prime } , a _ { i } + a _ { i + 2 } ^ { \\prime } , 0 )$ ", + "bbox": [ + 174, + 202, + 424, + 219 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "Note that since $a _ { i + 1 } ^ { \\prime }$ stores the value of $d p _ { i + 1 }$ and $a _ { i + 2 } ^ { \\prime }$ stores the value of $d p _ { i + 2 }$ , it can be easily shown that $f ^ { m - 2 } ( { \\bf x } ) = ( a _ { 1 } ^ { \\prime } , \\ldots , a _ { m } ^ { \\prime } , 0 ) = ( d p _ { 1 } , \\ldots , d p _ { m } , 0 )$ . Therefore, $f ^ { m - 2 }$ computes all recursive values of $d p _ { i }$ when given the base cases. ", + "bbox": [ + 173, + 224, + 826, + 268 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "In the DP task, the reconstruction of the desired subsequence given already computed $d p$ values may be viewed as $f ^ { m } ( x )$ for an input list of size $m$ . This case is similar to the previous one. Let $r = ( r _ { 1 } , \\ldots , r _ { m } ) $ be the result, where $r _ { i } = 1$ if $a _ { i }$ was selected for the desired subsequence, and $r _ { i } = 2$ otherwise. Let $\\mathbf { x } : = ( d p _ { 1 } , \\hdots , d p _ { m } , 0 , 0 , a _ { 1 } , \\hdots , a _ { m } , 1 , 1 )$ . Let $f$ be defined as follows: ", + "bbox": [ + 173, + 282, + 826, + 340 + ], + "page_idx": 37 + }, + { + "type": "equation", + "img_path": "images/a44d25fd4f655b0ddc21a2d53ec701001dec87de37a7328ea989650f67bd8596.jpg", + "text": "$$\nf ( d p _ { 1 } , \\dots , d p _ { m } , 0 , 0 , a _ { 1 } ^ { \\prime } , \\dots , a _ { i - 1 } ^ { \\prime } , a _ { i } , \\dots , a _ { m } , i , u ) = ( d p _ { 1 } , \\dots , d p _ { m } , 0 , 0 , a _ { 1 } ^ { \\prime } , \\dots , a _ { i } ^ { \\prime } , a _ { i + 1 } , \\dots , a _ { m } , i + 1 , \\dots , d ) .\n$$", + "text_format": "latex", + "bbox": [ + 169, + 361, + 816, + 378 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "where $a _ { i } ^ { \\prime } : = 2 - \\mathbb { 1 } \\{ d p _ { i } = a _ { i } + d p _ { i + 2 }$ and $u = 1 \\}$ and $u : = 1 - \\mathbb { 1 } \\left\\{ d p _ { i } = a _ { i } + d p _ { i + 2 } \\right.$ and $u = 1 \\}$ . Intuitively, $a _ { i } ^ { \\prime }$ stores whether the $i$ -th element of the list should be selected for the final subsequence, assigning 1 if the element should be taken, and 2 otherwise (i.e., $a _ { i } ^ { \\prime } = r _ { i } $ ). Moreover, if the $i$ -th element has been selected, we mark that the next item will not be available using $u ^ { \\prime }$ . Therefore, $f$ performs one step of the final output reconstruction as defined in $\\ S \\mathrm { A } . 3 . 1$ . ", + "bbox": [ + 173, + 388, + 828, + 460 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "It can be easily shown that $\\begin{array} { r l r } { f ^ { m } ( { \\bf x } ) } & { { } : = } & { ( d p _ { 1 } , \\ldots , d p _ { m } , 0 , 0 , a _ { 1 } ^ { \\prime } , \\ldots , a _ { m } ^ { \\prime } , m \\ + \\ 1 , u ^ { \\prime } ) = } \\end{array}$ $( d p _ { 1 } , \\hdots , d p _ { m } , 0 , 0 , r _ { 1 } , \\hdots , r _ { m } , m + 1 , u ^ { \\prime } )$ . Note that the extra two elements in the input state allow lifting the special cases $m - 1$ and $m$ in the solution shown in $\\ S \\mathrm { A } . 3 . 1$ without falling out of bounds. ", + "bbox": [ + 173, + 464, + 825, + 521 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "Solving the puzzle task may be seen as $f ^ { m }$ for some $m$ , where $f$ is the elimination function Let $c _ { 1 } , \\ldots , c _ { n }$ be the list of clues, let $H$ be the number of houses, and let $A$ be a partially filled solution of size $K \\times M$ as defined in $\\ S 2 . 4$ . Each cell $A _ { i j }$ can take $H + 1$ values: the $H$ options for the cell and the value $\\boldsymbol { \\wp }$ , implying this cell has not been filled. An elimination step $f$ may be defined as: ", + "bbox": [ + 173, + 535, + 825, + 592 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "f ${ } ^ { \\boldsymbol { \\mathsf { r } } } ( c _ { 1 } , \\ldots , c _ { n } , A _ { 1 1 } , \\ldots A _ { 1 M } , \\ldots , A _ { K 1 } , \\ldots A _ { K M } ) = ( c _ { 1 } , \\ldots , c _ { n } , A _ { 1 1 } ^ { \\prime } , \\ldots A _ { 1 M } ^ { \\prime } , \\ldots , A _ { K 1 } ^ { \\prime } , \\ldots A _ { K M } ^ { \\prime } )$ where $A ^ { \\prime }$ is also a partially filled matrix, with $A _ { i j } = A _ { i j } ^ { \\prime }$ for every $A _ { i j } \\neq \\varnothing$ and where $A ^ { \\prime }$ has at least one more filled cell. ", + "bbox": [ + 173, + 597, + 826, + 647 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "Let ${ \\bf x } = ( c _ { 1 } , \\dots , c _ { n } , E )$ where $E$ is an empty matrix of size $K \\times M$ (all cell values of $E$ are $\\boldsymbol { \\wp }$ ). ", + "bbox": [ + 174, + 654, + 805, + 670 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "Then, a full solution is computed as $f ^ { m } ( \\mathbf { x } )$ for some value of $m$ that increases with the problem size. In contrast to other tasks, the value of $m$ is not fixed, and depends on the task instance, but using solvers we know that $m$ increases with problem size. □ ", + "bbox": [ + 173, + 674, + 826, + 717 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "D.3 Discussing $c \\ll \\epsilon$ in the context of Proposition 4.2 ", + "text_level": 1, + "bbox": [ + 173, + 732, + 558, + 748 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "Note that in Proposition 4.2, if $c \\ll \\epsilon$ then $\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\mathbb { P } ( f _ { n } \\ \\neq \\ { \\widehat { f } } _ { n } ) \\approx 1$ . This is because assuming $\\epsilon = m \\cdot c$ for some $m > 0$ , we have $\\begin{array} { r } { 1 - \\frac { c } { c + \\epsilon } = 1 - \\frac { c } { c + m \\cdot c } = 1 - \\frac { 1 } { m + 1 } = \\frac { m } { m + 1 } } \\end{array}$ mm+1 , and $\\frac { m } { m + 1 }$ is a monotonically increasing function for all $m > 0$ that tends to 1 when $m$ goes to infinity. Therefore, large $m$ ’s (or alternatively, $c \\ll \\epsilon$ ) imply $\\frac { m } { m + 1 }$ will be close to 1. ", + "bbox": [ + 173, + 758, + 825, + 830 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "It is reasonable to assume $c \\ll \\epsilon$ when $g$ has low collision, since $c$ represents the probability of the estimator $\\widehat g ( y )$ arriving at the correct output $g ( x )$ by chance when given the wrong input $y \\neq x$ . ", + "bbox": [ + 174, + 834, + 823, + 864 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "If $g$ is discrete, it can take $| \\mathrm { I m } ( g ) |$ values, where $| \\mathrm { I m } ( g ) |$ denotes the cardinal of the image space of $g$ Assuming approximately uniform errors, $c \\approx \\epsilon / | \\mathrm { I m } ( g ) |$ , which in turn implies $c \\ll \\epsilon$ since $g$ being low collision implies $| \\mathrm { I m } ( g ) |$ is large. ", + "bbox": [ + 174, + 868, + 825, + 912 + ], + "page_idx": 37 + }, + { + "type": "text", + "text": "If $g$ is continuous, under appropriate assumptions it seems plausible that we can prove that $c \\approx 0$ (e.g. \nif errors are approximately uniform). ", + "bbox": [ + 173, + 90, + 825, + 119 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "Summarizing both cases, if errors are approximately evenly distributed we obtain that $\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname* { i n f } \\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\approx 1$ . ", + "bbox": [ + 169, + 126, + 825, + 160 + ], + "page_idx": 38 + }, + { + "type": "text", + "text": "E Additional Literature and Societal Impact ", + "text_level": 1, + "bbox": [ + 173, + 88, + 562, + 107 + ], + "page_idx": 39 + }, + { + "type": "text", + "text": "E.1 Additional Literature ", + "text_level": 1, + "bbox": [ + 174, + 122, + 366, + 137 + ], + "page_idx": 39 + }, + { + "type": "text", + "text": "Iterated Functions The process of repeatedly applying a noisy single operation or function $f$ can be related to iterated random functions [24]. In this latter literature, the focus is usually on the contractive regime in which accrued errors can be kept under control, and the subsequent convergence guarantees (e.g., [23]). When $f$ is an affine transformation, the process falls simultaneously between two perspectives: time series [31] and dynamic programming and control [6]. We leverage the former to discuss the often explosive errors of $f ^ { n }$ . ", + "bbox": [ + 173, + 148, + 825, + 232 + ], + "page_idx": 39 + }, + { + "type": "text", + "text": "E.2 Societal Impact Discussion ", + "text_level": 1, + "bbox": [ + 176, + 247, + 401, + 262 + ], + "page_idx": 39 + }, + { + "type": "text", + "text": "Our work on analyzing the limitations of current transformers in compositional tasks can have a positive societal impact in several ways. By shedding light on these limitations, we contribute to a deeper understanding of the capabilities and constraints of these models. This knowledge is essential for researchers, developers, and policymakers in making informed decisions regarding the application of transformers in various domains. ", + "bbox": [ + 174, + 272, + 825, + 342 + ], + "page_idx": 39 + }, + { + "type": "text", + "text": "Understanding the limitations of transformers in compositional reasoning is crucial for developing more reliable and robust AI systems. By identifying these shortcomings, we can direct future research efforts toward addressing these limitations and developing models that exhibit improved performance in handling complex tasks requiring compositional reasoning. ", + "bbox": [ + 174, + 348, + 825, + 405 + ], + "page_idx": 39 + }, + { + "type": "text", + "text": "We do not foresee any negative societal impacts, as our analysis aims to understand the reasons behind transformers’ failures and successes, but does not introduce any new model or dataset that future work may leverage. ", + "bbox": [ + 174, + 411, + 825, + 453 + ], + "page_idx": 39 + } +] \ No newline at end of file diff --git a/parse/dev/Fkckkr3ya8/Fkckkr3ya8_middle.json b/parse/dev/Fkckkr3ya8/Fkckkr3ya8_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..e0d052b653f7d2237e176d9d3d6f4aeb4fd1acf3 --- /dev/null +++ b/parse/dev/Fkckkr3ya8/Fkckkr3ya8_middle.json @@ -0,0 +1,98898 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 142, + 97, + 469, + 137 + ], + "lines": [ + { + "bbox": [ + 248, + 97, + 366, + 117 + ], + "spans": [ + { + "bbox": [ + 248, + 97, + 366, + 117 + ], + "score": 1.0, + "content": "Faith and Fate:", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 140, + 114, + 469, + 139 + ], + "spans": [ + { + "bbox": [ + 140, + 114, + 469, + 139 + ], + "score": 1.0, + "content": "Limits of Transformers on Compositionality", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 113, + 178, + 500, + 226 + ], + "lines": [ + { + "bbox": [ + 203, + 177, + 407, + 190 + ], + "spans": [ + { + "bbox": [ + 203, + 177, + 304, + 190 + ], + "score": 1.0, + "content": "Nouha Dziri1∗, Ximing", + "type": "text" + }, + { + "bbox": [ + 304, + 178, + 332, + 190 + ], + "score": 0.6, + "content": "\\mathbf { L u } ^ { 1 , 2 * }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 177, + 407, + 190 + ], + "score": 1.0, + "content": ", Melanie Sclar2∗,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 185, + 190, + 427, + 202 + ], + "spans": [ + { + "bbox": [ + 185, + 190, + 254, + 202 + ], + "score": 1.0, + "content": "Xiang Lorraine", + "type": "text" + }, + { + "bbox": [ + 254, + 190, + 273, + 201 + ], + "score": 0.67, + "content": "\\mathbf { L i } ^ { \\dagger }", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 190, + 427, + 202 + ], + "score": 1.0, + "content": ", Liwei Jiang1,2† , Bill Yuchen Lin1†,", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 111, + 200, + 501, + 215 + ], + "spans": [ + { + "bbox": [ + 111, + 200, + 501, + 215 + ], + "score": 1.0, + "content": "Peter West1,2, Chandra Bhagavatula1, Ronan Le Bras1, Jena D. 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Yet,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 333, + 469, + 346 + ], + "spans": [ + { + "bbox": [ + 141, + 333, + 469, + 346 + ], + "score": 1.0, + "content": "these models simultaneously show failures on surprisingly trivial problems. This", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 344, + 469, + 356 + ], + "spans": [ + { + "bbox": [ + 141, + 344, + 469, + 356 + ], + "score": 1.0, + "content": "begs the question: Are these errors incidental, or do they signal more substantial", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 354, + 469, + 367 + ], + "spans": [ + { + "bbox": [ + 141, + 354, + 469, + 367 + ], + "score": 1.0, + "content": "limitations? In an attempt to demystify transformer LLMs, we investigate the limits", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 365, + 470, + 378 + ], + "spans": [ + { + "bbox": [ + 141, + 365, + 470, + 378 + ], + "score": 1.0, + "content": "of these models across three representative compositional tasks—multi-digit multi-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 377, + 469, + 389 + ], + "spans": [ + { + "bbox": [ + 141, + 377, + 469, + 389 + ], + "score": 1.0, + "content": "plication, logic grid puzzles, and a classic dynamic programming problem. These", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 388, + 469, + 401 + ], + "spans": [ + { + "bbox": [ + 141, + 388, + 469, + 401 + ], + "score": 1.0, + "content": "tasks require breaking problems down into sub-steps and synthesizing these steps", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 399, + 469, + 411 + ], + "spans": [ + { + "bbox": [ + 141, + 399, + 469, + 411 + ], + "score": 1.0, + "content": "into a precise answer. We formulate compositional tasks as computation graphs to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 410, + 470, + 423 + ], + "spans": [ + { + "bbox": [ + 141, + 410, + 470, + 423 + ], + "score": 1.0, + "content": "systematically quantify the level of complexity, and break down reasoning steps", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 421, + 470, + 432 + ], + "spans": [ + { + "bbox": [ + 141, + 421, + 470, + 432 + ], + "score": 1.0, + "content": "into intermediate sub-procedures. Our empirical findings suggest that transformer", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 431, + 470, + 444 + ], + "spans": [ + { + "bbox": [ + 141, + 431, + 470, + 444 + ], + "score": 1.0, + "content": "LLMs solve compositional tasks by reducing multi-step compositional reason-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 443, + 469, + 455 + ], + "spans": [ + { + "bbox": [ + 141, + 443, + 469, + 455 + ], + "score": 1.0, + "content": "ing into linearized subgraph matching, without necessarily developing systematic", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 452, + 470, + 466 + ], + "spans": [ + { + "bbox": [ + 141, + 452, + 470, + 466 + ], + "score": 1.0, + "content": "problem-solving skills. To round off our empirical study, we provide theoretical", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 464, + 471, + 477 + ], + "spans": [ + { + "bbox": [ + 141, + 464, + 471, + 477 + ], + "score": 1.0, + "content": "arguments on abstract multi-step reasoning problems that highlight how autoregres-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 475, + 463, + 488 + ], + "spans": [ + { + "bbox": [ + 141, + 475, + 463, + 488 + ], + "score": 1.0, + "content": "sive generations’ performance can rapidly decay with increased task complexity.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 17.5, + "bbox_fs": [ + 141, + 311, + 471, + 488 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 505, + 190, + 519 + ], + "lines": [ + { + "bbox": [ + 105, + 504, + 192, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 192, + 522 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 529, + 501, + 541 + ], + "lines": [ + { + "bbox": [ + 105, + 528, + 503, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 503, + 543 + ], + "score": 1.0, + "content": "“It was the epoch of belief, it was the epoch of incredulity.” – Charles Dickens, A Tale of Two Cities", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 528, + 503, + 543 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 546, + 505, + 601 + ], + "lines": [ + { + "bbox": [ + 106, + 546, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 106, + 546, + 506, + 558 + ], + "score": 1.0, + "content": "Large-scale transformers such as ChatGPT [57] and GPT4 [58] demonstrate unprecedented capa-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 557, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 505, + 569 + ], + "score": 1.0, + "content": "bilities [57, 74, 11, 15, 85], even noted as “sparks of AGI” [12]. In stark contrast, the same models", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 568, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 579 + ], + "score": 1.0, + "content": "sometimes struggle with simple, intuitive tasks [9, 62, 40]. For instance, humans can solve 3-digit", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 591 + ], + "score": 1.0, + "content": "by 3-digit multiplication arithmetic after learning basic calculation rules [22, 34]. Yet, off-the-shelf", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 589, + 466, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 242, + 603 + ], + "score": 1.0, + "content": "ChatGPT and GPT4 achieve only", + "type": "text" + }, + { + "bbox": [ + 243, + 590, + 262, + 600 + ], + "score": 0.87, + "content": "55 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 589, + 280, + 603 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 280, + 590, + 300, + 600 + ], + "score": 0.86, + "content": "59 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 589, + 466, + 603 + ], + "score": 1.0, + "content": "accuracies on this task, respectively (§3).", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 546, + 506, + 603 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 606, + 505, + 661 + ], + "lines": [ + { + "bbox": [ + 105, + 605, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 619 + ], + "score": 1.0, + "content": "The striking discrepancy between the impressive successes of transformer LLMs on seemingly", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 617, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 629 + ], + "score": 1.0, + "content": "complex tasks and the astonishing failures on seemingly trivial tasks spark critical open questions", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 628, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 505, + 640 + ], + "score": 1.0, + "content": "about how to faithfully interpret their mixed capabilities. Under what conditions do transformers", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 638, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 506, + 652 + ], + "score": 1.0, + "content": "succeed, fail, and why? What types of errors do they make? Can transformers uncover implicit", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 649, + 354, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 354, + 663 + ], + "score": 1.0, + "content": "problem-solving rules or be taught to follow reasoning paths?", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 35, + "bbox_fs": [ + 105, + 605, + 506, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 666, + 504, + 688 + ], + "lines": [ + { + "bbox": [ + 106, + 665, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 665, + 505, + 679 + ], + "score": 1.0, + "content": "Seeking thorough answers to these questions remains an open research challenge. However, we", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "offer novel insights into the fundamental limits of transformers2, centered around compositional", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "problems that require strict multi-hop reasoning to derive correct predictions. Applying step-by-step", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 97 + ], + "score": 1.0, + "content": "reasoning is fundamental to human intelligence [69, 68]. These compositional problems present", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 505, + 108 + ], + "score": 1.0, + "content": "compelling challenges for AI systems as they require combining basic reasoning operations to", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 119 + ], + "score": 1.0, + "content": "follow computational paths that arrive at unique correct solutions. In particular, we study three", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "score": 1.0, + "content": "straightforward and flexible representative compositional tasks: long-form multiplication, logic grid", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 439, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 439, + 141 + ], + "score": 1.0, + "content": "puzzles (i.e., Einstein’s puzzle [61]), and a classic dynamic programming problem.", + "type": "text", + "cross_page": true + } + ], + "index": 5 + } + ], + "index": 38.5, + "bbox_fs": [ + 106, + 665, + 505, + 689 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 138 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "problems that require strict multi-hop reasoning to derive correct predictions. Applying step-by-step", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 506, + 97 + ], + "score": 1.0, + "content": "reasoning is fundamental to human intelligence [69, 68]. These compositional problems present", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 505, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 505, + 108 + ], + "score": 1.0, + "content": "compelling challenges for AI systems as they require combining basic reasoning operations to", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 119 + ], + "score": 1.0, + "content": "follow computational paths that arrive at unique correct solutions. In particular, we study three", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "score": 1.0, + "content": "straightforward and flexible representative compositional tasks: long-form multiplication, logic grid", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 127, + 439, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 439, + 141 + ], + "score": 1.0, + "content": "puzzles (i.e., Einstein’s puzzle [61]), and a classic dynamic programming problem.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 107, + 144, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 105, + 143, + 505, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 505, + 157 + ], + "score": 1.0, + "content": "We propose two hypotheses. First, transformers solve compositional tasks by reducing multi-step", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 153, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 506, + 169 + ], + "score": 1.0, + "content": "compositional reasoning into linearized path matching. This contrasts with the systematic multi-step", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "reasoning approach that learns to apply underlying computational rules required for building correct", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "answers [71, 37, 27]. Shortcut learning [29] via pattern-matching may yield fast correct answers", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 188, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 505, + 200 + ], + "score": 1.0, + "content": "when similar compositional patterns are available during training but does not allow for robust", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "generalization to uncommon or complex examples. Second, due to error propagation, transformers", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "may have inherent limitations on solving high-complexity compositional tasks that exhibit novel", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "patterns. Errors in the early stages of the computational process can lead to substantial compounding", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 231, + 414, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 414, + 244 + ], + "score": 1.0, + "content": "errors in subsequent steps, preventing models from finding correct solutions.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 247, + 505, + 302 + ], + "lines": [ + { + "bbox": [ + 106, + 248, + 504, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 504, + 259 + ], + "score": 1.0, + "content": "To investigate our hypotheses, we formulate compositional tasks as computation graphs. These graphs", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 257, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 271 + ], + "score": 1.0, + "content": "break down problem-solving into submodular functional steps, enabling structured measurements", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "of complexity and verbalization of computational steps as input sequences to language models.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 279, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 294 + ], + "score": 1.0, + "content": "Moreover, we leverage information gain to predict patterns that models are likely to learn based on", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 291, + 489, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 489, + 303 + ], + "score": 1.0, + "content": "the underlying task distribution without the need to perform full computations within the graph.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 307, + 505, + 471 + ], + "lines": [ + { + "bbox": [ + 106, + 307, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 506, + 320 + ], + "score": 1.0, + "content": "Empirical results show that training on task-specific data leads to near-perfect performance on in-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 318, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 505, + 331 + ], + "score": 1.0, + "content": "domain instances and under low compositional complexity, but fails drastically on instances outside", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 328, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 343 + ], + "score": 1.0, + "content": "of this region. This substantial gap suggests that systematic problem-solving capabilities do not", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 353 + ], + "score": 1.0, + "content": "emerge from maximum likelihood training [5] on input-output sequences, even when prompted or", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 444, + 363 + ], + "score": 1.0, + "content": "trained with human-like reasoning steps (i.e., a linearization of computation graphs;", + "type": "text" + }, + { + "bbox": [ + 444, + 351, + 465, + 362 + ], + "score": 0.7, + "content": "\\ S 3 . 1 \\ r ]", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "). Models’", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 362, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 375 + ], + "score": 1.0, + "content": "success can be attributed, in part, to their exposure to training examples sub-graphs that involve", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 373, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 373, + 506, + 385 + ], + "score": 1.0, + "content": "the same computations required for solving test examples (see Section 3.2.2) In order to gain a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 382, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 506, + 398 + ], + "score": 1.0, + "content": "deeper understanding of models’ failures, we conduct a comprehensive analysis by decomposing", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "their computation graphs and examining different error types. We find that while models can", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "score": 1.0, + "content": "memorize single-step operations, they fail to compose them into correct reasoning paths, suggesting", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "that they mostly make predictions based on shallow, rote learning rather than a deep, holistic", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 188, + 441 + ], + "score": 1.0, + "content": "task understanding", + "type": "text" + }, + { + "bbox": [ + 188, + 428, + 221, + 439 + ], + "score": 0.28, + "content": "( \\ S 3 . 2 . 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 426, + 506, + 441 + ], + "score": 1.0, + "content": ". Importantly, we provide theoretical evidence of exponential error", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "accumulation using abstract compositional tasks. All tasks analyzed empirically in this paper are", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 450, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 462 + ], + "score": 1.0, + "content": "instantiations of these abstractions (§4). We argue that transformers could be inherently limited in", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 330, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 330, + 472 + ], + "score": 1.0, + "content": "solving compositionally complex tasks out-of-the-box3.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 476, + 505, + 553 + ], + "lines": [ + { + "bbox": [ + 105, + 476, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 489 + ], + "score": 1.0, + "content": "As transformers continue to make tangible real-world impacts, it is pressing to interpret their re-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "markable performance critically. Our work takes a realistic look at the limitations of transformers", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "in the context of compositional tasks. To shed light on practical future steps, we identify directions", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "for addressing these limitations, such as using transformers for tasks that could be decomposed into", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "few reasoning steps, tasks where evaluation may afford some leniency, and using transformers in", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 532, + 504, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 504, + 542 + ], + "score": 1.0, + "content": "combination with planning modules or refinement methods to improve their generations. To advance", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 542, + 488, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 488, + 554 + ], + "score": 1.0, + "content": "language AI, fundamental innovations are required to address or complement these limitations.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38 + }, + { + "type": "title", + "bbox": [ + 108, + 567, + 451, + 582 + ], + "lines": [ + { + "bbox": [ + 104, + 566, + 453, + 585 + ], + "spans": [ + { + "bbox": [ + 104, + 566, + 453, + 585 + ], + "score": 1.0, + "content": "2 Measuring Limitations of Transformers in Compositional Tasks", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 107, + 593, + 506, + 637 + ], + "lines": [ + { + "bbox": [ + 106, + 593, + 507, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 507, + 606 + ], + "score": 1.0, + "content": "Human problem-solving skills can be conceptualized as a graph structure, where each vertex repre-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 604, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 506, + 616 + ], + "score": 1.0, + "content": "sents a partial solution and the edges represent operators that can be applied to modify these solutions.", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 614, + 506, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 628 + ], + "score": 1.0, + "content": "As we will outline next and illustrate in Figure 1, we use computation graphs and corresponding", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 626, + 372, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 372, + 638 + ], + "score": 1.0, + "content": "metrics to methodically evaluate transformers’ reasoning abilities.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44.5 + }, + { + "type": "title", + "bbox": [ + 108, + 649, + 262, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 648, + 263, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 263, + 664 + ], + "score": 1.0, + "content": "2.1 Computation Graph Definition", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 47 + }, + { + "type": "text", + "bbox": [ + 108, + 669, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 669, + 505, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 123, + 682 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 670, + 132, + 680 + ], + "score": 0.71, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 669, + 333, + 682 + ], + "score": 1.0, + "content": "be a deterministic algorithm (function), and let", + "type": "text" + }, + { + "bbox": [ + 333, + 670, + 348, + 681 + ], + "score": 0.9, + "content": "{ \\mathcal { F } } _ { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 669, + 505, + 682 + ], + "score": 1.0, + "content": "be a set of primitives (functions) the", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 680, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 320, + 694 + ], + "score": 1.0, + "content": "algorithm uses in its execution. Assuming the inputs", + "type": "text" + }, + { + "bbox": [ + 321, + 683, + 328, + 690 + ], + "score": 0.69, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 680, + 381, + 694 + ], + "score": 1.0, + "content": "to algorithm", + "type": "text" + }, + { + "bbox": [ + 381, + 681, + 390, + 691 + ], + "score": 0.73, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 680, + 474, + 694 + ], + "score": 1.0, + "content": "are given, we define", + "type": "text" + }, + { + "bbox": [ + 475, + 681, + 497, + 693 + ], + "score": 0.9, + "content": "A ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 497, + 680, + 506, + 694 + ], + "score": 1.0, + "content": "’s", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 691, + 504, + 705 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 212, + 705 + ], + "score": 1.0, + "content": "static computation graph", + "type": "text" + }, + { + "bbox": [ + 212, + 692, + 238, + 705 + ], + "score": 0.89, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 691, + 245, + 705 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 245, + 691, + 346, + 705 + ], + "score": 0.89, + "content": "\\bar { G _ { A ( { \\bf x } ) } } \\bar { = } ( \\bar { V _ { \\bf , } } E , s , o p )", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 691, + 495, + 705 + ], + "score": 1.0, + "content": "is a directed acyclic graph. Nodes", + "type": "text" + }, + { + "bbox": [ + 495, + 693, + 504, + 702 + ], + "score": 0.79, + "content": "V", + "type": "inline_equation" + } + ], + "index": 50 + } + ], + "index": 49 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 118, + 712, + 442, + 722 + ], + "lines": [ + { + "bbox": [ + 118, + 709, + 443, + 724 + ], + "spans": [ + { + "bbox": [ + 118, + 709, + 443, + 724 + ], + "score": 1.0, + "content": "3Code and data are available at https://github.com/nouhadziri/faith-and-fate", + "type": "text" + } + ] + } + ] + }, + { + "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": "text", + "bbox": [ + 107, + 73, + 505, + 138 + ], + "lines": [], + "index": 2.5, + "bbox_fs": [ + 105, + 72, + 506, + 141 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 144, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 105, + 143, + 505, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 505, + 157 + ], + "score": 1.0, + "content": "We propose two hypotheses. First, transformers solve compositional tasks by reducing multi-step", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 153, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 153, + 506, + 169 + ], + "score": 1.0, + "content": "compositional reasoning into linearized path matching. This contrasts with the systematic multi-step", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 505, + 178 + ], + "score": 1.0, + "content": "reasoning approach that learns to apply underlying computational rules required for building correct", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "answers [71, 37, 27]. Shortcut learning [29] via pattern-matching may yield fast correct answers", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 188, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 505, + 200 + ], + "score": 1.0, + "content": "when similar compositional patterns are available during training but does not allow for robust", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 505, + 211 + ], + "score": 1.0, + "content": "generalization to uncommon or complex examples. Second, due to error propagation, transformers", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 505, + 222 + ], + "score": 1.0, + "content": "may have inherent limitations on solving high-complexity compositional tasks that exhibit novel", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 505, + 233 + ], + "score": 1.0, + "content": "patterns. Errors in the early stages of the computational process can lead to substantial compounding", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 231, + 414, + 244 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 414, + 244 + ], + "score": 1.0, + "content": "errors in subsequent steps, preventing models from finding correct solutions.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 143, + 506, + 244 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 247, + 505, + 302 + ], + "lines": [ + { + "bbox": [ + 106, + 248, + 504, + 259 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 504, + 259 + ], + "score": 1.0, + "content": "To investigate our hypotheses, we formulate compositional tasks as computation graphs. These graphs", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 257, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 271 + ], + "score": 1.0, + "content": "break down problem-solving into submodular functional steps, enabling structured measurements", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "of complexity and verbalization of computational steps as input sequences to language models.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 279, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 294 + ], + "score": 1.0, + "content": "Moreover, we leverage information gain to predict patterns that models are likely to learn based on", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 291, + 489, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 489, + 303 + ], + "score": 1.0, + "content": "the underlying task distribution without the need to perform full computations within the graph.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 248, + 506, + 303 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 307, + 505, + 471 + ], + "lines": [ + { + "bbox": [ + 106, + 307, + 506, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 506, + 320 + ], + "score": 1.0, + "content": "Empirical results show that training on task-specific data leads to near-perfect performance on in-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 318, + 505, + 331 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 505, + 331 + ], + "score": 1.0, + "content": "domain instances and under low compositional complexity, but fails drastically on instances outside", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 328, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 328, + 506, + 343 + ], + "score": 1.0, + "content": "of this region. This substantial gap suggests that systematic problem-solving capabilities do not", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 340, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 505, + 353 + ], + "score": 1.0, + "content": "emerge from maximum likelihood training [5] on input-output sequences, even when prompted or", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 106, + 351, + 444, + 363 + ], + "score": 1.0, + "content": "trained with human-like reasoning steps (i.e., a linearization of computation graphs;", + "type": "text" + }, + { + "bbox": [ + 444, + 351, + 465, + 362 + ], + "score": 0.7, + "content": "\\ S 3 . 1 \\ r ]", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "). Models’", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 362, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 505, + 375 + ], + "score": 1.0, + "content": "success can be attributed, in part, to their exposure to training examples sub-graphs that involve", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 373, + 506, + 385 + ], + "spans": [ + { + "bbox": [ + 106, + 373, + 506, + 385 + ], + "score": 1.0, + "content": "the same computations required for solving test examples (see Section 3.2.2) In order to gain a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 382, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 506, + 398 + ], + "score": 1.0, + "content": "deeper understanding of models’ failures, we conduct a comprehensive analysis by decomposing", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 395, + 505, + 407 + ], + "score": 1.0, + "content": "their computation graphs and examining different error types. We find that while models can", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 505, + 419 + ], + "score": 1.0, + "content": "memorize single-step operations, they fail to compose them into correct reasoning paths, suggesting", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 416, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 106, + 416, + 505, + 429 + ], + "score": 1.0, + "content": "that they mostly make predictions based on shallow, rote learning rather than a deep, holistic", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 426, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 188, + 441 + ], + "score": 1.0, + "content": "task understanding", + "type": "text" + }, + { + "bbox": [ + 188, + 428, + 221, + 439 + ], + "score": 0.28, + "content": "( \\ S 3 . 2 . 3 )", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 426, + 506, + 441 + ], + "score": 1.0, + "content": ". Importantly, we provide theoretical evidence of exponential error", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 505, + 451 + ], + "score": 1.0, + "content": "accumulation using abstract compositional tasks. All tasks analyzed empirically in this paper are", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 450, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 106, + 450, + 505, + 462 + ], + "score": 1.0, + "content": "instantiations of these abstractions (§4). We argue that transformers could be inherently limited in", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 330, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 330, + 472 + ], + "score": 1.0, + "content": "solving compositionally complex tasks out-of-the-box3.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 307, + 506, + 472 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 476, + 505, + 553 + ], + "lines": [ + { + "bbox": [ + 105, + 476, + 506, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 506, + 489 + ], + "score": 1.0, + "content": "As transformers continue to make tangible real-world impacts, it is pressing to interpret their re-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "markable performance critically. Our work takes a realistic look at the limitations of transformers", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 505, + 511 + ], + "score": 1.0, + "content": "in the context of compositional tasks. To shed light on practical future steps, we identify directions", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 522 + ], + "score": 1.0, + "content": "for addressing these limitations, such as using transformers for tasks that could be decomposed into", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 532 + ], + "score": 1.0, + "content": "few reasoning steps, tasks where evaluation may afford some leniency, and using transformers in", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 532, + 504, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 504, + 542 + ], + "score": 1.0, + "content": "combination with planning modules or refinement methods to improve their generations. To advance", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 542, + 488, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 488, + 554 + ], + "score": 1.0, + "content": "language AI, fundamental innovations are required to address or complement these limitations.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 476, + 506, + 554 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 567, + 451, + 582 + ], + "lines": [ + { + "bbox": [ + 104, + 566, + 453, + 585 + ], + "spans": [ + { + "bbox": [ + 104, + 566, + 453, + 585 + ], + "score": 1.0, + "content": "2 Measuring Limitations of Transformers in Compositional Tasks", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 107, + 593, + 506, + 637 + ], + "lines": [ + { + "bbox": [ + 106, + 593, + 507, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 593, + 507, + 606 + ], + "score": 1.0, + "content": "Human problem-solving skills can be conceptualized as a graph structure, where each vertex repre-", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 604, + 506, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 506, + 616 + ], + "score": 1.0, + "content": "sents a partial solution and the edges represent operators that can be applied to modify these solutions.", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 614, + 506, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 628 + ], + "score": 1.0, + "content": "As we will outline next and illustrate in Figure 1, we use computation graphs and corresponding", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 626, + 372, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 626, + 372, + 638 + ], + "score": 1.0, + "content": "metrics to methodically evaluate transformers’ reasoning abilities.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 593, + 507, + 638 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 649, + 262, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 648, + 263, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 263, + 664 + ], + "score": 1.0, + "content": "2.1 Computation Graph Definition", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 47 + }, + { + "type": "text", + "bbox": [ + 108, + 669, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 669, + 505, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 123, + 682 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 670, + 132, + 680 + ], + "score": 0.71, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 133, + 669, + 333, + 682 + ], + "score": 1.0, + "content": "be a deterministic algorithm (function), and let", + "type": "text" + }, + { + "bbox": [ + 333, + 670, + 348, + 681 + ], + "score": 0.9, + "content": "{ \\mathcal { F } } _ { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 669, + 505, + 682 + ], + "score": 1.0, + "content": "be a set of primitives (functions) the", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 680, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 320, + 694 + ], + "score": 1.0, + "content": "algorithm uses in its execution. 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See", + "type": "text" + }, + { + "bbox": [ + 369, + 711, + 390, + 722 + ], + "score": 0.79, + "content": "\\ S \\mathrm { A } . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "for data construction details.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 677, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 116, + 69, + 495, + 162 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 116, + 69, + 495, + 162 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 116, + 69, + 495, + 162 + ], + "spans": [ + { + "bbox": [ + 116, + 69, + 495, + 162 + ], + "score": 0.954, + "type": "image", + "image_path": "0a9ea8dbc04e3cc8d7574cadb5e8ce5f386114a1e9a25943d47e81640672cb0c.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 116, + 69, + 495, + 100.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 116, + 100.0, + 495, + 131.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 116, + 131.0, + 495, + 162.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 164, + 505, + 204 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 163, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 163, + 506, + 176 + ], + "score": 1.0, + "content": "Figure 2: (a) Zero-shot accuracy. Axes refer to problem sizes (number of digits in multiplication, number of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "score": 1.0, + "content": "houses and attributes in puzzle, and sequence length in the DP task). Transformers’ accuracy decreases to near", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "score": 1.0, + "content": "zero as task complexity increases, measuring task complexity by the problem size. (b) Average parallelism", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 193, + 236, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 236, + 207 + ], + "score": 1.0, + "content": "negatively correlates with accuracy.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 219, + 506, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 218, + 507, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 164, + 233 + ], + "score": 1.0, + "content": "To instantiate", + "type": "text" + }, + { + "bbox": [ + 164, + 219, + 190, + 232 + ], + "score": 0.92, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 218, + 207, + 233 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 208, + 219, + 241, + 231 + ], + "score": 0.86, + "content": "\\mathcal { F } _ { A } = \\left\\{ \\begin{array} { r l r l } \\end{array} \\right.", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 218, + 507, + 233 + ], + "score": 1.0, + "content": "{one-digit multiplication, sum, mod 10, carry over, concatenation}.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 230, + 504, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 162, + 243 + ], + "score": 1.0, + "content": "Source nodes", + "type": "text" + }, + { + "bbox": [ + 162, + 231, + 170, + 240 + ], + "score": 0.78, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 230, + 321, + 243 + ], + "score": 1.0, + "content": "are digits of input numbers, leaf node", + "type": "text" + }, + { + "bbox": [ + 322, + 233, + 328, + 240 + ], + "score": 0.66, + "content": "o", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 230, + 497, + 243 + ], + "score": 1.0, + "content": "is the final output, and intermediate nodes", + "type": "text" + }, + { + "bbox": [ + 497, + 233, + 504, + 240 + ], + "score": 0.7, + "content": "v", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 241, + 507, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 507, + 254 + ], + "score": 1.0, + "content": "are partial results generated during execution of the long-form multiplication algorithm (see Figure 1).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 107, + 264, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 264, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 506, + 277 + ], + "score": 1.0, + "content": "Einstein’s Puzzle Einstein’s puzzle is a well-known logic puzzle often used as a benchmark for", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 273, + 507, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 507, + 289 + ], + "score": 1.0, + "content": "solving constraint satisfaction problems [61]. It involves a list of houses with different attributes (e.g.,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 285, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 299 + ], + "score": 1.0, + "content": "owner’s name, pets), and the goal is to determine which attributes belong to each house by combining", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 297, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 506, + 310 + ], + "score": 1.0, + "content": "a set of pre-defined natural language clues or constraints. The solution to the puzzle is a matrix of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 308, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 124, + 320 + ], + "score": 1.0, + "content": "size", + "type": "text" + }, + { + "bbox": [ + 125, + 308, + 158, + 318 + ], + "score": 0.9, + "content": "K \\times M", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 308, + 188, + 320 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 189, + 308, + 199, + 318 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 308, + 348, + 320 + ], + "score": 1.0, + "content": "represents the number of houses and", + "type": "text" + }, + { + "bbox": [ + 348, + 308, + 361, + 318 + ], + "score": 0.65, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 308, + 476, + 320 + ], + "score": 1.0, + "content": "the number of attributes. As", + "type": "text" + }, + { + "bbox": [ + 477, + 308, + 487, + 318 + ], + "score": 0.76, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 308, + 505, + 320 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 107, + 320, + 118, + 329 + ], + "score": 0.76, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "increase, synthesizing different partial solutions that satisfy individual constraints becomes highly", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 330, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 342 + ], + "score": 1.0, + "content": "compositionally complex. To construct the computation graph, we consider a greedy algorithm that", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "iteratively eliminates possible solutions by filling at least one cell each time. It deterministically fills", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "the cell(s) that requires the minimum number of clues among all current unfilled cells. We refer to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 361, + 493, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 252, + 375 + ], + "score": 1.0, + "content": "this as the elimination function. See", + "type": "text" + }, + { + "bbox": [ + 252, + 362, + 273, + 373 + ], + "score": 0.85, + "content": "\\ S \\mathrm { A } . 2", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 361, + 493, + 375 + ], + "score": 1.0, + "content": "for examples, data construction, and algorithm details.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 106, + 378, + 504, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 378, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 162, + 392 + ], + "score": 1.0, + "content": "To instantiate", + "type": "text" + }, + { + "bbox": [ + 162, + 379, + 188, + 392 + ], + "score": 0.91, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 378, + 204, + 392 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 204, + 379, + 230, + 390 + ], + "score": 0.71, + "content": "\\mathcal { F } _ { A } =", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 378, + 506, + 392 + ], + "score": 1.0, + "content": "{elimination function}. The source nodes are the clues, all intermedi-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 389, + 468, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 468, + 402 + ], + "score": 1.0, + "content": "ate nodes are partially-filled matrices, and the output node is a fully-filled solution matrix.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 478 + ], + "lines": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "score": 1.0, + "content": "Dynamic Programming Problem Dynamic programming (DP) recursively breaks down complex", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 424, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 435 + ], + "score": 1.0, + "content": "problems into simpler sub-problems, so problems solved using this technique are compositional. We", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "analyze a classic relaxation of the NP-complete Maximum Weighted Independent Set problem [39]:", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 446, + 506, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 506, + 458 + ], + "score": 1.0, + "content": "Given a sequence of integers, find a subsequence with the highest sum, such that no two numbers in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 455, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 460, + 469 + ], + "score": 1.0, + "content": "the subsequence are adjacent in the original sequence. This relaxation may be solved in", + "type": "text" + }, + { + "bbox": [ + 461, + 456, + 483, + 468 + ], + "score": 0.89, + "content": "O ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 455, + 505, + 469 + ], + "score": 1.0, + "content": "time", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 467, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 223, + 480 + ], + "score": 1.0, + "content": "using DP. See the solution in", + "type": "text" + }, + { + "bbox": [ + 224, + 467, + 244, + 478 + ], + "score": 0.87, + "content": "\\ S \\mathrm { A } . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 467, + 448, + 480 + ], + "score": 1.0, + "content": ". In the experiments, we restrict each integer to the", + "type": "text" + }, + { + "bbox": [ + 448, + 468, + 476, + 479 + ], + "score": 0.89, + "content": "[ - 5 , 5 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 467, + 505, + 480 + ], + "score": 1.0, + "content": "range.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 483, + 505, + 517 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 164, + 497 + ], + "score": 1.0, + "content": "To instantiate", + "type": "text" + }, + { + "bbox": [ + 164, + 484, + 189, + 496 + ], + "score": 0.91, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 483, + 206, + 497 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 207, + 483, + 266, + 496 + ], + "score": 0.48, + "content": "\\mathcal { F } _ { A } = \\{ \\mathrm { e q u a l s } ", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 483, + 404, + 497 + ], + "score": 1.0, + "content": ", and, not, indicator function, sum,", + "type": "text" + }, + { + "bbox": [ + 404, + 484, + 427, + 496 + ], + "score": 0.57, + "content": "\\operatorname* { m a x } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 483, + 505, + 497 + ], + "score": 1.0, + "content": ". Source nodes are", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 495, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 505, + 506 + ], + "score": 1.0, + "content": "elements of the input list, and the output node is a list that for each element indicates whether it", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 504, + 507, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 234, + 519 + ], + "score": 1.0, + "content": "should be selected. We select an", + "type": "text" + }, + { + "bbox": [ + 235, + 505, + 257, + 517 + ], + "score": 0.92, + "content": "O ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 504, + 321, + 519 + ], + "score": 1.0, + "content": "algorithm since", + "type": "text" + }, + { + "bbox": [ + 321, + 505, + 347, + 518 + ], + "score": 0.92, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 504, + 442, + 519 + ], + "score": 1.0, + "content": "’s size is proportional to", + "type": "text" + }, + { + "bbox": [ + 443, + 506, + 451, + 515 + ], + "score": 0.78, + "content": "A", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 504, + 507, + 519 + ], + "score": 1.0, + "content": "’s complexity.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29 + }, + { + "type": "title", + "bbox": [ + 107, + 531, + 412, + 545 + ], + "lines": [ + { + "bbox": [ + 104, + 531, + 414, + 549 + ], + "spans": [ + { + "bbox": [ + 104, + 531, + 414, + 549 + ], + "score": 1.0, + "content": "3 Testing the Limits of Transformers: Empirical Evidence", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 557, + 505, + 645 + ], + "lines": [ + { + "bbox": [ + 106, + 558, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 505, + 569 + ], + "score": 1.0, + "content": "Experimental Setup To understand the capabilities of LLMs, we evaluate GPT3", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 569, + 506, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 569, + 506, + 581 + ], + "score": 1.0, + "content": "(text-davinci-003) [11], ChatGPT (GPT-3.5-turbo) [57] and GPT4 (gpt-4) [58] using zero-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 579, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 592 + ], + "score": 1.0, + "content": "shot, few-shot, and finetuning techniques. To enable the generation of computation graphs beyond", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 590, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 505, + 603 + ], + "score": 1.0, + "content": "the final answers, we use the concept of scratchpads [56]. Scratchpads are a verbalization of the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 601, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 424, + 614 + ], + "score": 1.0, + "content": "computation graphs (i.e., a linearized representation of a topological ordering of", + "type": "text" + }, + { + "bbox": [ + 424, + 601, + 451, + 614 + ], + "score": 0.89, + "content": "G _ { A ( \\mathbf { x } ) } )", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 601, + 506, + 614 + ], + "score": 1.0, + "content": ". Overall, we", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 612, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 612, + 506, + 625 + ], + "score": 1.0, + "content": "consider question-answer and question-scratchpad formats for few-shot and finetuning settings to", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 622, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 104, + 622, + 506, + 636 + ], + "score": 1.0, + "content": "gauge models’ capabilities for learning with and without explicit reasoning. See details of additional", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 634, + 433, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 279, + 646 + ], + "score": 1.0, + "content": "models and experimental configurations in", + "type": "text" + }, + { + "bbox": [ + 279, + 634, + 291, + 645 + ], + "score": 0.82, + "content": "\\ S _ { \\mathbf { B } }", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 634, + 416, + 646 + ], + "score": 1.0, + "content": "and examples of scratchpad in", + "type": "text" + }, + { + "bbox": [ + 416, + 634, + 429, + 645 + ], + "score": 0.86, + "content": "\\ S \\mathrm { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 634, + 433, + 646 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5 + }, + { + "type": "title", + "bbox": [ + 108, + 658, + 455, + 669 + ], + "lines": [ + { + "bbox": [ + 105, + 657, + 456, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 456, + 672 + ], + "score": 1.0, + "content": "3.1 Testing the Limits of Transformers with Zero-shot, Few-shot and Finetuning", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 678, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 691 + ], + "score": 1.0, + "content": "Limits of transformers in zero- and few-shot settings To investigate the inherent problem-solving", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "capabilities of LLMs, we begin by analyzing models’ zero-shot and few-shot performances on our", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 701, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 701, + 505, + 712 + ], + "score": 1.0, + "content": "compositional tasks. As shown in Figure 2, task performances deteriorate significantly from near", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 711, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 724 + ], + "score": 1.0, + "content": "perfection to zero with increasing complexity when measured by either problem size (Figure 2(a))or", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 42.5 + } + ], + "page_idx": 3, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 741, + 310, + 752 + ], + "spans": [ + { + "bbox": [ + 301, + 741, + 310, + 752 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 11, + "width": 9 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 116, + 69, + 495, + 162 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 116, + 69, + 495, + 162 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 116, + 69, + 495, + 162 + ], + "spans": [ + { + "bbox": [ + 116, + 69, + 495, + 162 + ], + "score": 0.954, + "type": "image", + "image_path": "0a9ea8dbc04e3cc8d7574cadb5e8ce5f386114a1e9a25943d47e81640672cb0c.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 116, + 69, + 495, + 100.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 116, + 100.0, + 495, + 131.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 116, + 131.0, + 495, + 162.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 164, + 505, + 204 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 163, + 506, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 163, + 506, + 176 + ], + "score": 1.0, + "content": "Figure 2: (a) Zero-shot accuracy. Axes refer to problem sizes (number of digits in multiplication, number of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 186 + ], + "score": 1.0, + "content": "houses and attributes in puzzle, and sequence length in the DP task). Transformers’ accuracy decreases to near", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "score": 1.0, + "content": "zero as task complexity increases, measuring task complexity by the problem size. (b) Average parallelism", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 193, + 236, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 236, + 207 + ], + "score": 1.0, + "content": "negatively correlates with accuracy.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 107, + 219, + 506, + 253 + ], + "lines": [ + { + "bbox": [ + 105, + 218, + 507, + 233 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 164, + 233 + ], + "score": 1.0, + "content": "To instantiate", + "type": "text" + }, + { + "bbox": [ + 164, + 219, + 190, + 232 + ], + "score": 0.92, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 218, + 207, + 233 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 208, + 219, + 241, + 231 + ], + "score": 0.86, + "content": "\\mathcal { F } _ { A } = \\left\\{ \\begin{array} { r l r l } \\end{array} \\right.", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 218, + 507, + 233 + ], + "score": 1.0, + "content": "{one-digit multiplication, sum, mod 10, carry over, concatenation}.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 230, + 504, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 162, + 243 + ], + "score": 1.0, + "content": "Source nodes", + "type": "text" + }, + { + "bbox": [ + 162, + 231, + 170, + 240 + ], + "score": 0.78, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 230, + 321, + 243 + ], + "score": 1.0, + "content": "are digits of input numbers, leaf node", + "type": "text" + }, + { + "bbox": [ + 322, + 233, + 328, + 240 + ], + "score": 0.66, + "content": "o", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 230, + 497, + 243 + ], + "score": 1.0, + "content": "is the final output, and intermediate nodes", + "type": "text" + }, + { + "bbox": [ + 497, + 233, + 504, + 240 + ], + "score": 0.7, + "content": "v", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 241, + 507, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 507, + 254 + ], + "score": 1.0, + "content": "are partial results generated during execution of the long-form multiplication algorithm (see Figure 1).", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 218, + 507, + 254 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 264, + 505, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 264, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 506, + 277 + ], + "score": 1.0, + "content": "Einstein’s Puzzle Einstein’s puzzle is a well-known logic puzzle often used as a benchmark for", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 273, + 507, + 289 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 507, + 289 + ], + "score": 1.0, + "content": "solving constraint satisfaction problems [61]. It involves a list of houses with different attributes (e.g.,", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 285, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 506, + 299 + ], + "score": 1.0, + "content": "owner’s name, pets), and the goal is to determine which attributes belong to each house by combining", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 297, + 506, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 506, + 310 + ], + "score": 1.0, + "content": "a set of pre-defined natural language clues or constraints. The solution to the puzzle is a matrix of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 308, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 308, + 124, + 320 + ], + "score": 1.0, + "content": "size", + "type": "text" + }, + { + "bbox": [ + 125, + 308, + 158, + 318 + ], + "score": 0.9, + "content": "K \\times M", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 308, + 188, + 320 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 189, + 308, + 199, + 318 + ], + "score": 0.81, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 308, + 348, + 320 + ], + "score": 1.0, + "content": "represents the number of houses and", + "type": "text" + }, + { + "bbox": [ + 348, + 308, + 361, + 318 + ], + "score": 0.65, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 308, + 476, + 320 + ], + "score": 1.0, + "content": "the number of attributes. As", + "type": "text" + }, + { + "bbox": [ + 477, + 308, + 487, + 318 + ], + "score": 0.76, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 308, + 505, + 320 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 107, + 320, + 118, + 329 + ], + "score": 0.76, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "increase, synthesizing different partial solutions that satisfy individual constraints becomes highly", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 330, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 342 + ], + "score": 1.0, + "content": "compositionally complex. To construct the computation graph, we consider a greedy algorithm that", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 353 + ], + "score": 1.0, + "content": "iteratively eliminates possible solutions by filling at least one cell each time. It deterministically fills", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 364 + ], + "score": 1.0, + "content": "the cell(s) that requires the minimum number of clues among all current unfilled cells. We refer to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 361, + 493, + 375 + ], + "spans": [ + { + "bbox": [ + 105, + 361, + 252, + 375 + ], + "score": 1.0, + "content": "this as the elimination function. See", + "type": "text" + }, + { + "bbox": [ + 252, + 362, + 273, + 373 + ], + "score": 0.85, + "content": "\\ S \\mathrm { A } . 2", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 361, + 493, + 375 + ], + "score": 1.0, + "content": "for examples, data construction, and algorithm details.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 264, + 507, + 375 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 378, + 504, + 401 + ], + "lines": [ + { + "bbox": [ + 105, + 378, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 162, + 392 + ], + "score": 1.0, + "content": "To instantiate", + "type": "text" + }, + { + "bbox": [ + 162, + 379, + 188, + 392 + ], + "score": 0.91, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 378, + 204, + 392 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 204, + 379, + 230, + 390 + ], + "score": 0.71, + "content": "\\mathcal { F } _ { A } =", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 378, + 506, + 392 + ], + "score": 1.0, + "content": "{elimination function}. The source nodes are the clues, all intermedi-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 389, + 468, + 402 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 468, + 402 + ], + "score": 1.0, + "content": "ate nodes are partially-filled matrices, and the output node is a fully-filled solution matrix.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 378, + 506, + 402 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 478 + ], + "lines": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "score": 1.0, + "content": "Dynamic Programming Problem Dynamic programming (DP) recursively breaks down complex", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 424, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 506, + 435 + ], + "score": 1.0, + "content": "problems into simpler sub-problems, so problems solved using this technique are compositional. We", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "analyze a classic relaxation of the NP-complete Maximum Weighted Independent Set problem [39]:", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 446, + 506, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 446, + 506, + 458 + ], + "score": 1.0, + "content": "Given a sequence of integers, find a subsequence with the highest sum, such that no two numbers in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 455, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 460, + 469 + ], + "score": 1.0, + "content": "the subsequence are adjacent in the original sequence. 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In", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 312, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 505, + 325 + ], + "score": 1.0, + "content": "multiplication and DP, we finetune models with all enumerations of questions up to the maximum", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 322, + 507, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 348, + 338 + ], + "score": 1.0, + "content": "problem size4 within reasonable training budget, leaving out", + "type": "text" + }, + { + "bbox": [ + 348, + 324, + 367, + 334 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 322, + 441, + 338 + ], + "score": 1.0, + "content": "for validation and", + "type": "text" + }, + { + "bbox": [ + 441, + 324, + 460, + 334 + ], + "score": 0.87, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 322, + 507, + 338 + ], + "score": 1.0, + "content": "for testing.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 312, + 348 + ], + "score": 1.0, + "content": "In puzzles, we train on a subset of all instances up to", + "type": "text" + }, + { + "bbox": [ + 313, + 335, + 380, + 347 + ], + "score": 0.92, + "content": "( K , M ) \\leq ( 4 , 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "due to combinatorial explosion.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 271, + 358 + ], + "score": 1.0, + "content": "We separately finetune GPT3 models on", + "type": "text" + }, + { + "bbox": [ + 271, + 346, + 303, + 356 + ], + "score": 0.86, + "content": "{ \\sim } 1 . 8 \\mathbf { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 345, + 387, + 358 + ], + "score": 1.0, + "content": "multiplication pairs,", + "type": "text" + }, + { + "bbox": [ + 388, + 346, + 419, + 356 + ], + "score": 0.86, + "content": "{ \\sim } 1 4 2 \\mathrm { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 345, + 477, + 358 + ], + "score": 1.0, + "content": "DP pairs, and", + "type": "text" + }, + { + "bbox": [ + 478, + 346, + 505, + 356 + ], + "score": 0.85, + "content": "{ \\sim } 4 1 \\mathrm { K }", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 356, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 217, + 370 + ], + "score": 1.0, + "content": "puzzle pairs (see details in", + "type": "text" + }, + { + "bbox": [ + 218, + 357, + 239, + 367 + ], + "score": 0.83, + "content": "\\ S \\mathbf { B } . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 356, + 506, + 370 + ], + "score": 1.0, + "content": "). Additionally, to examine problems of different complexity, we", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 367, + 449, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 449, + 380 + ], + "score": 1.0, + "content": "consider different training splits based on the depth and width of computation graphs.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "Figure 3 and Figure 5a show high accuracy for examples with splits seen during training, i.e., in-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "domain. However, the performance sharply declines when evaluating unseen splits during training,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 406, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 187, + 418 + ], + "score": 1.0, + "content": "i.e., out-of-domain", + "type": "text" + }, + { + "bbox": [ + 187, + 406, + 214, + 417 + ], + "score": 0.41, + "content": "( O O D )", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 406, + 364, + 418 + ], + "score": 1.0, + "content": ". Similar trends hold in all tasks (see", + "type": "text" + }, + { + "bbox": [ + 365, + 406, + 390, + 417 + ], + "score": 0.73, + "content": "\\ S \\ B . 3 ", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 406, + 505, + 418 + ], + "score": 1.0, + "content": "), suggesting that systematic", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 417, + 461, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 461, + 430 + ], + "score": 1.0, + "content": "problem-solving capabilities do not emerge via exhaustive training on task-specific data.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 440, + 505, + 593 + ], + "lines": [ + { + "bbox": [ + 105, + 440, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 505, + 453 + ], + "score": 1.0, + "content": "Limits of transformers with explicit scratchpad training Next, we test whether we can explicitly", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "teach models the required computational operations via scratchpads. To do so, we finetune GPT3", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 461, + 507, + 475 + ], + "spans": [ + { + "bbox": [ + 104, + 461, + 507, + 475 + ], + "score": 1.0, + "content": "with question-scratchpad pairs for all tasks. We consider the same distribution splits as before.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "score": 1.0, + "content": "The results, presented in Figure 5b, show that once again GPT3 achieves near-perfect performance", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "score": 1.0, + "content": "on in-distribution, but fails entirely in generalizing to OOD cases—in particular, wider or deeper", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 494, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 509 + ], + "score": 1.0, + "content": "computation graphs. These results indicate that even when training directly with guidance on", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 506, + 507, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 507, + 519 + ], + "score": 1.0, + "content": "the computation steps, models still fail to learn component operations in a generalizable manner.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 311, + 529 + ], + "score": 1.0, + "content": "This observation holds for all tasks (See details in", + "type": "text" + }, + { + "bbox": [ + 312, + 517, + 336, + 528 + ], + "score": 0.74, + "content": "\\ S \\ B . 4 ,", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 516, + 506, + 529 + ], + "score": 1.0, + "content": ". Similarly, prompting transformers with", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 528, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 540 + ], + "score": 1.0, + "content": "question-scratchpad pairs enhances the performance compared to the zero-shot setting (refer to", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 538, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 130, + 550 + ], + "score": 0.64, + "content": "\\ S \\mathrm { ~ B . } 5 \\ r ,", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 538, + 505, + 552 + ], + "score": 1.0, + "content": "). However, this performance boost diminishes to zero as complexity increases. These findings", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "suggest that the autoregressive characteristic of transformers, which forces them to tackle problems", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 560, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 505, + 573 + ], + "score": 1.0, + "content": "sequentially, presents a fundamental challenge that cannot be resolved by instructing the model to", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "generate a step-by-step solution. Instead, models depend on a greedy process of producing the next", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 582, + 419, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 419, + 595 + ], + "score": 1.0, + "content": "word to make predictions without a rigorous global understanding of the task.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 45.5 + }, + { + "type": "text", + "bbox": [ + 106, + 605, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "Limits of transformers with grokking We explore whether extended training beyond overfitting", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 106, + 617, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 629 + ], + "score": 1.0, + "content": "leads to improved generalization abilities, a phenomenon known as grokking [59, 53]. Due to budget", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 627, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 505, + 640 + ], + "score": 1.0, + "content": "constraints, we only experiment on the multiplication task. Following [53], we fine-tune GPT3 with", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 639, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 505, + 651 + ], + "score": 1.0, + "content": "question-answer pairs for 420K steps and separately finetune GPT3 with question-scratchpad pairs", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "for 30K steps. Both models’ training far exceeded the point at which in-domain accuracy plateaus5.", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "Figure 4 shows no improvement in generalization for OOD cases beyond the overfitting point, even", + "type": "text" + } + ], + "index": 58 + } + ], + "index": 55.5 + } + ], + "page_idx": 4, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 681, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 117, + 677, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 117, + 677, + 180, + 694 + ], + "score": 1.0, + "content": "4We consider all", + "type": "text" + }, + { + "bbox": [ + 181, + 681, + 190, + 690 + ], + "score": 0.83, + "content": "k _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 677, + 204, + 694 + ], + "score": 1.0, + "content": "-by-", + "type": "text" + }, + { + "bbox": [ + 205, + 681, + 214, + 691 + ], + "score": 0.79, + "content": "k _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 677, + 309, + 694 + ], + "score": 1.0, + "content": "digit multiplications with", + "type": "text" + }, + { + "bbox": [ + 309, + 681, + 366, + 691 + ], + "score": 0.91, + "content": "1 \\leq k _ { 1 } , k _ { 2 } \\leq 4", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 677, + 382, + 694 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 383, + 681, + 425, + 691 + ], + "score": 0.91, + "content": "k _ { 1 } \\cdot k _ { 2 } \\leq 9", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 677, + 506, + 694 + ], + "score": 1.0, + "content": "; and all DP problems", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 691, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 691, + 428, + 702 + ], + "score": 1.0, + "content": "up to 5 elements. We selected sizes based on budget constraints for GPT3 finetuning, see", + "type": "text" + }, + { + "bbox": [ + 428, + 691, + 446, + 701 + ], + "score": 0.87, + "content": "\\ S \\mathrm { B } . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 691, + 505, + 702 + ], + "score": 1.0, + "content": "for cost details.", + "type": "text" + } + ] + }, + { + "bbox": [ + 117, + 698, + 506, + 715 + ], + "spans": [ + { + "bbox": [ + 117, + 698, + 506, + 715 + ], + "score": 1.0, + "content": "5The training duration for question-answer pairs is equivalent to 60 epochs and costs 50,000 USD. Training", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 711, + 402, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 402, + 723 + ], + "score": 1.0, + "content": "on question-scratchpad pairs was conducted for 40 epochs and costs 40,000 USD.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 741, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 740, + 309, + 753 + ], + "spans": [ + { + "bbox": [ + 302, + 740, + 309, + 753 + ], + "score": 1.0, + "content": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 114, + 70, + 291, + 163 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 114, + 70, + 291, + 163 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 70, + 291, + 163 + ], + "spans": [ + { + "bbox": [ + 114, + 70, + 291, + 163 + ], + "score": 0.965, + "type": "image", + "image_path": "98c833411bd0c6b716aedf0cec30ab4cbb5a412fa1cc6b477f6a66cf52175f3f.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 114, + 70, + 291, + 83.28571428571429 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 114, + 83.28571428571429, + 291, + 96.57142857142858 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 114, + 96.57142857142858, + 291, + 109.85714285714288 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 114, + 109.85714285714288, + 291, + 123.14285714285717 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 114, + 123.14285714285717, + 291, + 136.42857142857144 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 114, + 136.42857142857144, + 291, + 149.71428571428572 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 114, + 149.71428571428572, + 291, + 163.0 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 169, + 299, + 219 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 169, + 300, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 300, + 182 + ], + "score": 1.0, + "content": "Figure 3: GPT3 finetuned exhaustively on task-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 179, + 300, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 300, + 191 + ], + "score": 1.0, + "content": "specific data up to a certain problem size. The blue", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 190, + 299, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 299, + 200 + ], + "score": 1.0, + "content": "region represents the in-distribution examples and the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 200, + 299, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 200, + 299, + 210 + ], + "score": 1.0, + "content": "red region refers to OOD examples. The same trend", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 209, + 258, + 220 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 235, + 220 + ], + "score": 1.0, + "content": "is observed for the puzzle task (See", + "type": "text" + }, + { + "bbox": [ + 236, + 209, + 254, + 219 + ], + "score": 0.79, + "content": "\\ S \\mathbf { B } . 2", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 209, + 258, + 220 + ], + "score": 1.0, + "content": ")", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16 + } + ], + "index": 9.5 + }, + { + "type": "image", + "bbox": [ + 311, + 71, + 500, + 163 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 311, + 71, + 500, + 163 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 311, + 71, + 500, + 163 + ], + "spans": [ + { + "bbox": [ + 311, + 71, + 500, + 163 + ], + "score": 0.963, + "type": "image", + "image_path": "96e7406a331949c7ca2529b2ac06cfce2c25015dbc0ac7eed9d1f2fe574a568a.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 311, + 71, + 500, + 84.14285714285714 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 311, + 84.14285714285714, + 500, + 97.28571428571428 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 311, + 97.28571428571428, + 500, + 110.42857142857142 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 311, + 110.42857142857142, + 500, + 123.57142857142856 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 311, + 123.57142857142856, + 500, + 136.7142857142857 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 311, + 136.7142857142857, + 500, + 149.85714285714283 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 311, + 149.85714285714283, + 500, + 162.99999999999997 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 309, + 170, + 502, + 210 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 309, + 169, + 503, + 181 + ], + "spans": [ + { + "bbox": [ + 309, + 169, + 503, + 181 + ], + "score": 1.0, + "content": "Figure 4: Results of training beyond the overfitting", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 308, + 178, + 504, + 191 + ], + "spans": [ + { + "bbox": [ + 308, + 178, + 504, + 191 + ], + "score": 1.0, + "content": "point for the multiplication task with the goal of ex-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 308, + 189, + 504, + 202 + ], + "spans": [ + { + "bbox": [ + 308, + 189, + 504, + 202 + ], + "score": 1.0, + "content": "ploring whether OOD generalization capabilities (i.e.,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 309, + 200, + 369, + 210 + ], + "spans": [ + { + "bbox": [ + 309, + 200, + 369, + 210 + ], + "score": 1.0, + "content": "grokking) arise.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + } + ], + "index": 15.25 + }, + { + "type": "text", + "bbox": [ + 107, + 235, + 505, + 268 + ], + "lines": [], + "index": 24, + "bbox_fs": [ + 105, + 234, + 506, + 271 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 280, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 105, + 279, + 506, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 294 + ], + "score": 1.0, + "content": "Limits of transformers with question-answer training The limited performance of models", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "may be attributed to the lack of task-specific data during pre-training. To fully bring out models’", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 302, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 505, + 315 + ], + "score": 1.0, + "content": "potentials in solving these tasks, we next exhaustively finetune GPT3 with question-answer pairs. In", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 312, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 505, + 325 + ], + "score": 1.0, + "content": "multiplication and DP, we finetune models with all enumerations of questions up to the maximum", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 322, + 507, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 348, + 338 + ], + "score": 1.0, + "content": "problem size4 within reasonable training budget, leaving out", + "type": "text" + }, + { + "bbox": [ + 348, + 324, + 367, + 334 + ], + "score": 0.86, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 322, + 441, + 338 + ], + "score": 1.0, + "content": "for validation and", + "type": "text" + }, + { + "bbox": [ + 441, + 324, + 460, + 334 + ], + "score": 0.87, + "content": "10 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 322, + 507, + 338 + ], + "score": 1.0, + "content": "for testing.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 335, + 312, + 348 + ], + "score": 1.0, + "content": "In puzzles, we train on a subset of all instances up to", + "type": "text" + }, + { + "bbox": [ + 313, + 335, + 380, + 347 + ], + "score": 0.92, + "content": "( K , M ) \\leq ( 4 , 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "due to combinatorial explosion.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 345, + 505, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 271, + 358 + ], + "score": 1.0, + "content": "We separately finetune GPT3 models on", + "type": "text" + }, + { + "bbox": [ + 271, + 346, + 303, + 356 + ], + "score": 0.86, + "content": "{ \\sim } 1 . 8 \\mathbf { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 345, + 387, + 358 + ], + "score": 1.0, + "content": "multiplication pairs,", + "type": "text" + }, + { + "bbox": [ + 388, + 346, + 419, + 356 + ], + "score": 0.86, + "content": "{ \\sim } 1 4 2 \\mathrm { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 345, + 477, + 358 + ], + "score": 1.0, + "content": "DP pairs, and", + "type": "text" + }, + { + "bbox": [ + 478, + 346, + 505, + 356 + ], + "score": 0.85, + "content": "{ \\sim } 4 1 \\mathrm { K }", + "type": "inline_equation" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 356, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 217, + 370 + ], + "score": 1.0, + "content": "puzzle pairs (see details in", + "type": "text" + }, + { + "bbox": [ + 218, + 357, + 239, + 367 + ], + "score": 0.83, + "content": "\\ S \\mathbf { B } . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 356, + 506, + 370 + ], + "score": 1.0, + "content": "). Additionally, to examine problems of different complexity, we", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 367, + 449, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 449, + 380 + ], + "score": 1.0, + "content": "consider different training splits based on the depth and width of computation graphs.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 279, + 507, + 380 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 428 + ], + "lines": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "score": 1.0, + "content": "Figure 3 and Figure 5a show high accuracy for examples with splits seen during training, i.e., in-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 394, + 506, + 408 + ], + "score": 1.0, + "content": "domain. However, the performance sharply declines when evaluating unseen splits during training,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 406, + 505, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 187, + 418 + ], + "score": 1.0, + "content": "i.e., out-of-domain", + "type": "text" + }, + { + "bbox": [ + 187, + 406, + 214, + 417 + ], + "score": 0.41, + "content": "( O O D )", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 406, + 364, + 418 + ], + "score": 1.0, + "content": ". Similar trends hold in all tasks (see", + "type": "text" + }, + { + "bbox": [ + 365, + 406, + 390, + 417 + ], + "score": 0.73, + "content": "\\ S \\ B . 3 ", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 406, + 505, + 418 + ], + "score": 1.0, + "content": "), suggesting that systematic", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 417, + 461, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 461, + 430 + ], + "score": 1.0, + "content": "problem-solving capabilities do not emerge via exhaustive training on task-specific data.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 383, + 506, + 430 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 440, + 505, + 593 + ], + "lines": [ + { + "bbox": [ + 105, + 440, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 505, + 453 + ], + "score": 1.0, + "content": "Limits of transformers with explicit scratchpad training Next, we test whether we can explicitly", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 451, + 505, + 464 + ], + "score": 1.0, + "content": "teach models the required computational operations via scratchpads. To do so, we finetune GPT3", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 461, + 507, + 475 + ], + "spans": [ + { + "bbox": [ + 104, + 461, + 507, + 475 + ], + "score": 1.0, + "content": "with question-scratchpad pairs for all tasks. We consider the same distribution splits as before.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "score": 1.0, + "content": "The results, presented in Figure 5b, show that once again GPT3 achieves near-perfect performance", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "score": 1.0, + "content": "on in-distribution, but fails entirely in generalizing to OOD cases—in particular, wider or deeper", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 494, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 509 + ], + "score": 1.0, + "content": "computation graphs. These results indicate that even when training directly with guidance on", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 506, + 507, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 507, + 519 + ], + "score": 1.0, + "content": "the computation steps, models still fail to learn component operations in a generalizable manner.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 311, + 529 + ], + "score": 1.0, + "content": "This observation holds for all tasks (See details in", + "type": "text" + }, + { + "bbox": [ + 312, + 517, + 336, + 528 + ], + "score": 0.74, + "content": "\\ S \\ B . 4 ,", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 516, + 506, + 529 + ], + "score": 1.0, + "content": ". Similarly, prompting transformers with", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 528, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 540 + ], + "score": 1.0, + "content": "question-scratchpad pairs enhances the performance compared to the zero-shot setting (refer to", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 538, + 505, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 130, + 550 + ], + "score": 0.64, + "content": "\\ S \\mathrm { ~ B . } 5 \\ r ,", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 538, + 505, + 552 + ], + "score": 1.0, + "content": "). However, this performance boost diminishes to zero as complexity increases. These findings", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "suggest that the autoregressive characteristic of transformers, which forces them to tackle problems", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 560, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 505, + 573 + ], + "score": 1.0, + "content": "sequentially, presents a fundamental challenge that cannot be resolved by instructing the model to", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "generate a step-by-step solution. Instead, models depend on a greedy process of producing the next", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 582, + 419, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 419, + 595 + ], + "score": 1.0, + "content": "word to make predictions without a rigorous global understanding of the task.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 45.5, + "bbox_fs": [ + 104, + 440, + 507, + 595 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 605, + 505, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "Limits of transformers with grokking We explore whether extended training beyond overfitting", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 106, + 617, + 505, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 617, + 505, + 629 + ], + "score": 1.0, + "content": "leads to improved generalization abilities, a phenomenon known as grokking [59, 53]. Due to budget", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 106, + 627, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 106, + 627, + 505, + 640 + ], + "score": 1.0, + "content": "constraints, we only experiment on the multiplication task. Following [53], we fine-tune GPT3 with", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 105, + 639, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 505, + 651 + ], + "score": 1.0, + "content": "question-answer pairs for 420K steps and separately finetune GPT3 with question-scratchpad pairs", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 506, + 662 + ], + "score": 1.0, + "content": "for 30K steps. Both models’ training far exceeded the point at which in-domain accuracy plateaus5.", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 673 + ], + "score": 1.0, + "content": "Figure 4 shows no improvement in generalization for OOD cases beyond the overfitting point, even", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 105, + 217, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 217, + 506, + 230 + ], + "score": 1.0, + "content": "after extensive training periods. We hypothesize that the absence of grokking may be due to the level", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 227, + 505, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 505, + 242 + ], + "score": 1.0, + "content": "of difficulty of the task. We speculate that increased task difficulty significantly impedes learning", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "score": 1.0, + "content": "a well-structured representation, which, according to [47], aligns with achieving grokking. Even if", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 250, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 506, + 263 + ], + "score": 1.0, + "content": "grokking were to emerge through more prolonged training, such an approach would prove inefficient", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 261, + 482, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 482, + 275 + ], + "score": 1.0, + "content": "and unscalable. Future work is required to accurately explain when and how grokking occurs.", + "type": "text", + "cross_page": true + } + ], + "index": 10 + } + ], + "index": 55.5, + "bbox_fs": [ + 105, + 604, + 506, + 673 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 106, + 70, + 501, + 172 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 70, + 501, + 172 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 70, + 501, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 501, + 172 + ], + "score": 0.97, + "type": "image", + "image_path": "40c7603b0863f9ca9527b38939832efd316cec76535ff5c73745219d590481f7.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 70, + 501, + 104.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 104.0, + 501, + 138.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 138.0, + 501, + 172.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 180, + 504, + 209 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 178, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 178, + 505, + 191 + ], + "score": 1.0, + "content": "Figure 5: GPT3 finetuning and prompting accuracy on different data splits. Although the in-distribution", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 189, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 505, + 201 + ], + "score": 1.0, + "content": "performance is almost perfect, GPT3 exhibits poor generalization with increasing graph depth and width. Refer", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 199, + 309, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 200, + 115, + 210 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 116, + 199, + 134, + 209 + ], + "score": 0.87, + "content": "\\ S _ { \\mathrm { B } . 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 200, + 150, + 210 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 150, + 199, + 169, + 209 + ], + "score": 0.87, + "content": "\\ S _ { \\mathrm { B } . 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 200, + 309, + 210 + ], + "score": 1.0, + "content": "for results on the puzzle and DP tasks.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 218, + 505, + 273 + ], + "lines": [ + { + "bbox": [ + 105, + 217, + 506, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 217, + 506, + 230 + ], + "score": 1.0, + "content": "after extensive training periods. We hypothesize that the absence of grokking may be due to the level", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 227, + 505, + 242 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 505, + 242 + ], + "score": 1.0, + "content": "of difficulty of the task. We speculate that increased task difficulty significantly impedes learning", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 253 + ], + "score": 1.0, + "content": "a well-structured representation, which, according to [47], aligns with achieving grokking. Even if", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 250, + 506, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 506, + 263 + ], + "score": 1.0, + "content": "grokking were to emerge through more prolonged training, such an approach would prove inefficient", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 261, + 482, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 482, + 275 + ], + "score": 1.0, + "content": "and unscalable. Future work is required to accurately explain when and how grokking occurs.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8 + }, + { + "type": "title", + "bbox": [ + 107, + 287, + 367, + 299 + ], + "lines": [ + { + "bbox": [ + 105, + 286, + 368, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 368, + 301 + ], + "score": 1.0, + "content": "3.2 Breaking Down Successes and Failures of Transformers", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 108, + 307, + 409, + 320 + ], + "lines": [ + { + "bbox": [ + 105, + 307, + 411, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 411, + 322 + ], + "score": 1.0, + "content": "3.2.1 Information Gain Explains Where Transformers Partially Excel", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 361 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "At times transformers predict partially correct answers even when the overall response is incorrect.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 337, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 352 + ], + "score": 1.0, + "content": "We speculate that this may be due to particularities in the task distribution that allow for guessing", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 349, + 452, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 452, + 362 + ], + "score": 1.0, + "content": "partial answers without performing the full multi-step reasoning that the task requires.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 365, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 106, + 366, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 285, + 378 + ], + "score": 1.0, + "content": "Using relative information gain (defined in", + "type": "text" + }, + { + "bbox": [ + 285, + 366, + 304, + 377 + ], + "score": 0.81, + "content": "\\ S 2 . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 366, + 506, + 378 + ], + "score": 1.0, + "content": "), we can predict surface patterns that a model is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "likely to learn and contrast them empirically. For multiplication, relative information gain shows that", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "the first digit (two digits) of the output highly correlates with the first digit (two digits) of each input", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 159, + 411 + ], + "score": 1.0, + "content": "number (see", + "type": "text" + }, + { + "bbox": [ + 159, + 399, + 181, + 410 + ], + "score": 0.82, + "content": "\\ S { \\bf C } . 1 ", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "). Hence, this spurious pattern is likely to be learned by a model. Similarly, the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "score": 1.0, + "content": "prediction of the last digit (or two digits) of the output is observed to solely rely on the last digit (or", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "two digits) of each input number. This pattern holds true due to the principles of modulo arithmetic,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "score": 1.0, + "content": "which ensures the validity of this relationship in all cases. Empirically, we verify that models indeed", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 442, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 506, + 455 + ], + "score": 1.0, + "content": "learn the patterns we predicted and other patterns as well (e.g., order of magnitude of the answer,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "number of trailing zeros for multiplication) in all the settings with and without scratchpad. See details", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 464, + 374, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 357, + 477 + ], + "score": 1.0, + "content": "for multiplication, plus dynamic programming task analysis in", + "type": "text" + }, + { + "bbox": [ + 357, + 464, + 371, + 475 + ], + "score": 0.83, + "content": "\\ S C", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 464, + 374, + 477 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 480, + 505, + 525 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 493 + ], + "score": 1.0, + "content": "These experiments suggest that if an output element heavily relies on a single or a small set of input", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 492, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 503 + ], + "score": 1.0, + "content": "features, transformers are likely to recognize such correlation during training and directly map these", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "score": 1.0, + "content": "input features to predict the output element in testing, without going through the rigorous multi-hop", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 513, + 414, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 414, + 527 + ], + "score": 1.0, + "content": "reasoning and giving a false illusion of performing compositional reasoning.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5 + }, + { + "type": "title", + "bbox": [ + 106, + 537, + 502, + 560 + ], + "lines": [ + { + "bbox": [ + 104, + 536, + 503, + 551 + ], + "spans": [ + { + "bbox": [ + 104, + 536, + 503, + 551 + ], + "score": 1.0, + "content": "3.2.2 Transformers Reduce Multi-Step Compositional Reasoning into Linearized Subgraph", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 135, + 546, + 181, + 563 + ], + "spans": [ + { + "bbox": [ + 135, + 546, + 181, + 563 + ], + "score": 1.0, + "content": "Matching", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 568, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 568, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 506, + 580 + ], + "score": 1.0, + "content": "We now explore whether models’ correct predictions on unseen test data are due to learning the un-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 578, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 592 + ], + "score": 1.0, + "content": "derlying algorithm or, instead, explainable by exposure to similar training examples. We hypothesize", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "score": 1.0, + "content": "that, beyond simple memorization, transformers largely rely on pattern matching for solving these", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 600, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 505, + 614 + ], + "score": 1.0, + "content": "tasks. To test this, we calculate the average frequency with which partial computations needed to", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 612, + 492, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 492, + 624 + ], + "score": 1.0, + "content": "solve an instance appear in the training data, for both correctly and wrongly predicted examples.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 628, + 506, + 695 + ], + "lines": [ + { + "bbox": [ + 106, + 628, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 290, + 644 + ], + "score": 1.0, + "content": "Given a model-generated computation graph", + "type": "text" + }, + { + "bbox": [ + 291, + 628, + 317, + 643 + ], + "score": 0.93, + "content": "{ \\widehat G } _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 628, + 506, + 644 + ], + "score": 1.0, + "content": "we analyze how often the full computation of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 101, + 642, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 101, + 648, + 291, + 674 + ], + "score": 1.0, + "content": "∈ bancestors of v including v, denoted F CGbA(x)(", + "type": "text" + }, + { + "bbox": [ + 106, + 642, + 149, + 657 + ], + "score": 1.0, + "content": "each node", + "type": "text" + }, + { + "bbox": [ + 150, + 642, + 176, + 655 + ], + "score": 0.91, + "content": "v \\in \\widehat { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 642, + 297, + 657 + ], + "score": 1.0, + "content": "is seen in training. We define", + "type": "text" + }, + { + "bbox": [ + 298, + 647, + 303, + 654 + ], + "score": 0.68, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 651, + 353, + 672 + ], + "score": 1.0, + "content": ". We say that", + "type": "text" + }, + { + "bbox": [ + 304, + 642, + 505, + 657 + ], + "score": 1.0, + "content": "’s full computation as the subgraph induced by all", + "type": "text" + }, + { + "bbox": [ + 353, + 656, + 403, + 671 + ], + "score": 0.93, + "content": "F C _ { \\widehat { G } _ { A ( \\mathbf { x } ) } } ( v )", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 651, + 506, + 672 + ], + "score": 1.0, + "content": "is seen during training if", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 669, + 508, + 685 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 225, + 685 + ], + "score": 0.91, + "content": "F C _ { \\widehat { G } _ { A ( \\mathbf { x } ) } } ( v ) \\cong F C _ { G _ { A ( \\mathbf { x ^ { \\prime } } ) } } ( w )", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 669, + 343, + 684 + ], + "score": 1.0, + "content": "for some computation graph", + "type": "text" + }, + { + "bbox": [ + 343, + 672, + 371, + 683 + ], + "score": 0.92, + "content": "G _ { A ( { \\bf x } ^ { \\prime } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 669, + 474, + 684 + ], + "score": 1.0, + "content": "in training, and for some", + "type": "text" + }, + { + "bbox": [ + 474, + 669, + 503, + 680 + ], + "score": 0.89, + "content": "w \\in V", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 669, + 508, + 684 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 683, + 471, + 696 + ], + "spans": [ + { + "bbox": [ + 106, + 683, + 449, + 696 + ], + "score": 1.0, + "content": "We characterize complexity of a full computation subgraph by its depth, as defined in", + "type": "text" + }, + { + "bbox": [ + 449, + 683, + 468, + 695 + ], + "score": 0.81, + "content": "\\ S 2 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 683, + 471, + 696 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 106, + 699, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 714 + ], + "score": 1.0, + "content": "Figure 6 shows that full computation subgraphs appear significantly more frequently in the training", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "data for correctly predicted test examples than for incorrectly predicted ones, for both the multi-", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41.5 + } + ], + "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": "image", + "bbox": [ + 106, + 70, + 501, + 172 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 106, + 70, + 501, + 172 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 70, + 501, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 70, + 501, + 172 + ], + "score": 0.97, + "type": "image", + "image_path": "40c7603b0863f9ca9527b38939832efd316cec76535ff5c73745219d590481f7.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 106, + 70, + 501, + 104.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 106, + 104.0, + 501, + 138.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 106, + 138.0, + 501, + 172.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 180, + 504, + 209 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 178, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 178, + 505, + 191 + ], + "score": 1.0, + "content": "Figure 5: GPT3 finetuning and prompting accuracy on different data splits. Although the in-distribution", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 189, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 189, + 505, + 201 + ], + "score": 1.0, + "content": "performance is almost perfect, GPT3 exhibits poor generalization with increasing graph depth and width. Refer", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 199, + 309, + 210 + ], + "spans": [ + { + "bbox": [ + 106, + 200, + 115, + 210 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 116, + 199, + 134, + 209 + ], + "score": 0.87, + "content": "\\ S _ { \\mathrm { B } . 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 200, + 150, + 210 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 150, + 199, + 169, + 209 + ], + "score": 0.87, + "content": "\\ S _ { \\mathrm { B } . 4 }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 200, + 309, + 210 + ], + "score": 1.0, + "content": "for results on the puzzle and DP tasks.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 218, + 505, + 273 + ], + "lines": [], + "index": 8, + "bbox_fs": [ + 105, + 217, + 506, + 275 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 107, + 287, + 367, + 299 + ], + "lines": [ + { + "bbox": [ + 105, + 286, + 368, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 368, + 301 + ], + "score": 1.0, + "content": "3.2 Breaking Down Successes and Failures of Transformers", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "title", + "bbox": [ + 108, + 307, + 409, + 320 + ], + "lines": [ + { + "bbox": [ + 105, + 307, + 411, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 411, + 322 + ], + "score": 1.0, + "content": "3.2.1 Information Gain Explains Where Transformers Partially Excel", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 361 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "At times transformers predict partially correct answers even when the overall response is incorrect.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 337, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 352 + ], + "score": 1.0, + "content": "We speculate that this may be due to particularities in the task distribution that allow for guessing", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 349, + 452, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 452, + 362 + ], + "score": 1.0, + "content": "partial answers without performing the full multi-step reasoning that the task requires.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 327, + 506, + 362 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 365, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 106, + 366, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 285, + 378 + ], + "score": 1.0, + "content": "Using relative information gain (defined in", + "type": "text" + }, + { + "bbox": [ + 285, + 366, + 304, + 377 + ], + "score": 0.81, + "content": "\\ S 2 . 3", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 366, + 506, + 378 + ], + "score": 1.0, + "content": "), we can predict surface patterns that a model is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 376, + 506, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 506, + 389 + ], + "score": 1.0, + "content": "likely to learn and contrast them empirically. For multiplication, relative information gain shows that", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 388, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 505, + 401 + ], + "score": 1.0, + "content": "the first digit (two digits) of the output highly correlates with the first digit (two digits) of each input", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 159, + 411 + ], + "score": 1.0, + "content": "number (see", + "type": "text" + }, + { + "bbox": [ + 159, + 399, + 181, + 410 + ], + "score": 0.82, + "content": "\\ S { \\bf C } . 1 ", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "). Hence, this spurious pattern is likely to be learned by a model. Similarly, the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 506, + 422 + ], + "score": 1.0, + "content": "prediction of the last digit (or two digits) of the output is observed to solely rely on the last digit (or", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "two digits) of each input number. This pattern holds true due to the principles of modulo arithmetic,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "score": 1.0, + "content": "which ensures the validity of this relationship in all cases. Empirically, we verify that models indeed", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 442, + 506, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 506, + 455 + ], + "score": 1.0, + "content": "learn the patterns we predicted and other patterns as well (e.g., order of magnitude of the answer,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "number of trailing zeros for multiplication) in all the settings with and without scratchpad. See details", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 464, + 374, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 357, + 477 + ], + "score": 1.0, + "content": "for multiplication, plus dynamic programming task analysis in", + "type": "text" + }, + { + "bbox": [ + 357, + 464, + 371, + 475 + ], + "score": 0.83, + "content": "\\ S C", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 464, + 374, + 477 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 366, + 506, + 477 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 480, + 505, + 525 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 505, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 493 + ], + "score": 1.0, + "content": "These experiments suggest that if an output element heavily relies on a single or a small set of input", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 492, + 505, + 503 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 505, + 503 + ], + "score": 1.0, + "content": "features, transformers are likely to recognize such correlation during training and directly map these", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "score": 1.0, + "content": "input features to predict the output element in testing, without going through the rigorous multi-hop", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 513, + 414, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 414, + 527 + ], + "score": 1.0, + "content": "reasoning and giving a false illusion of performing compositional reasoning.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 480, + 505, + 527 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 537, + 502, + 560 + ], + "lines": [ + { + "bbox": [ + 104, + 536, + 503, + 551 + ], + "spans": [ + { + "bbox": [ + 104, + 536, + 503, + 551 + ], + "score": 1.0, + "content": "3.2.2 Transformers Reduce Multi-Step Compositional Reasoning into Linearized Subgraph", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 135, + 546, + 181, + 563 + ], + "spans": [ + { + "bbox": [ + 135, + 546, + 181, + 563 + ], + "score": 1.0, + "content": "Matching", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 568, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 106, + 568, + 506, + 580 + ], + "spans": [ + { + "bbox": [ + 106, + 568, + 506, + 580 + ], + "score": 1.0, + "content": "We now explore whether models’ correct predictions on unseen test data are due to learning the un-", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 578, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 505, + 592 + ], + "score": 1.0, + "content": "derlying algorithm or, instead, explainable by exposure to similar training examples. We hypothesize", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "score": 1.0, + "content": "that, beyond simple memorization, transformers largely rely on pattern matching for solving these", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 600, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 505, + 614 + ], + "score": 1.0, + "content": "tasks. To test this, we calculate the average frequency with which partial computations needed to", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 612, + 492, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 492, + 624 + ], + "score": 1.0, + "content": "solve an instance appear in the training data, for both correctly and wrongly predicted examples.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 568, + 506, + 624 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 628, + 506, + 695 + ], + "lines": [ + { + "bbox": [ + 106, + 628, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 628, + 290, + 644 + ], + "score": 1.0, + "content": "Given a model-generated computation graph", + "type": "text" + }, + { + "bbox": [ + 291, + 628, + 317, + 643 + ], + "score": 0.93, + "content": "{ \\widehat G } _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 628, + 506, + 644 + ], + "score": 1.0, + "content": "we analyze how often the full computation of", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 101, + 642, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 101, + 648, + 291, + 674 + ], + "score": 1.0, + "content": "∈ bancestors of v including v, denoted F CGbA(x)(", + "type": "text" + }, + { + "bbox": [ + 106, + 642, + 149, + 657 + ], + "score": 1.0, + "content": "each node", + "type": "text" + }, + { + "bbox": [ + 150, + 642, + 176, + 655 + ], + "score": 0.91, + "content": "v \\in \\widehat { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 642, + 297, + 657 + ], + "score": 1.0, + "content": "is seen in training. We define", + "type": "text" + }, + { + "bbox": [ + 298, + 647, + 303, + 654 + ], + "score": 0.68, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 651, + 353, + 672 + ], + "score": 1.0, + "content": ". We say that", + "type": "text" + }, + { + "bbox": [ + 304, + 642, + 505, + 657 + ], + "score": 1.0, + "content": "’s full computation as the subgraph induced by all", + "type": "text" + }, + { + "bbox": [ + 353, + 656, + 403, + 671 + ], + "score": 0.93, + "content": "F C _ { \\widehat { G } _ { A ( \\mathbf { x } ) } } ( v )", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 651, + 506, + 672 + ], + "score": 1.0, + "content": "is seen during training if", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 669, + 508, + 685 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 225, + 685 + ], + "score": 0.91, + "content": "F C _ { \\widehat { G } _ { A ( \\mathbf { x } ) } } ( v ) \\cong F C _ { G _ { A ( \\mathbf { x ^ { \\prime } } ) } } ( w )", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 669, + 343, + 684 + ], + "score": 1.0, + "content": "for some computation graph", + "type": "text" + }, + { + "bbox": [ + 343, + 672, + 371, + 683 + ], + "score": 0.92, + "content": "G _ { A ( { \\bf x } ^ { \\prime } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 669, + 474, + 684 + ], + "score": 1.0, + "content": "in training, and for some", + "type": "text" + }, + { + "bbox": [ + 474, + 669, + 503, + 680 + ], + "score": 0.89, + "content": "w \\in V", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 669, + 508, + 684 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 683, + 471, + 696 + ], + "spans": [ + { + "bbox": [ + 106, + 683, + 449, + 696 + ], + "score": 1.0, + "content": "We characterize complexity of a full computation subgraph by its depth, as defined in", + "type": "text" + }, + { + "bbox": [ + 449, + 683, + 468, + 695 + ], + "score": 0.81, + "content": "\\ S 2 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 683, + 471, + 696 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5, + "bbox_fs": [ + 101, + 628, + 508, + 696 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 699, + 504, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 506, + 714 + ], + "score": 1.0, + "content": "Figure 6 shows that full computation subgraphs appear significantly more frequently in the training", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 723 + ], + "score": 1.0, + "content": "data for correctly predicted test examples than for incorrectly predicted ones, for both the multi-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 293, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 506, + 306 + ], + "score": 1.0, + "content": "plication and DP task (both frequencies tend to zero for large depths since we ensured a disjoint", + "type": "text", + "cross_page": true + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 303, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 506, + 318 + ], + "score": 1.0, + "content": "train/test split). This high correlation suggests that pattern matching—and not general reasoning", + "type": "text", + "cross_page": true + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 315, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 505, + 328 + ], + "score": 1.0, + "content": "capabilities—may be the cause behind correct model outputs. This type of learning could be largely", + "type": "text", + "cross_page": true + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "effective when the compositional complexity of tasks is low but it becomes less efficient when tasks", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "score": 1.0, + "content": "are increasingly complex. This may elucidate the observed performance gain in low-complexity and", + "type": "text", + "cross_page": true + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 347, + 453, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 453, + 361 + ], + "score": 1.0, + "content": "in-domain cases and the striking performance drop in OOD and highly complex cases.", + "type": "text", + "cross_page": true + } + ], + "index": 18 + } + ], + "index": 41.5, + "bbox_fs": [ + 105, + 698, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 112, + 83, + 234, + 221 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 112, + 83, + 234, + 221 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 112, + 83, + 234, + 221 + ], + "spans": [ + { + "bbox": [ + 112, + 83, + 234, + 221 + ], + "score": 0.954, + "type": "image", + "image_path": "8bb6d6f82604f856d0cc391ffeab132fe2df194538e86ff15d50c6aeb8d6156b.jpg" + } + ] + } + ], + "index": 0.5, + "virtual_lines": [ + { + "bbox": [ + 112, + 83, + 234, + 152.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 112, + 152.0, + 234, + 221.0 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 231, + 242, + 281 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 230, + 242, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 242, + 243 + ], + "score": 1.0, + "content": "Figure 6: Average frequency in", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 240, + 243, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 243, + 252 + ], + "score": 1.0, + "content": "which test examples’ full computa-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 251, + 243, + 263 + ], + "spans": [ + { + "bbox": [ + 106, + 251, + 243, + 263 + ], + "score": 1.0, + "content": "tions subgraph appear in the train-", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 261, + 243, + 273 + ], + "spans": [ + { + "bbox": [ + 106, + 261, + 243, + 273 + ], + "score": 1.0, + "content": "ing data w.r.t. the subgraph depth,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 271, + 197, + 283 + ], + "spans": [ + { + "bbox": [ + 106, + 271, + 197, + 283 + ], + "score": 1.0, + "content": "grouped by final answer.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 6 + } + ], + "index": 3.25 + }, + { + "type": "image", + "bbox": [ + 252, + 74, + 500, + 223 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 252, + 74, + 500, + 223 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 252, + 74, + 500, + 223 + ], + "spans": [ + { + "bbox": [ + 252, + 74, + 500, + 223 + ], + "score": 0.969, + "type": "image", + "image_path": "936c1d29360fa8ee5d90557e0e00094ab0baa866a7ce62843ddd65cc8e51c5b9.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 252, + 74, + 500, + 123.66666666666666 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 252, + 123.66666666666666, + 500, + 173.33333333333331 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 252, + 173.33333333333331, + 500, + 222.99999999999997 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 250, + 231, + 502, + 262 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 249, + 230, + 502, + 243 + ], + "spans": [ + { + "bbox": [ + 249, + 230, + 502, + 243 + ], + "score": 1.0, + "content": "Figure 7: Ratio of nodes in each of the four correct/error categories", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 250, + 241, + 503, + 252 + ], + "spans": [ + { + "bbox": [ + 250, + 241, + 503, + 252 + ], + "score": 1.0, + "content": "for each layer in computation graph. Results shown are for few-shot", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 249, + 251, + 408, + 262 + ], + "spans": [ + { + "bbox": [ + 249, + 251, + 408, + 262 + ], + "score": 1.0, + "content": "prompting and fine-tuning with scratchpad.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + } + ], + "index": 7.0 + }, + { + "type": "text", + "bbox": [ + 106, + 293, + 505, + 359 + ], + "lines": [ + { + "bbox": [ + 106, + 293, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 506, + 306 + ], + "score": 1.0, + "content": "plication and DP task (both frequencies tend to zero for large depths since we ensured a disjoint", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 303, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 506, + 318 + ], + "score": 1.0, + "content": "train/test split). This high correlation suggests that pattern matching—and not general reasoning", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 315, + 505, + 328 + ], + "spans": [ + { + "bbox": [ + 106, + 315, + 505, + 328 + ], + "score": 1.0, + "content": "capabilities—may be the cause behind correct model outputs. This type of learning could be largely", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 326, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 505, + 339 + ], + "score": 1.0, + "content": "effective when the compositional complexity of tasks is low but it becomes less efficient when tasks", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "score": 1.0, + "content": "are increasingly complex. This may elucidate the observed performance gain in low-complexity and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 347, + 453, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 453, + 361 + ], + "score": 1.0, + "content": "in-domain cases and the striking performance drop in OOD and highly complex cases.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5 + }, + { + "type": "title", + "bbox": [ + 106, + 371, + 467, + 383 + ], + "lines": [ + { + "bbox": [ + 104, + 370, + 469, + 386 + ], + "spans": [ + { + "bbox": [ + 104, + 370, + 469, + 386 + ], + "score": 1.0, + "content": "3.2.3 What Types of Errors do Transformers Make at Different Reasoning Depths?", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 506, + 486 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 506, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 404 + ], + "score": 1.0, + "content": "For clearer understanding of where transformers fall short, we analyze the types of errors that", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 402, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 478, + 415 + ], + "score": 1.0, + "content": "transformers make for nodes at different layers in the computation graph. For every input", + "type": "text" + }, + { + "bbox": [ + 479, + 404, + 486, + 412 + ], + "score": 0.52, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 402, + 506, + 415 + ], + "score": 1.0, + "content": ", we", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 290, + 426 + ], + "score": 1.0, + "content": "compare the ground truth computation graph", + "type": "text" + }, + { + "bbox": [ + 290, + 413, + 316, + 426 + ], + "score": 0.92, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 412, + 506, + 426 + ], + "score": 1.0, + "content": "with the (possibly incorrect) model-generated", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 425, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 104, + 425, + 182, + 441 + ], + "score": 1.0, + "content": "computation graph", + "type": "text" + }, + { + "bbox": [ + 182, + 425, + 208, + 441 + ], + "score": 0.92, + "content": "{ \\widehat G } _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 425, + 290, + 441 + ], + "score": 1.0, + "content": ". We consider a node", + "type": "text" + }, + { + "bbox": [ + 290, + 429, + 296, + 437 + ], + "score": 0.77, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 425, + 447, + 441 + ], + "score": 1.0, + "content": "as having a correct value if and only if", + "type": "text" + }, + { + "bbox": [ + 447, + 426, + 503, + 439 + ], + "score": 0.91, + "content": "s ( v ) = \\widehat { s } ( v ) . ^ { 6 }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 425, + 506, + 441 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 438, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 187, + 453 + ], + "score": 1.0, + "content": "We consider a node", + "type": "text" + }, + { + "bbox": [ + 187, + 442, + 194, + 449 + ], + "score": 0.75, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 438, + 414, + 453 + ], + "score": 1.0, + "content": "to be derived from a correct computation if given that", + "type": "text" + }, + { + "bbox": [ + 414, + 439, + 488, + 451 + ], + "score": 0.92, + "content": "U = \\{ u _ { 1 } , \\ldots , u _ { k } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 438, + 506, + 453 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 451, + 507, + 466 + ], + "spans": [ + { + "bbox": [ + 104, + 451, + 232, + 466 + ], + "score": 1.0, + "content": "the immediate predecessors of", + "type": "text" + }, + { + "bbox": [ + 232, + 455, + 239, + 462 + ], + "score": 0.68, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 451, + 250, + 466 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 251, + 451, + 277, + 466 + ], + "score": 0.92, + "content": "\\widehat { G } _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 451, + 313, + 466 + ], + "score": 1.0, + "content": "and that", + "type": "text" + }, + { + "bbox": [ + 313, + 452, + 357, + 464 + ], + "score": 0.92, + "content": "\\widehat { o p } ( v ) = f", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 451, + 414, + 466 + ], + "score": 1.0, + "content": ", we have that", + "type": "text" + }, + { + "bbox": [ + 415, + 452, + 503, + 465 + ], + "score": 0.91, + "content": "f ( u _ { 1 } , \\dots , u _ { k } ) = { \\widehat { s } } ( v )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 451, + 507, + 466 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 464, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 357, + 476 + ], + "score": 1.0, + "content": "Note that the notion of correct computation is independent of", + "type": "text" + }, + { + "bbox": [ + 357, + 464, + 366, + 473 + ], + "score": 0.83, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 464, + 435, + 476 + ], + "score": 1.0, + "content": ", and that a node", + "type": "text" + }, + { + "bbox": [ + 435, + 466, + 442, + 473 + ], + "score": 0.72, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 464, + 506, + 476 + ], + "score": 1.0, + "content": "derived from a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 475, + 492, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 492, + 487 + ], + "score": 1.0, + "content": "correct computation may not have the correct value if an error occurred in some of its ancestors.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 505, + 559 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 194, + 505 + ], + "score": 1.0, + "content": "We classify each node", + "type": "text" + }, + { + "bbox": [ + 195, + 491, + 221, + 503 + ], + "score": 0.91, + "content": "v \\in \\widehat { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 492, + 353, + 505 + ], + "score": 1.0, + "content": "into one of four categories. Node", + "type": "text" + }, + { + "bbox": [ + 353, + 495, + 360, + 503 + ], + "score": 0.75, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 492, + 431, + 505 + ], + "score": 1.0, + "content": "is fully correct if", + "type": "text" + }, + { + "bbox": [ + 431, + 495, + 437, + 503 + ], + "score": 0.75, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "and its ancestors", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 504, + 504, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 405, + 515 + ], + "score": 1.0, + "content": "have correct values and are derived from correct computations. If a node", + "type": "text" + }, + { + "bbox": [ + 405, + 506, + 411, + 514 + ], + "score": 0.75, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 504, + 504, + 515 + ], + "score": 1.0, + "content": "is not fully correct, its", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 247, + 527 + ], + "score": 1.0, + "content": "error can be of the following types:", + "type": "text" + }, + { + "bbox": [ + 248, + 516, + 254, + 525 + ], + "score": 0.7, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 514, + 488, + 527 + ], + "score": 1.0, + "content": "has a local error if its parent nodes have correct values but", + "type": "text" + }, + { + "bbox": [ + 488, + 516, + 495, + 524 + ], + "score": 0.78, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 389, + 538 + ], + "score": 1.0, + "content": "derived from an incorrect computation (i.e., a one-hop reasoning error);", + "type": "text" + }, + { + "bbox": [ + 389, + 527, + 396, + 535 + ], + "score": 0.69, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "has a propagation error if", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 107, + 538, + 113, + 546 + ], + "score": 0.69, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 537, + 474, + 549 + ], + "score": 1.0, + "content": "is derived from a correct computation but some of its parent nodes have incorrect values;", + "type": "text" + }, + { + "bbox": [ + 474, + 538, + 481, + 546 + ], + "score": 0.72, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 537, + 506, + 549 + ], + "score": 1.0, + "content": "has a", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 547, + 456, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 456, + 559 + ], + "score": 1.0, + "content": "restoration error if it has a correct value but is derived from an incorrect computation.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 563, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "Figure 7 shows results for few-shot GPT4 and fine-tuned GPT3 with scratchpad, with respect to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "graph layer number for each node. In all settings, the ratio of fully correct nodes is almost perfect", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 586, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 505, + 598 + ], + "score": 1.0, + "content": "but sharply decreases toward zero with increasing graph layers. Moreover, the ratio of propagation", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "score": 1.0, + "content": "errors is usually higher than the ratio of local errors. Both phenomena suggest that models are able to", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 608, + 504, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 504, + 620 + ], + "score": 1.0, + "content": "correctly perform single-step reasoning, potentially due to memorizing such single-step operations", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 617, + 503, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 503, + 632 + ], + "score": 1.0, + "content": "during training, but fail to plan and compose several of these steps for an overall correct reasoning.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 635, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "score": 1.0, + "content": "Both the DP and the puzzle tasks have a high ratio of restoration errors, suggesting memorization", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 646, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 505, + 657 + ], + "score": 1.0, + "content": "since correct outputs are produced despite incorrect computations. There are signs of memorization", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 280, + 669 + ], + "score": 1.0, + "content": "even when restoration errors are near zero:", + "type": "text" + }, + { + "bbox": [ + 281, + 657, + 308, + 667 + ], + "score": 0.88, + "content": "8 2 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "of the final correct answers for 4-digit by 2-digit", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 668, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 505, + 680 + ], + "score": 1.0, + "content": "multiplications (a setting unseen during training) had at least one error in the computation graph, but", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "score": 1.0, + "content": "still produced correct answers. These patterns are possibly due to high frequency of (input, output)", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 689, + 452, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 452, + 702 + ], + "score": 1.0, + "content": "multiplication pairs in the pretraining data, in contrast to intermediate reasoning steps.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 42.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 115, + 711, + 474, + 722 + ], + "lines": [ + { + "bbox": [ + 118, + 709, + 476, + 724 + ], + "spans": [ + { + "bbox": [ + 118, + 709, + 156, + 724 + ], + "score": 1.0, + "content": "6If a node", + "type": "text" + }, + { + "bbox": [ + 157, + 713, + 163, + 721 + ], + "score": 0.51, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 709, + 314, + 724 + ], + "score": 1.0, + "content": "does not appear in the ground truth graph", + "type": "text" + }, + { + "bbox": [ + 315, + 712, + 322, + 721 + ], + "score": 0.81, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 709, + 476, + 724 + ], + "score": 1.0, + "content": ", we consider it to have an incorrect value.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 141, + 76, + 230, + 83 + ], + "lines": [ + { + "bbox": [ + 140, + 74, + 230, + 84 + ], + "spans": [ + { + "bbox": [ + 140, + 74, + 230, + 84 + ], + "score": 1.0, + "content": "Fine-tuned GPT3 - 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Results shown are for few-shot", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 249, + 251, + 408, + 262 + ], + "spans": [ + { + "bbox": [ + 249, + 251, + 408, + 262 + ], + "score": 1.0, + "content": "prompting and fine-tuning with scratchpad.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + } + ], + "index": 7.0 + }, + { + "type": "text", + "bbox": [ + 106, + 293, + 505, + 359 + ], + "lines": [], + "index": 15.5, + "bbox_fs": [ + 105, + 293, + 506, + 361 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 106, + 371, + 467, + 383 + ], + "lines": [ + { + "bbox": [ + 104, + 370, + 469, + 386 + ], + "spans": [ + { + "bbox": [ + 104, + 370, + 469, + 386 + ], + "score": 1.0, + "content": "3.2.3 What Types of Errors do Transformers Make at Different Reasoning Depths?", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 506, + 486 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 506, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 404 + ], + "score": 1.0, + "content": "For clearer understanding of where transformers fall short, we analyze the types of errors that", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 402, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 478, + 415 + ], + "score": 1.0, + "content": "transformers make for nodes at different layers in the computation graph. For every input", + "type": "text" + }, + { + "bbox": [ + 479, + 404, + 486, + 412 + ], + "score": 0.52, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 402, + 506, + 415 + ], + "score": 1.0, + "content": ", we", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 412, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 290, + 426 + ], + "score": 1.0, + "content": "compare the ground truth computation graph", + "type": "text" + }, + { + "bbox": [ + 290, + 413, + 316, + 426 + ], + "score": 0.92, + "content": "G _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 412, + 506, + 426 + ], + "score": 1.0, + "content": "with the (possibly incorrect) model-generated", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 425, + 506, + 441 + ], + "spans": [ + { + "bbox": [ + 104, + 425, + 182, + 441 + ], + "score": 1.0, + "content": "computation graph", + "type": "text" + }, + { + "bbox": [ + 182, + 425, + 208, + 441 + ], + "score": 0.92, + "content": "{ \\widehat G } _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 425, + 290, + 441 + ], + "score": 1.0, + "content": ". We consider a node", + "type": "text" + }, + { + "bbox": [ + 290, + 429, + 296, + 437 + ], + "score": 0.77, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 425, + 447, + 441 + ], + "score": 1.0, + "content": "as having a correct value if and only if", + "type": "text" + }, + { + "bbox": [ + 447, + 426, + 503, + 439 + ], + "score": 0.91, + "content": "s ( v ) = \\widehat { s } ( v ) . ^ { 6 }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 425, + 506, + 441 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 438, + 506, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 187, + 453 + ], + "score": 1.0, + "content": "We consider a node", + "type": "text" + }, + { + "bbox": [ + 187, + 442, + 194, + 449 + ], + "score": 0.75, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 438, + 414, + 453 + ], + "score": 1.0, + "content": "to be derived from a correct computation if given that", + "type": "text" + }, + { + "bbox": [ + 414, + 439, + 488, + 451 + ], + "score": 0.92, + "content": "U = \\{ u _ { 1 } , \\ldots , u _ { k } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 489, + 438, + 506, + 453 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 451, + 507, + 466 + ], + "spans": [ + { + "bbox": [ + 104, + 451, + 232, + 466 + ], + "score": 1.0, + "content": "the immediate predecessors of", + "type": "text" + }, + { + "bbox": [ + 232, + 455, + 239, + 462 + ], + "score": 0.68, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 451, + 250, + 466 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 251, + 451, + 277, + 466 + ], + "score": 0.92, + "content": "\\widehat { G } _ { A ( \\mathbf { x } ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 451, + 313, + 466 + ], + "score": 1.0, + "content": "and that", + "type": "text" + }, + { + "bbox": [ + 313, + 452, + 357, + 464 + ], + "score": 0.92, + "content": "\\widehat { o p } ( v ) = f", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 451, + 414, + 466 + ], + "score": 1.0, + "content": ", we have that", + "type": "text" + }, + { + "bbox": [ + 415, + 452, + 503, + 465 + ], + "score": 0.91, + "content": "f ( u _ { 1 } , \\dots , u _ { k } ) = { \\widehat { s } } ( v )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 451, + 507, + 466 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 464, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 357, + 476 + ], + "score": 1.0, + "content": "Note that the notion of correct computation is independent of", + "type": "text" + }, + { + "bbox": [ + 357, + 464, + 366, + 473 + ], + "score": 0.83, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 464, + 435, + 476 + ], + "score": 1.0, + "content": ", and that a node", + "type": "text" + }, + { + "bbox": [ + 435, + 466, + 442, + 473 + ], + "score": 0.72, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 464, + 506, + 476 + ], + "score": 1.0, + "content": "derived from a", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 475, + 492, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 492, + 487 + ], + "score": 1.0, + "content": "correct computation may not have the correct value if an error occurred in some of its ancestors.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5, + "bbox_fs": [ + 104, + 390, + 507, + 487 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 492, + 505, + 559 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 194, + 505 + ], + "score": 1.0, + "content": "We classify each node", + "type": "text" + }, + { + "bbox": [ + 195, + 491, + 221, + 503 + ], + "score": 0.91, + "content": "v \\in \\widehat { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 492, + 353, + 505 + ], + "score": 1.0, + "content": "into one of four categories. Node", + "type": "text" + }, + { + "bbox": [ + 353, + 495, + 360, + 503 + ], + "score": 0.75, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 492, + 431, + 505 + ], + "score": 1.0, + "content": "is fully correct if", + "type": "text" + }, + { + "bbox": [ + 431, + 495, + 437, + 503 + ], + "score": 0.75, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "and its ancestors", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 504, + 504, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 504, + 405, + 515 + ], + "score": 1.0, + "content": "have correct values and are derived from correct computations. If a node", + "type": "text" + }, + { + "bbox": [ + 405, + 506, + 411, + 514 + ], + "score": 0.75, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 504, + 504, + 515 + ], + "score": 1.0, + "content": "is not fully correct, its", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 247, + 527 + ], + "score": 1.0, + "content": "error can be of the following types:", + "type": "text" + }, + { + "bbox": [ + 248, + 516, + 254, + 525 + ], + "score": 0.7, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 514, + 488, + 527 + ], + "score": 1.0, + "content": "has a local error if its parent nodes have correct values but", + "type": "text" + }, + { + "bbox": [ + 488, + 516, + 495, + 524 + ], + "score": 0.78, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 525, + 389, + 538 + ], + "score": 1.0, + "content": "derived from an incorrect computation (i.e., a one-hop reasoning error);", + "type": "text" + }, + { + "bbox": [ + 389, + 527, + 396, + 535 + ], + "score": 0.69, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "has a propagation error if", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 107, + 538, + 113, + 546 + ], + "score": 0.69, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 113, + 537, + 474, + 549 + ], + "score": 1.0, + "content": "is derived from a correct computation but some of its parent nodes have incorrect values;", + "type": "text" + }, + { + "bbox": [ + 474, + 538, + 481, + 546 + ], + "score": 0.72, + "content": "v", + "type": "inline_equation" + }, + { + "bbox": [ + 481, + 537, + 506, + 549 + ], + "score": 1.0, + "content": "has a", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 547, + 456, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 456, + 559 + ], + "score": 1.0, + "content": "restoration error if it has a correct value but is derived from an incorrect computation.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 491, + 506, + 559 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 563, + 505, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "Figure 7 shows results for few-shot GPT4 and fine-tuned GPT3 with scratchpad, with respect to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 506, + 587 + ], + "score": 1.0, + "content": "graph layer number for each node. In all settings, the ratio of fully correct nodes is almost perfect", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 586, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 505, + 598 + ], + "score": 1.0, + "content": "but sharply decreases toward zero with increasing graph layers. Moreover, the ratio of propagation", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 505, + 608 + ], + "score": 1.0, + "content": "errors is usually higher than the ratio of local errors. Both phenomena suggest that models are able to", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 608, + 504, + 620 + ], + "spans": [ + { + "bbox": [ + 106, + 608, + 504, + 620 + ], + "score": 1.0, + "content": "correctly perform single-step reasoning, potentially due to memorizing such single-step operations", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 617, + 503, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 503, + 632 + ], + "score": 1.0, + "content": "during training, but fail to plan and compose several of these steps for an overall correct reasoning.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 564, + 506, + 632 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 635, + 505, + 701 + ], + "lines": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 505, + 647 + ], + "score": 1.0, + "content": "Both the DP and the puzzle tasks have a high ratio of restoration errors, suggesting memorization", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 646, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 505, + 657 + ], + "score": 1.0, + "content": "since correct outputs are produced despite incorrect computations. There are signs of memorization", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 280, + 669 + ], + "score": 1.0, + "content": "even when restoration errors are near zero:", + "type": "text" + }, + { + "bbox": [ + 281, + 657, + 308, + 667 + ], + "score": 0.88, + "content": "8 2 . 3 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 308, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "of the final correct answers for 4-digit by 2-digit", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 668, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 106, + 668, + 505, + 680 + ], + "score": 1.0, + "content": "multiplications (a setting unseen during training) had at least one error in the computation graph, but", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "score": 1.0, + "content": "still produced correct answers. These patterns are possibly due to high frequency of (input, output)", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 689, + 452, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 452, + 702 + ], + "score": 1.0, + "content": "multiplication pairs in the pretraining data, in contrast to intermediate reasoning steps.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 634, + 505, + 702 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 70, + 352, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 352, + 86 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 352, + 86 + ], + "score": 1.0, + "content": "4 Error Propagations: The Theoretical Limits", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 91, + 505, + 169 + ], + "lines": [ + { + "bbox": [ + 105, + 91, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 505, + 106 + ], + "score": 1.0, + "content": "Experiments (§3) highlight the limitations of current transformers in handling complex, multi-step", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 102, + 506, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 506, + 116 + ], + "score": 1.0, + "content": "reasoning tasks. Concretely, we show that errors rapidly escalate as the problem size grows (§3.2.3).", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 504, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 504, + 126 + ], + "score": 1.0, + "content": "Here, we aim to provide theoretical insights into why autoregressive transformer LLMs can perform", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 124, + 506, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 124, + 506, + 137 + ], + "score": 1.0, + "content": "significantly worse in compositional tasks as the problem size increases, making explicit the different", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 135, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 105, + 135, + 505, + 148 + ], + "score": 1.0, + "content": "ways in which compounding stochastic errors affect final performance. We argue using stylized", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 146, + 506, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 506, + 160 + ], + "score": 1.0, + "content": "examples that transformers may be too limited to solve compositionally complex tasks. Formal", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 157, + 292, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 275, + 169 + ], + "score": 1.0, + "content": "statements and full proofs are provided in", + "type": "text" + }, + { + "bbox": [ + 275, + 157, + 288, + 168 + ], + "score": 0.86, + "content": "\\ S _ { \\mathrm { { D } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 157, + 292, + 169 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 173, + 505, + 229 + ], + "lines": [ + { + "bbox": [ + 105, + 173, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 187 + ], + "score": 1.0, + "content": "Algorithms designed to solve compositional tasks typically involve multiple independent applications", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "score": 1.0, + "content": "of a function and/or iterated applications of the same function. A transformer executing such an", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 504, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 504, + 208 + ], + "score": 1.0, + "content": "algorithm acts as an estimator of these functions. In this context, we examine the probability of such", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "an estimator reaching the correct answer as the problem size increases. We first consider a scenario", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 218, + 486, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 320, + 230 + ], + "score": 1.0, + "content": "where a transformer estimates an algorithm requiring", + "type": "text" + }, + { + "bbox": [ + 321, + 219, + 328, + 227 + ], + "score": 0.72, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 218, + 486, + 230 + ], + "score": 1.0, + "content": "independent applications of a function:", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 234, + 506, + 317 + ], + "lines": [ + { + "bbox": [ + 105, + 234, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 232, + 248 + ], + "score": 1.0, + "content": "Proposition 4.1 (informal). Let", + "type": "text" + }, + { + "bbox": [ + 233, + 236, + 243, + 247 + ], + "score": 0.88, + "content": "f _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 234, + 338, + 248 + ], + "score": 1.0, + "content": "involve the combination", + "type": "text" + }, + { + "bbox": [ + 338, + 236, + 350, + 246 + ], + "score": 0.88, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 234, + 506, + 248 + ], + "score": 1.0, + "content": "of n independent applications of a func-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 246, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 147, + 261 + ], + "score": 1.0, + "content": "tion g. Let", + "type": "text" + }, + { + "bbox": [ + 147, + 246, + 178, + 260 + ], + "score": 0.83, + "content": "{ \\widehat { f } } , { \\widehat { g } } , { \\widehat { h } } _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 248, + 304, + 261 + ], + "score": 1.0, + "content": "be their estimators. Assume that", + "type": "text" + }, + { + "bbox": [ + 305, + 246, + 317, + 259 + ], + "score": 0.9, + "content": "\\widehat { h } _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 248, + 412, + 261 + ], + "score": 1.0, + "content": "is a perfect estimator of", + "type": "text" + }, + { + "bbox": [ + 412, + 248, + 424, + 259 + ], + "score": 0.88, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 248, + 460, + 261 + ], + "score": 1.0, + "content": "and that", + "type": "text" + }, + { + "bbox": [ + 460, + 248, + 472, + 259 + ], + "score": 0.88, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "has low", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 258, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 164, + 272 + ], + "score": 1.0, + "content": "bcollision, with", + "type": "text" + }, + { + "bbox": [ + 164, + 261, + 175, + 270 + ], + "score": 0.86, + "content": "c _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 258, + 274, + 272 + ], + "score": 1.0, + "content": "being an upper bound of", + "type": "text" + }, + { + "bbox": [ + 274, + 259, + 286, + 270 + ], + "score": 0.86, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 258, + 350, + 272 + ], + "score": 1.0, + "content": "’s collision rate", + "type": "text" + }, + { + "bbox": [ + 350, + 259, + 393, + 271 + ], + "score": 0.87, + "content": "( c _ { n } < c \\forall n", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 258, + 416, + 272 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 416, + 260, + 443, + 270 + ], + "score": 0.87, + "content": "c \\ll 1 _ { . }", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 258, + 457, + 272 + ], + "score": 1.0, + "content": "). If", + "type": "text" + }, + { + "bbox": [ + 458, + 259, + 505, + 271 + ], + "score": 0.87, + "content": "\\operatorname { \\mathbb { P } } ( g \\neq { \\widehat { \\boldsymbol { g } } } ) =", + "type": "inline_equation" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 270, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 129, + 283 + ], + "score": 0.87, + "content": "\\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 271, + 155, + 286 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 155, + 272, + 162, + 284 + ], + "score": 0.73, + "content": "\\widehat g", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 271, + 282, + 286 + ], + "score": 1.0, + "content": "’s errors are independent, then", + "type": "text" + }, + { + "bbox": [ + 282, + 270, + 451, + 285 + ], + "score": 0.9, + "content": "\\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) > 1 - c _ { n } - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c _ { n } ) .", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 271, + 506, + 286 + ], + "score": 1.0, + "content": ". This implies", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 284, + 507, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 285, + 124, + 299 + ], + "score": 1.0, + "content": "that", + "type": "text" + }, + { + "bbox": [ + 125, + 284, + 171, + 298 + ], + "score": 0.89, + "content": "\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 285, + 350, + 299 + ], + "score": 1.0, + "content": "decreases exponentially as n increases, with", + "type": "text" + }, + { + "bbox": [ + 351, + 284, + 460, + 303 + ], + "score": 0.88, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 285, + 507, + 299 + ], + "score": 1.0, + "content": ". Moreover,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 302, + 473, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 111, + 318 + ], + "score": 1.0, + "content": "i", + "type": "text" + }, + { + "bbox": [ + 111, + 304, + 156, + 316 + ], + "score": 0.87, + "content": "f c _ { n } \\leq \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 302, + 195, + 318 + ], + "score": 1.0, + "content": "for some", + "type": "text" + }, + { + "bbox": [ + 195, + 304, + 266, + 316 + ], + "score": 0.9, + "content": "\\alpha \\in ( 0 , 1 ) , \\beta > 0 ;", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 302, + 271, + 318 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 271, + 302, + 316, + 316 + ], + "score": 0.72, + "content": "\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 302, + 473, + 318 + ], + "score": 1.0, + "content": "tends exponentially to 1 as n increases.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 106, + 325, + 504, + 348 + ], + "lines": [ + { + "bbox": [ + 106, + 326, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 174, + 337 + ], + "score": 1.0, + "content": "Prop. 4.1’s proof", + "type": "text" + }, + { + "bbox": [ + 175, + 326, + 201, + 336 + ], + "score": 0.61, + "content": "( \\ S \\mathrm { D . 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 326, + 505, + 337 + ], + "score": 1.0, + "content": "shows the rate of convergence is exponential, thus concluding that transform-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 335, + 502, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 248, + 349 + ], + "score": 1.0, + "content": "ers will rapidly fail with increasing", + "type": "text" + }, + { + "bbox": [ + 249, + 338, + 256, + 346 + ], + "score": 0.73, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 335, + 502, + 349 + ], + "score": 1.0, + "content": ". Let’s now analyze the iterated application function scenario.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 106, + 353, + 506, + 419 + ], + "lines": [ + { + "bbox": [ + 104, + 352, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 104, + 352, + 239, + 369 + ], + "score": 1.0, + "content": "Proposition 4.2 (informal). Let", + "type": "text" + }, + { + "bbox": [ + 239, + 354, + 298, + 366 + ], + "score": 0.93, + "content": "f _ { n } ( \\mathbf { x } ) { = } g ^ { n } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 352, + 506, + 369 + ], + "score": 1.0, + "content": "involve the repeated application of g. Assume that", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 365, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 505, + 378 + ], + "score": 1.0, + "content": "the probability of recovering from a mistake due to the randomness of applying the estimator on", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 375, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 307, + 391 + ], + "score": 1.0, + "content": "an incorrect input has probability at most c. If", + "type": "text" + }, + { + "bbox": [ + 307, + 378, + 384, + 390 + ], + "score": 0.9, + "content": "\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 377, + 410, + 391 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 410, + 375, + 460, + 390 + ], + "score": 0.91, + "content": "\\dot { \\mathbb { P } } ( f _ { n } \\neq \\widehat { f } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 377, + 506, + 391 + ], + "score": 1.0, + "content": "decreases", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 389, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 186, + 406 + ], + "score": 1.0, + "content": "exponentially with", + "type": "text" + }, + { + "bbox": [ + 186, + 394, + 193, + 401 + ], + "score": 0.29, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 389, + 240, + 406 + ], + "score": 1.0, + "content": ". Precisely,", + "type": "text" + }, + { + "bbox": [ + 240, + 390, + 462, + 403 + ], + "score": 0.85, + "content": "\\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\ge 1 - ( 1 - \\epsilon - c ) ^ { n - 1 } ( 1 - \\epsilon - c / ( c + \\epsilon ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 389, + 506, + 406 + ], + "score": 1.0, + "content": ", implying", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 402, + 254, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 251, + 421 + ], + "score": 0.88, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c / ( c + \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 403, + 254, + 417 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 423, + 505, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 245, + 437 + ], + "score": 1.0, + "content": "The argument is as follows. Let", + "type": "text" + }, + { + "bbox": [ + 245, + 423, + 328, + 436 + ], + "score": 0.91, + "content": "s _ { n } : = \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 423, + 362, + 437 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 362, + 425, + 412, + 435 + ], + "score": 0.9, + "content": "s _ { 1 } = 1 - \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 423, + 505, + 437 + ], + "score": 1.0, + "content": "by definition. Derive", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 435, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 221, + 447 + ], + "score": 0.91, + "content": "s _ { n } \\leq ( 1 - \\epsilon - c ) \\cdot s _ { n - 1 } + c", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 435, + 506, + 448 + ], + "score": 1.0, + "content": "using law of total probability. Then, prove by induction a non-recursive", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 103, + 441, + 498, + 465 + ], + "spans": [ + { + "bbox": [ + 103, + 441, + 173, + 465 + ], + "score": 1.0, + "content": "≤ − −upper bound for", + "type": "text" + }, + { + "bbox": [ + 173, + 449, + 184, + 457 + ], + "score": 0.85, + "content": "s _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 441, + 227, + 465 + ], + "score": 1.0, + "content": "− with limit", + "type": "text" + }, + { + "bbox": [ + 228, + 447, + 244, + 460 + ], + "score": 0.91, + "content": "\\frac { c } { c + \\epsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 441, + 269, + 465 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 269, + 448, + 309, + 457 + ], + "score": 0.89, + "content": "n + \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 441, + 470, + 465 + ], + "score": 1.0, + "content": ". See formal statement and derivation in", + "type": "text" + }, + { + "bbox": [ + 470, + 447, + 491, + 457 + ], + "score": 0.84, + "content": "\\ S _ { \\mathrm { D } . 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 441, + 498, + 465 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 463, + 505, + 516 + ], + "lines": [ + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 451, + 476 + ], + "score": 1.0, + "content": "Prop. 4.2’s proof also shows an exponential rate of convergence. Note that if", + "type": "text" + }, + { + "bbox": [ + 452, + 465, + 482, + 474 + ], + "score": 0.88, + "content": "c \\ll \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 463, + 505, + 476 + ], + "score": 1.0, + "content": "then", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 475, + 504, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 215, + 494 + ], + "score": 0.91, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\mathbb { P } ( f _ { n } \\neq { \\widehat { f _ { n } } } ) \\approx 1", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 475, + 334, + 490 + ], + "score": 1.0, + "content": ". It is reasonable to assume", + "type": "text" + }, + { + "bbox": [ + 335, + 478, + 361, + 487 + ], + "score": 0.87, + "content": "c \\ll \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 475, + 388, + 490 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 388, + 479, + 395, + 488 + ], + "score": 0.77, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 475, + 498, + 490 + ], + "score": 1.0, + "content": "has low collision, since", + "type": "text" + }, + { + "bbox": [ + 498, + 479, + 504, + 487 + ], + "score": 0.63, + "content": "c", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 492, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 104, + 492, + 277, + 506 + ], + "score": 1.0, + "content": "represents the probability of the estimator", + "type": "text" + }, + { + "bbox": [ + 278, + 493, + 297, + 505 + ], + "score": 0.91, + "content": "\\widehat g ( y )", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 492, + 416, + 506 + ], + "score": 1.0, + "content": "arriving at the correct output", + "type": "text" + }, + { + "bbox": [ + 416, + 493, + 436, + 505 + ], + "score": 0.91, + "content": "g ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 492, + 505, + 506 + ], + "score": 1.0, + "content": "by chance when", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 505, + 315, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 196, + 516 + ], + "score": 1.0, + "content": "given the wrong input", + "type": "text" + }, + { + "bbox": [ + 196, + 505, + 222, + 516 + ], + "score": 0.9, + "content": "y \\neq x", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 505, + 289, + 516 + ], + "score": 1.0, + "content": ". More details in", + "type": "text" + }, + { + "bbox": [ + 289, + 505, + 309, + 515 + ], + "score": 0.86, + "content": "\\ S _ { \\mathrm { D } . 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 505, + 315, + 516 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 107, + 520, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 416, + 532 + ], + "score": 1.0, + "content": "Moreover, repeated applications of a function often imply unbounded errors: if", + "type": "text" + }, + { + "bbox": [ + 416, + 520, + 435, + 532 + ], + "score": 0.92, + "content": "g ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "can be expressed", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 532, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 213, + 543 + ], + "score": 1.0, + "content": "as an affine transformation", + "type": "text" + }, + { + "bbox": [ + 213, + 532, + 240, + 542 + ], + "score": 0.89, + "content": "F x { + c }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 532, + 505, + 543 + ], + "score": 1.0, + "content": ", then it may be viewed as a first-order vector autoregression, which", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 231, + 555 + ], + "score": 1.0, + "content": "are known to be unstable when", + "type": "text" + }, + { + "bbox": [ + 231, + 542, + 262, + 554 + ], + "score": 0.92, + "content": "| \\lambda | \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 541, + 323, + 555 + ], + "score": 1.0, + "content": "for at least one", + "type": "text" + }, + { + "bbox": [ + 323, + 543, + 330, + 552 + ], + "score": 0.8, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 541, + 386, + 555 + ], + "score": 1.0, + "content": "eigenvalue of", + "type": "text" + }, + { + "bbox": [ + 387, + 543, + 396, + 552 + ], + "score": 0.79, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 541, + 505, + 555 + ], + "score": 1.0, + "content": "[31, Prop. 10.1]. While we", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 552, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 506, + 566 + ], + "score": 1.0, + "content": "make these arguments with affine maps, similar behaviors, possibly even more acute, could occur", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 563, + 411, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 411, + 578 + ], + "score": 1.0, + "content": "with nonlinear maps [25]—but their study is beyond the scope of this paper.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 580, + 505, + 624 + ], + "lines": [ + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "In Prop. 4.2’s current form, we implicitly assume that there is a single valid reasoning for each input", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 590, + 507, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 129, + 604 + ], + "score": 1.0, + "content": "since", + "type": "text" + }, + { + "bbox": [ + 129, + 593, + 136, + 603 + ], + "score": 0.81, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 590, + 507, + 604 + ], + "score": 1.0, + "content": "is a function. We can potentially generalize this assumption with a state-transition framing,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 602, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 407, + 615 + ], + "score": 1.0, + "content": "where the probability of transitioning from a valid state to an invalid one is", + "type": "text" + }, + { + "bbox": [ + 407, + 605, + 413, + 612 + ], + "score": 0.38, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 602, + 506, + 615 + ], + "score": 1.0, + "content": ", and the probability of", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 614, + 403, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 276, + 624 + ], + "score": 1.0, + "content": "recovering from an invalid state is at most", + "type": "text" + }, + { + "bbox": [ + 276, + 615, + 282, + 623 + ], + "score": 0.42, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 614, + 403, + 624 + ], + "score": 1.0, + "content": ". See formal statement in D.2.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 107, + 630, + 505, + 685 + ], + "lines": [ + { + "bbox": [ + 105, + 629, + 505, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 505, + 642 + ], + "score": 1.0, + "content": "All tasks evaluated in the present work can be seen as instances of the results just proven. Prop. 4.1", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 268, + 653 + ], + "score": 1.0, + "content": "directly applies to multiplication, since", + "type": "text" + }, + { + "bbox": [ + 268, + 642, + 278, + 651 + ], + "score": 0.77, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 640, + 294, + 653 + ], + "score": 1.0, + "content": "-by-", + "type": "text" + }, + { + "bbox": [ + 294, + 642, + 301, + 650 + ], + "score": 0.71, + "content": "^ n", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 640, + 444, + 653 + ], + "score": 1.0, + "content": "digit multiplication can be seen as", + "type": "text" + }, + { + "bbox": [ + 444, + 643, + 452, + 650 + ], + "score": 0.69, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "independent", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 651, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 157, + 664 + ], + "score": 1.0, + "content": "instances of", + "type": "text" + }, + { + "bbox": [ + 158, + 653, + 167, + 662 + ], + "score": 0.77, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 651, + 505, + 664 + ], + "score": 1.0, + "content": "-by-1 digit multiplication (see Cor. D.1). Prop. 4.2 directly applies to the recursive", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 662, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 343, + 675 + ], + "score": 1.0, + "content": "function of the dynamic programming task, as well as to", + "type": "text" + }, + { + "bbox": [ + 343, + 664, + 353, + 672 + ], + "score": 0.71, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 662, + 505, + 675 + ], + "score": 1.0, + "content": "-by-1 digit multiplication, and to the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 673, + 487, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 487, + 686 + ], + "score": 1.0, + "content": "puzzle through its elimination function (details in D.3). They are also all low collision settings.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "Note that Prop 4.1 and 4.2 apply to any high-performant estimator of reasoning tasks. We focus on", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 700, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 714 + ], + "score": 1.0, + "content": "out-of-the-box transformers to align with the scope of our experiments and with the goal of framing", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 712, + 499, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 712, + 189, + 724 + ], + "score": 1.0, + "content": "empirical results. In", + "type": "text" + }, + { + "bbox": [ + 189, + 712, + 200, + 722 + ], + "score": 0.75, + "content": "\\ S 5", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 712, + 499, + 724 + ], + "score": 1.0, + "content": ", we discuss how these propositions may inform future research directions.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 48 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 310, + 752 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 310, + 752 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 12, + "width": 9 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 70, + 352, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 70, + 352, + 86 + ], + "spans": [ + { + "bbox": [ + 104, + 70, + 352, + 86 + ], + "score": 1.0, + "content": "4 Error Propagations: The Theoretical Limits", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 91, + 505, + 169 + ], + "lines": [ + { + "bbox": [ + 105, + 91, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 505, + 106 + ], + "score": 1.0, + "content": "Experiments (§3) highlight the limitations of current transformers in handling complex, multi-step", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 102, + 506, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 506, + 116 + ], + "score": 1.0, + "content": "reasoning tasks. Concretely, we show that errors rapidly escalate as the problem size grows (§3.2.3).", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 114, + 504, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 504, + 126 + ], + "score": 1.0, + "content": "Here, we aim to provide theoretical insights into why autoregressive transformer LLMs can perform", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 124, + 506, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 124, + 506, + 137 + ], + "score": 1.0, + "content": "significantly worse in compositional tasks as the problem size increases, making explicit the different", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 135, + 505, + 148 + ], + "spans": [ + { + "bbox": [ + 105, + 135, + 505, + 148 + ], + "score": 1.0, + "content": "ways in which compounding stochastic errors affect final performance. We argue using stylized", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 146, + 506, + 160 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 506, + 160 + ], + "score": 1.0, + "content": "examples that transformers may be too limited to solve compositionally complex tasks. Formal", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 157, + 292, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 275, + 169 + ], + "score": 1.0, + "content": "statements and full proofs are provided in", + "type": "text" + }, + { + "bbox": [ + 275, + 157, + 288, + 168 + ], + "score": 0.86, + "content": "\\ S _ { \\mathrm { { D } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 289, + 157, + 292, + 169 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 91, + 506, + 169 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 173, + 505, + 229 + ], + "lines": [ + { + "bbox": [ + 105, + 173, + 505, + 187 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 505, + 187 + ], + "score": 1.0, + "content": "Algorithms designed to solve compositional tasks typically involve multiple independent applications", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "score": 1.0, + "content": "of a function and/or iterated applications of the same function. A transformer executing such an", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 194, + 504, + 208 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 504, + 208 + ], + "score": 1.0, + "content": "algorithm acts as an estimator of these functions. In this context, we examine the probability of such", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 505, + 219 + ], + "score": 1.0, + "content": "an estimator reaching the correct answer as the problem size increases. We first consider a scenario", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 218, + 486, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 320, + 230 + ], + "score": 1.0, + "content": "where a transformer estimates an algorithm requiring", + "type": "text" + }, + { + "bbox": [ + 321, + 219, + 328, + 227 + ], + "score": 0.72, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 218, + 486, + 230 + ], + "score": 1.0, + "content": "independent applications of a function:", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 173, + 505, + 230 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 234, + 506, + 317 + ], + "lines": [ + { + "bbox": [ + 105, + 234, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 232, + 248 + ], + "score": 1.0, + "content": "Proposition 4.1 (informal). Let", + "type": "text" + }, + { + "bbox": [ + 233, + 236, + 243, + 247 + ], + "score": 0.88, + "content": "f _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 234, + 338, + 248 + ], + "score": 1.0, + "content": "involve the combination", + "type": "text" + }, + { + "bbox": [ + 338, + 236, + 350, + 246 + ], + "score": 0.88, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 234, + 506, + 248 + ], + "score": 1.0, + "content": "of n independent applications of a func-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 246, + 505, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 248, + 147, + 261 + ], + "score": 1.0, + "content": "tion g. Let", + "type": "text" + }, + { + "bbox": [ + 147, + 246, + 178, + 260 + ], + "score": 0.83, + "content": "{ \\widehat { f } } , { \\widehat { g } } , { \\widehat { h } } _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 248, + 304, + 261 + ], + "score": 1.0, + "content": "be their estimators. Assume that", + "type": "text" + }, + { + "bbox": [ + 305, + 246, + 317, + 259 + ], + "score": 0.9, + "content": "\\widehat { h } _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 248, + 412, + 261 + ], + "score": 1.0, + "content": "is a perfect estimator of", + "type": "text" + }, + { + "bbox": [ + 412, + 248, + 424, + 259 + ], + "score": 0.88, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 248, + 460, + 261 + ], + "score": 1.0, + "content": "and that", + "type": "text" + }, + { + "bbox": [ + 460, + 248, + 472, + 259 + ], + "score": 0.88, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 248, + 505, + 261 + ], + "score": 1.0, + "content": "has low", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 258, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 164, + 272 + ], + "score": 1.0, + "content": "bcollision, with", + "type": "text" + }, + { + "bbox": [ + 164, + 261, + 175, + 270 + ], + "score": 0.86, + "content": "c _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 258, + 274, + 272 + ], + "score": 1.0, + "content": "being an upper bound of", + "type": "text" + }, + { + "bbox": [ + 274, + 259, + 286, + 270 + ], + "score": 0.86, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 258, + 350, + 272 + ], + "score": 1.0, + "content": "’s collision rate", + "type": "text" + }, + { + "bbox": [ + 350, + 259, + 393, + 271 + ], + "score": 0.87, + "content": "( c _ { n } < c \\forall n", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 258, + 416, + 272 + ], + "score": 1.0, + "content": ", with", + "type": "text" + }, + { + "bbox": [ + 416, + 260, + 443, + 270 + ], + "score": 0.87, + "content": "c \\ll 1 _ { . }", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 258, + 457, + 272 + ], + "score": 1.0, + "content": "). If", + "type": "text" + }, + { + "bbox": [ + 458, + 259, + 505, + 271 + ], + "score": 0.87, + "content": "\\operatorname { \\mathbb { P } } ( g \\neq { \\widehat { \\boldsymbol { g } } } ) =", + "type": "inline_equation" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 270, + 506, + 286 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 129, + 283 + ], + "score": 0.87, + "content": "\\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 271, + 155, + 286 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 155, + 272, + 162, + 284 + ], + "score": 0.73, + "content": "\\widehat g", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 271, + 282, + 286 + ], + "score": 1.0, + "content": "’s errors are independent, then", + "type": "text" + }, + { + "bbox": [ + 282, + 270, + 451, + 285 + ], + "score": 0.9, + "content": "\\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) > 1 - c _ { n } - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c _ { n } ) .", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 271, + 506, + 286 + ], + "score": 1.0, + "content": ". This implies", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 284, + 507, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 285, + 124, + 299 + ], + "score": 1.0, + "content": "that", + "type": "text" + }, + { + "bbox": [ + 125, + 284, + 171, + 298 + ], + "score": 0.89, + "content": "\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 285, + 350, + 299 + ], + "score": 1.0, + "content": "decreases exponentially as n increases, with", + "type": "text" + }, + { + "bbox": [ + 351, + 284, + 460, + 303 + ], + "score": 0.88, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 285, + 507, + 299 + ], + "score": 1.0, + "content": ". Moreover,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 302, + 473, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 111, + 318 + ], + "score": 1.0, + "content": "i", + "type": "text" + }, + { + "bbox": [ + 111, + 304, + 156, + 316 + ], + "score": 0.87, + "content": "f c _ { n } \\leq \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 302, + 195, + 318 + ], + "score": 1.0, + "content": "for some", + "type": "text" + }, + { + "bbox": [ + 195, + 304, + 266, + 316 + ], + "score": 0.9, + "content": "\\alpha \\in ( 0 , 1 ) , \\beta > 0 ;", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 302, + 271, + 318 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 271, + 302, + 316, + 316 + ], + "score": 0.72, + "content": "\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 302, + 473, + 318 + ], + "score": 1.0, + "content": "tends exponentially to 1 as n increases.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 234, + 507, + 318 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 325, + 504, + 348 + ], + "lines": [ + { + "bbox": [ + 106, + 326, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 326, + 174, + 337 + ], + "score": 1.0, + "content": "Prop. 4.1’s proof", + "type": "text" + }, + { + "bbox": [ + 175, + 326, + 201, + 336 + ], + "score": 0.61, + "content": "( \\ S \\mathrm { D . 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 326, + 505, + 337 + ], + "score": 1.0, + "content": "shows the rate of convergence is exponential, thus concluding that transform-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 335, + 502, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 248, + 349 + ], + "score": 1.0, + "content": "ers will rapidly fail with increasing", + "type": "text" + }, + { + "bbox": [ + 249, + 338, + 256, + 346 + ], + "score": 0.73, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 335, + 502, + 349 + ], + "score": 1.0, + "content": ". Let’s now analyze the iterated application function scenario.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 326, + 505, + 349 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 353, + 506, + 419 + ], + "lines": [ + { + "bbox": [ + 104, + 352, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 104, + 352, + 239, + 369 + ], + "score": 1.0, + "content": "Proposition 4.2 (informal). Let", + "type": "text" + }, + { + "bbox": [ + 239, + 354, + 298, + 366 + ], + "score": 0.93, + "content": "f _ { n } ( \\mathbf { x } ) { = } g ^ { n } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 352, + 506, + 369 + ], + "score": 1.0, + "content": "involve the repeated application of g. Assume that", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 365, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 505, + 378 + ], + "score": 1.0, + "content": "the probability of recovering from a mistake due to the randomness of applying the estimator on", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 375, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 307, + 391 + ], + "score": 1.0, + "content": "an incorrect input has probability at most c. If", + "type": "text" + }, + { + "bbox": [ + 307, + 378, + 384, + 390 + ], + "score": 0.9, + "content": "\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 377, + 410, + 391 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 410, + 375, + 460, + 390 + ], + "score": 0.91, + "content": "\\dot { \\mathbb { P } } ( f _ { n } \\neq \\widehat { f } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 377, + 506, + 391 + ], + "score": 1.0, + "content": "decreases", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 389, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 186, + 406 + ], + "score": 1.0, + "content": "exponentially with", + "type": "text" + }, + { + "bbox": [ + 186, + 394, + 193, + 401 + ], + "score": 0.29, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 389, + 240, + 406 + ], + "score": 1.0, + "content": ". Precisely,", + "type": "text" + }, + { + "bbox": [ + 240, + 390, + 462, + 403 + ], + "score": 0.85, + "content": "\\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\ge 1 - ( 1 - \\epsilon - c ) ^ { n - 1 } ( 1 - \\epsilon - c / ( c + \\epsilon ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 389, + 506, + 406 + ], + "score": 1.0, + "content": ", implying", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 402, + 254, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 251, + 421 + ], + "score": 0.88, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c / ( c + \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 403, + 254, + 417 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23, + "bbox_fs": [ + 104, + 352, + 506, + 421 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 423, + 505, + 459 + ], + "lines": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 245, + 437 + ], + "score": 1.0, + "content": "The argument is as follows. Let", + "type": "text" + }, + { + "bbox": [ + 245, + 423, + 328, + 436 + ], + "score": 0.91, + "content": "s _ { n } : = \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 423, + 362, + 437 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 362, + 425, + 412, + 435 + ], + "score": 0.9, + "content": "s _ { 1 } = 1 - \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 423, + 505, + 437 + ], + "score": 1.0, + "content": "by definition. Derive", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 435, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 221, + 447 + ], + "score": 0.91, + "content": "s _ { n } \\leq ( 1 - \\epsilon - c ) \\cdot s _ { n - 1 } + c", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 435, + 506, + 448 + ], + "score": 1.0, + "content": "using law of total probability. Then, prove by induction a non-recursive", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 103, + 441, + 498, + 465 + ], + "spans": [ + { + "bbox": [ + 103, + 441, + 173, + 465 + ], + "score": 1.0, + "content": "≤ − −upper bound for", + "type": "text" + }, + { + "bbox": [ + 173, + 449, + 184, + 457 + ], + "score": 0.85, + "content": "s _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 441, + 227, + 465 + ], + "score": 1.0, + "content": "− with limit", + "type": "text" + }, + { + "bbox": [ + 228, + 447, + 244, + 460 + ], + "score": 0.91, + "content": "\\frac { c } { c + \\epsilon }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 441, + 269, + 465 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 269, + 448, + 309, + 457 + ], + "score": 0.89, + "content": "n + \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 441, + 470, + 465 + ], + "score": 1.0, + "content": ". See formal statement and derivation in", + "type": "text" + }, + { + "bbox": [ + 470, + 447, + 491, + 457 + ], + "score": 0.84, + "content": "\\ S _ { \\mathrm { D } . 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 441, + 498, + 465 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 103, + 423, + 506, + 465 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 463, + 505, + 516 + ], + "lines": [ + { + "bbox": [ + 105, + 463, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 451, + 476 + ], + "score": 1.0, + "content": "Prop. 4.2’s proof also shows an exponential rate of convergence. Note that if", + "type": "text" + }, + { + "bbox": [ + 452, + 465, + 482, + 474 + ], + "score": 0.88, + "content": "c \\ll \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 463, + 505, + 476 + ], + "score": 1.0, + "content": "then", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 475, + 504, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 215, + 494 + ], + "score": 0.91, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\mathbb { P } ( f _ { n } \\neq { \\widehat { f _ { n } } } ) \\approx 1", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 475, + 334, + 490 + ], + "score": 1.0, + "content": ". It is reasonable to assume", + "type": "text" + }, + { + "bbox": [ + 335, + 478, + 361, + 487 + ], + "score": 0.87, + "content": "c \\ll \\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 475, + 388, + 490 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 388, + 479, + 395, + 488 + ], + "score": 0.77, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 475, + 498, + 490 + ], + "score": 1.0, + "content": "has low collision, since", + "type": "text" + }, + { + "bbox": [ + 498, + 479, + 504, + 487 + ], + "score": 0.63, + "content": "c", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 492, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 104, + 492, + 277, + 506 + ], + "score": 1.0, + "content": "represents the probability of the estimator", + "type": "text" + }, + { + "bbox": [ + 278, + 493, + 297, + 505 + ], + "score": 0.91, + "content": "\\widehat g ( y )", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 492, + 416, + 506 + ], + "score": 1.0, + "content": "arriving at the correct output", + "type": "text" + }, + { + "bbox": [ + 416, + 493, + 436, + 505 + ], + "score": 0.91, + "content": "g ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 492, + 505, + 506 + ], + "score": 1.0, + "content": "by chance when", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 505, + 315, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 196, + 516 + ], + "score": 1.0, + "content": "given the wrong input", + "type": "text" + }, + { + "bbox": [ + 196, + 505, + 222, + 516 + ], + "score": 0.9, + "content": "y \\neq x", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 505, + 289, + 516 + ], + "score": 1.0, + "content": ". More details in", + "type": "text" + }, + { + "bbox": [ + 289, + 505, + 309, + 515 + ], + "score": 0.86, + "content": "\\ S _ { \\mathrm { D } . 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 505, + 315, + 516 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 463, + 505, + 516 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 520, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 106, + 520, + 505, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 520, + 416, + 532 + ], + "score": 1.0, + "content": "Moreover, repeated applications of a function often imply unbounded errors: if", + "type": "text" + }, + { + "bbox": [ + 416, + 520, + 435, + 532 + ], + "score": 0.92, + "content": "g ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 520, + 505, + 532 + ], + "score": 1.0, + "content": "can be expressed", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 532, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 213, + 543 + ], + "score": 1.0, + "content": "as an affine transformation", + "type": "text" + }, + { + "bbox": [ + 213, + 532, + 240, + 542 + ], + "score": 0.89, + "content": "F x { + c }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 532, + 505, + 543 + ], + "score": 1.0, + "content": ", then it may be viewed as a first-order vector autoregression, which", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 541, + 505, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 231, + 555 + ], + "score": 1.0, + "content": "are known to be unstable when", + "type": "text" + }, + { + "bbox": [ + 231, + 542, + 262, + 554 + ], + "score": 0.92, + "content": "| \\lambda | \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 541, + 323, + 555 + ], + "score": 1.0, + "content": "for at least one", + "type": "text" + }, + { + "bbox": [ + 323, + 543, + 330, + 552 + ], + "score": 0.8, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 541, + 386, + 555 + ], + "score": 1.0, + "content": "eigenvalue of", + "type": "text" + }, + { + "bbox": [ + 387, + 543, + 396, + 552 + ], + "score": 0.79, + "content": "F", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 541, + 505, + 555 + ], + "score": 1.0, + "content": "[31, Prop. 10.1]. While we", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 552, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 506, + 566 + ], + "score": 1.0, + "content": "make these arguments with affine maps, similar behaviors, possibly even more acute, could occur", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 563, + 411, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 411, + 578 + ], + "score": 1.0, + "content": "with nonlinear maps [25]—but their study is beyond the scope of this paper.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 35, + "bbox_fs": [ + 105, + 520, + 506, + 578 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 580, + 505, + 624 + ], + "lines": [ + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "In Prop. 4.2’s current form, we implicitly assume that there is a single valid reasoning for each input", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 590, + 507, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 129, + 604 + ], + "score": 1.0, + "content": "since", + "type": "text" + }, + { + "bbox": [ + 129, + 593, + 136, + 603 + ], + "score": 0.81, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 590, + 507, + 604 + ], + "score": 1.0, + "content": "is a function. We can potentially generalize this assumption with a state-transition framing,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 602, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 407, + 615 + ], + "score": 1.0, + "content": "where the probability of transitioning from a valid state to an invalid one is", + "type": "text" + }, + { + "bbox": [ + 407, + 605, + 413, + 612 + ], + "score": 0.38, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 413, + 602, + 506, + 615 + ], + "score": 1.0, + "content": ", and the probability of", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 614, + 403, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 276, + 624 + ], + "score": 1.0, + "content": "recovering from an invalid state is at most", + "type": "text" + }, + { + "bbox": [ + 276, + 615, + 282, + 623 + ], + "score": 0.42, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 614, + 403, + 624 + ], + "score": 1.0, + "content": ". See formal statement in D.2.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 580, + 507, + 624 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 630, + 505, + 685 + ], + "lines": [ + { + "bbox": [ + 105, + 629, + 505, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 505, + 642 + ], + "score": 1.0, + "content": "All tasks evaluated in the present work can be seen as instances of the results just proven. Prop. 4.1", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 640, + 505, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 268, + 653 + ], + "score": 1.0, + "content": "directly applies to multiplication, since", + "type": "text" + }, + { + "bbox": [ + 268, + 642, + 278, + 651 + ], + "score": 0.77, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 640, + 294, + 653 + ], + "score": 1.0, + "content": "-by-", + "type": "text" + }, + { + "bbox": [ + 294, + 642, + 301, + 650 + ], + "score": 0.71, + "content": "^ n", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 640, + 444, + 653 + ], + "score": 1.0, + "content": "digit multiplication can be seen as", + "type": "text" + }, + { + "bbox": [ + 444, + 643, + 452, + 650 + ], + "score": 0.69, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 640, + 505, + 653 + ], + "score": 1.0, + "content": "independent", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 651, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 157, + 664 + ], + "score": 1.0, + "content": "instances of", + "type": "text" + }, + { + "bbox": [ + 158, + 653, + 167, + 662 + ], + "score": 0.77, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 651, + 505, + 664 + ], + "score": 1.0, + "content": "-by-1 digit multiplication (see Cor. D.1). Prop. 4.2 directly applies to the recursive", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 662, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 343, + 675 + ], + "score": 1.0, + "content": "function of the dynamic programming task, as well as to", + "type": "text" + }, + { + "bbox": [ + 343, + 664, + 353, + 672 + ], + "score": 0.71, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 662, + 505, + 675 + ], + "score": 1.0, + "content": "-by-1 digit multiplication, and to the", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 673, + 487, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 487, + 686 + ], + "score": 1.0, + "content": "puzzle through its elimination function (details in D.3). They are also all low collision settings.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44, + "bbox_fs": [ + 105, + 629, + 505, + 686 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "Note that Prop 4.1 and 4.2 apply to any high-performant estimator of reasoning tasks. We focus on", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 700, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 714 + ], + "score": 1.0, + "content": "out-of-the-box transformers to align with the scope of our experiments and with the goal of framing", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 712, + 499, + 724 + ], + "spans": [ + { + "bbox": [ + 106, + 712, + 189, + 724 + ], + "score": 1.0, + "content": "empirical results. In", + "type": "text" + }, + { + "bbox": [ + 189, + 712, + 200, + 722 + ], + "score": 0.75, + "content": "\\ S 5", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 712, + 499, + 724 + ], + "score": 1.0, + "content": ", we discuss how these propositions may inform future research directions.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 48, + "bbox_fs": [ + 105, + 688, + 505, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 180, + 84 + ], + "lines": [ + { + "bbox": [ + 104, + 69, + 181, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 69, + 181, + 87 + ], + "score": 1.0, + "content": "5 Discussion", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 95, + 505, + 237 + ], + "lines": [ + { + "bbox": [ + 106, + 95, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 95, + 506, + 108 + ], + "score": 1.0, + "content": "Collapsed Compositionality and Robustness Implications Transformers today demonstrate", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "score": 1.0, + "content": "undeniably powerful empirical results. Yet, our study suggests that they may have fundamental", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "weaknesses in certain intellectual tasks that require true multi-step compositional operations such as", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 141 + ], + "score": 1.0, + "content": "multiplications and logic puzzles. Our careful study based on the computation graph and analyses", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "score": 1.0, + "content": "demonstrates that transformers can often solve multi-step compositional problems by collapsing the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 505, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 164 + ], + "score": 1.0, + "content": "depth of the compositional operations via analogical pattern matching. More broadly, our findings", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 160, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 506, + 173 + ], + "score": 1.0, + "content": "suggest that the strong performance of transformers should be taken with a certain grain of salt:", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 170, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 505, + 185 + ], + "score": 1.0, + "content": "Despite initially appearing challenging, certain tasks may not possess the inherent compositionality", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 182, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 195 + ], + "score": 1.0, + "content": "they seem to have. This is due to the fact that desired solutions could be readily derived from", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "score": 1.0, + "content": "input-output sequences present in the training data, allowing for shortcut pattern matching to produce", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "acceptable solutions. However, such an approach can ultimately result in poor generalization as shown", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 213, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 505, + 229 + ], + "score": 1.0, + "content": "in our study. For example, fine-tuning GPT3 on our tasks both with and without explicit reasoning", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 225, + 503, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 503, + 240 + ], + "score": 1.0, + "content": "graphs shows that models’ learning fails to generalize beyond levels of complexity seen in training.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 247, + 505, + 390 + ], + "lines": [ + { + "bbox": [ + 106, + 246, + 507, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 450, + 261 + ], + "score": 1.0, + "content": "Theoretical Findings and their Empirical Implications The proofs presented in", + "type": "text" + }, + { + "bbox": [ + 450, + 248, + 461, + 258 + ], + "score": 0.49, + "content": "\\ S 4", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 246, + 507, + 261 + ], + "score": 1.0, + "content": "show that,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 258, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 272 + ], + "score": 1.0, + "content": "under reasonable assumptions, the probability of incorrect predictions converges exponentially to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 125, + 280 + ], + "score": 0.78, + "content": "\\approx 1", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "for abstract compositional tasks. Importantly, these proofs apply to autoregressive LMs in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "score": 1.0, + "content": "general. Our insights indicate that the current configuration of transformers, with their reliance", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "score": 1.0, + "content": "on a greedy process for predicting the next word, constrains their error recovery capability and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 302, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 505, + 315 + ], + "score": 1.0, + "content": "impedes the development of a comprehensive global understanding of the task. Building on these", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 313, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 506, + 326 + ], + "score": 1.0, + "content": "findings, we suggest several empirical strategies for harnessing the potential of transformers. Firstly,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "transformers may be employed in ways that require chaining only a few compositional steps to reach", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "a solution rather than lengthy reasoning steps (e.g., [35]). Secondly, transformers may be best suited", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 344, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 104, + 344, + 506, + 360 + ], + "score": 1.0, + "content": "for compositional tasks where evaluation metrics can afford some leniency; for example, finding", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 356, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 506, + 370 + ], + "score": 1.0, + "content": "approximate solutions that do not require executing the whole graph, such as identifying the most", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 366, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 381 + ], + "score": 1.0, + "content": "significant digit in a multiplication. Finally, we suggest augmenting transformers with planning", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 378, + 507, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 507, + 392 + ], + "score": 1.0, + "content": "modules as well as using refinement methods, that can iteratively improve their generations [82, 48].", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 399, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 106, + 400, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 506, + 412 + ], + "score": 1.0, + "content": "Call for Broad Participation to Investigate Limitations Identification of limitations is an im-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 411, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 423 + ], + "score": 1.0, + "content": "portant step towards achieving greater robustness. Our study suggests fundamental limitations that", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 422, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 506, + 434 + ], + "score": 1.0, + "content": "impede transformers from fully mastering certain compositional operations. However, we acknowl-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 432, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 447 + ], + "score": 1.0, + "content": "edge that due to our compute budget constraints as well as limited access to the largest language", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "models such as GPT4, we are unable to push the empirical limits of transformers even further in terms", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 454, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 505, + 467 + ], + "score": 1.0, + "content": "of training data size and number of epochs. We invite the broader research community, particularly", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 465, + 480, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 480, + 478 + ], + "score": 1.0, + "content": "those with more extensive resources at their disposal, to investigate these possibilities further.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30 + }, + { + "type": "title", + "bbox": [ + 107, + 490, + 197, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 198, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 198, + 505 + ], + "score": 1.0, + "content": "6 Related Work", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 514, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 106, + 515, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 505, + 527 + ], + "score": 1.0, + "content": "Reasoning abilities in transformer LLMs Recently, transformers [11, 58, 57, 17, 16, 63, 73, 74]", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 523, + 507, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 507, + 540 + ], + "score": 1.0, + "content": "have demonstrated impressive reasoning abilities across a wide range of tasks, even outperforming", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 536, + 506, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 506, + 548 + ], + "score": 1.0, + "content": "humans in certain cases [79, 28, 15, 85]. This success has been largely attributed to the scaling effect,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 548, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 548, + 505, + 559 + ], + "score": 1.0, + "content": "where larger models and training datasets result in improved performance [38, 33, 1]. However, these", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 558, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 571 + ], + "score": 1.0, + "content": "models have also been shown to struggle across multiple domains [32], including algorithmic reason-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "ing [78], commonsense reasoning [62, 40], theory of mind [65], planning [76], logical reasoning [70],", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "score": 1.0, + "content": "and ethical reasoning [36]. These difficulties have motivated us to take a step back and thoroughly", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 591, + 504, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 504, + 603 + ], + "score": 1.0, + "content": "examine both the successes and failures of transformers from empirical and theoretical perspectives", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 603, + 243, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 243, + 614 + ], + "score": 1.0, + "content": "on compositional reasoning tasks.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "Challenges of transformers in compositional tasks Transformers perform fairly well in single-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "step reasoning tasks [70], but face challenges when it comes to effectively combining multiple steps to", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 643, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 660 + ], + "score": 1.0, + "content": "solve compositionally complex problems [84, 55, 66, 81]. Recent research has focused on overcoming", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "these limitations through various approaches. First, fine-tuning transformers to directly generate", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 667, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 681 + ], + "score": 1.0, + "content": "the final answer while keeping the reasoning implicit [7, 18]. Second, encouraging transformers to", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "score": 1.0, + "content": "generate reasoning steps explicitly within a single generation [55, 80, 44, 42]. For example, Nye et al.", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 687, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 507, + 703 + ], + "score": 1.0, + "content": "[55] and Zhou et al. [86] used scratchpads to teach transformers how to perform algorithmic reasoning", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "tasks such as addition by splitting the task into intermediate steps [44, 80]. Further, leveraging LLMs", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "to generate each reasoning step iteratively via a selection and inference mechanism [20, 19, 72].", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 48 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 180, + 84 + ], + "lines": [ + { + "bbox": [ + 104, + 69, + 181, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 69, + 181, + 87 + ], + "score": 1.0, + "content": "5 Discussion", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 95, + 505, + 237 + ], + "lines": [ + { + "bbox": [ + 106, + 95, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 106, + 95, + 506, + 108 + ], + "score": 1.0, + "content": "Collapsed Compositionality and Robustness Implications Transformers today demonstrate", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 506, + 119 + ], + "score": 1.0, + "content": "undeniably powerful empirical results. Yet, our study suggests that they may have fundamental", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "weaknesses in certain intellectual tasks that require true multi-step compositional operations such as", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 505, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 505, + 141 + ], + "score": 1.0, + "content": "multiplications and logic puzzles. Our careful study based on the computation graph and analyses", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 505, + 151 + ], + "score": 1.0, + "content": "demonstrates that transformers can often solve multi-step compositional problems by collapsing the", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 505, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 505, + 164 + ], + "score": 1.0, + "content": "depth of the compositional operations via analogical pattern matching. More broadly, our findings", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 160, + 506, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 506, + 173 + ], + "score": 1.0, + "content": "suggest that the strong performance of transformers should be taken with a certain grain of salt:", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 170, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 170, + 505, + 185 + ], + "score": 1.0, + "content": "Despite initially appearing challenging, certain tasks may not possess the inherent compositionality", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 182, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 195 + ], + "score": 1.0, + "content": "they seem to have. This is due to the fact that desired solutions could be readily derived from", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 505, + 206 + ], + "score": 1.0, + "content": "input-output sequences present in the training data, allowing for shortcut pattern matching to produce", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "acceptable solutions. However, such an approach can ultimately result in poor generalization as shown", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 213, + 505, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 505, + 229 + ], + "score": 1.0, + "content": "in our study. For example, fine-tuning GPT3 on our tasks both with and without explicit reasoning", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 225, + 503, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 503, + 240 + ], + "score": 1.0, + "content": "graphs shows that models’ learning fails to generalize beyond levels of complexity seen in training.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 95, + 506, + 240 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 247, + 505, + 390 + ], + "lines": [ + { + "bbox": [ + 106, + 246, + 507, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 450, + 261 + ], + "score": 1.0, + "content": "Theoretical Findings and their Empirical Implications The proofs presented in", + "type": "text" + }, + { + "bbox": [ + 450, + 248, + 461, + 258 + ], + "score": 0.49, + "content": "\\ S 4", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 246, + 507, + 261 + ], + "score": 1.0, + "content": "show that,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 258, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 272 + ], + "score": 1.0, + "content": "under reasonable assumptions, the probability of incorrect predictions converges exponentially to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 269, + 505, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 125, + 280 + ], + "score": 0.78, + "content": "\\approx 1", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 269, + 505, + 282 + ], + "score": 1.0, + "content": "for abstract compositional tasks. Importantly, these proofs apply to autoregressive LMs in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 506, + 293 + ], + "score": 1.0, + "content": "general. Our insights indicate that the current configuration of transformers, with their reliance", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 304 + ], + "score": 1.0, + "content": "on a greedy process for predicting the next word, constrains their error recovery capability and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 302, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 505, + 315 + ], + "score": 1.0, + "content": "impedes the development of a comprehensive global understanding of the task. Building on these", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 313, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 506, + 326 + ], + "score": 1.0, + "content": "findings, we suggest several empirical strategies for harnessing the potential of transformers. Firstly,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 505, + 336 + ], + "score": 1.0, + "content": "transformers may be employed in ways that require chaining only a few compositional steps to reach", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 506, + 348 + ], + "score": 1.0, + "content": "a solution rather than lengthy reasoning steps (e.g., [35]). Secondly, transformers may be best suited", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 344, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 104, + 344, + 506, + 360 + ], + "score": 1.0, + "content": "for compositional tasks where evaluation metrics can afford some leniency; for example, finding", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 356, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 506, + 370 + ], + "score": 1.0, + "content": "approximate solutions that do not require executing the whole graph, such as identifying the most", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 366, + 506, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 381 + ], + "score": 1.0, + "content": "significant digit in a multiplication. Finally, we suggest augmenting transformers with planning", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 378, + 507, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 507, + 392 + ], + "score": 1.0, + "content": "modules as well as using refinement methods, that can iteratively improve their generations [82, 48].", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 246, + 507, + 392 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 399, + 505, + 477 + ], + "lines": [ + { + "bbox": [ + 106, + 400, + 506, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 506, + 412 + ], + "score": 1.0, + "content": "Call for Broad Participation to Investigate Limitations Identification of limitations is an im-", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 411, + 506, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 506, + 423 + ], + "score": 1.0, + "content": "portant step towards achieving greater robustness. Our study suggests fundamental limitations that", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 422, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 506, + 434 + ], + "score": 1.0, + "content": "impede transformers from fully mastering certain compositional operations. However, we acknowl-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 432, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 447 + ], + "score": 1.0, + "content": "edge that due to our compute budget constraints as well as limited access to the largest language", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "models such as GPT4, we are unable to push the empirical limits of transformers even further in terms", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 454, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 454, + 505, + 467 + ], + "score": 1.0, + "content": "of training data size and number of epochs. We invite the broader research community, particularly", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 465, + 480, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 480, + 478 + ], + "score": 1.0, + "content": "those with more extensive resources at their disposal, to investigate these possibilities further.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 400, + 506, + 478 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 490, + 197, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 489, + 198, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 198, + 505 + ], + "score": 1.0, + "content": "6 Related Work", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 107, + 514, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 106, + 515, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 505, + 527 + ], + "score": 1.0, + "content": "Reasoning abilities in transformer LLMs Recently, transformers [11, 58, 57, 17, 16, 63, 73, 74]", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 523, + 507, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 507, + 540 + ], + "score": 1.0, + "content": "have demonstrated impressive reasoning abilities across a wide range of tasks, even outperforming", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 536, + 506, + 548 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 506, + 548 + ], + "score": 1.0, + "content": "humans in certain cases [79, 28, 15, 85]. This success has been largely attributed to the scaling effect,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 548, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 548, + 505, + 559 + ], + "score": 1.0, + "content": "where larger models and training datasets result in improved performance [38, 33, 1]. However, these", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 558, + 506, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 571 + ], + "score": 1.0, + "content": "models have also been shown to struggle across multiple domains [32], including algorithmic reason-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 582 + ], + "score": 1.0, + "content": "ing [78], commonsense reasoning [62, 40], theory of mind [65], planning [76], logical reasoning [70],", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 505, + 593 + ], + "score": 1.0, + "content": "and ethical reasoning [36]. These difficulties have motivated us to take a step back and thoroughly", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 591, + 504, + 603 + ], + "spans": [ + { + "bbox": [ + 106, + 591, + 504, + 603 + ], + "score": 1.0, + "content": "examine both the successes and failures of transformers from empirical and theoretical perspectives", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 603, + 243, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 243, + 614 + ], + "score": 1.0, + "content": "on compositional reasoning tasks.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 515, + 507, + 614 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 506, + 636 + ], + "score": 1.0, + "content": "Challenges of transformers in compositional tasks Transformers perform fairly well in single-", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 505, + 648 + ], + "score": 1.0, + "content": "step reasoning tasks [70], but face challenges when it comes to effectively combining multiple steps to", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 643, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 506, + 660 + ], + "score": 1.0, + "content": "solve compositionally complex problems [84, 55, 66, 81]. Recent research has focused on overcoming", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "these limitations through various approaches. First, fine-tuning transformers to directly generate", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 667, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 681 + ], + "score": 1.0, + "content": "the final answer while keeping the reasoning implicit [7, 18]. Second, encouraging transformers to", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 507, + 691 + ], + "score": 1.0, + "content": "generate reasoning steps explicitly within a single generation [55, 80, 44, 42]. For example, Nye et al.", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 687, + 507, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 507, + 703 + ], + "score": 1.0, + "content": "[55] and Zhou et al. [86] used scratchpads to teach transformers how to perform algorithmic reasoning", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "tasks such as addition by splitting the task into intermediate steps [44, 80]. Further, leveraging LLMs", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "to generate each reasoning step iteratively via a selection and inference mechanism [20, 19, 72].", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 48, + "bbox_fs": [ + 105, + 623, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 73, + 505, + 149 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Lastly, choosing a training split that maximizes the number of observed patterns between the train and", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 97 + ], + "score": 1.0, + "content": "test data [10], or diversifying in-prompt examples to cover the maximum of patterns [41], ultimately", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 505, + 107 + ], + "score": 1.0, + "content": "enhancing generalization. The primary focus of these studies is to enhance model performance on", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 504, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 504, + 118 + ], + "score": 1.0, + "content": "compositional problems without striving for complete mastery. In contrast, our work explores the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 427, + 129 + ], + "score": 1.0, + "content": "fundamental limits of vanilla transformers in achieving full mastery, striving for", + "type": "text" + }, + { + "bbox": [ + 427, + 117, + 451, + 127 + ], + "score": 0.88, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 116, + 505, + 129 + ], + "score": 1.0, + "content": "performance", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 126, + 505, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 140 + ], + "score": 1.0, + "content": "in both in-domain and OOD settings. Our findings show that reaching full mastery is inherently", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 138, + 358, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 358, + 151 + ], + "score": 1.0, + "content": "challenging, providing insights into the complexities involved.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 281 + ], + "lines": [ + { + "bbox": [ + 106, + 160, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 505, + 173 + ], + "score": 1.0, + "content": "Challenges of transformers in generalization Extensive research has been done to investigate the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 171, + 506, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 184 + ], + "score": 1.0, + "content": "generalization capabilities of transformers [3, 54, 26, 64, 8, 46]. This encompasses various facets of", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 182, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 195 + ], + "score": 1.0, + "content": "generalization, including easy-to-hard generalization [67, 4], length generalization [2, 60, 13, 54, 8],", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 194, + 506, + 206 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 506, + 206 + ], + "score": 1.0, + "content": "and generalization on symbolic mathematical integration [83]. Schwarzschild et al. [67] and Bansal et", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "al. [4] employ weight-tied neural networks to generalize from easy to hard examples. Liu et al., [45]", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 507, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 507, + 228 + ], + "score": 1.0, + "content": "found that shallow transformers learn shortcuts during training, leading to poor OOD generalization.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 226, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 506, + 239 + ], + "score": 1.0, + "content": "Razeghi et al. [64] revealed a positive correlation between the frequency of training terms and their", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 237, + 506, + 250 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 506, + 250 + ], + "score": 1.0, + "content": "test performance. Building upon this line of inquiry, we present a more rigorous examination of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 249, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 505, + 260 + ], + "score": 1.0, + "content": "sub-graph matching between training and test instances for complex compositional tasks where we", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "demonstrate how pattern matching can hinder generalization. We complement our empirical results", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 270, + 300, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 300, + 281 + ], + "score": 1.0, + "content": "with theoretical insights on transformers’ limits.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 292, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 106, + 291, + 506, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 506, + 305 + ], + "score": 1.0, + "content": "Grokking The phenomena of models’ gaining generalization capabilities when training signifi-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 303, + 505, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 316 + ], + "score": 1.0, + "content": "cantly beyond overfitting, known as grokking was recently introduced in [59]. Subsequent works", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "focus on characterizing when and why grokking arises: [47] show that perfect generalization in an", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "score": 1.0, + "content": "arithmetic addition task happens when there is sufficient data to determine the appropriate structured", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "score": 1.0, + "content": "representation, later extended to sparse parity in [52] where a sparse subnetwork of neurons is shown", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 346, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 506, + 360 + ], + "score": 1.0, + "content": "responsible for generalization behavior. Recently, [77] propose that grokking occurs when a task", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "score": 1.0, + "content": "admits a generalizing and a memorizing solution, and the former is slower to learn. In this present", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 369, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 505, + 380 + ], + "score": 1.0, + "content": "work, our aim is not to explain grokking but rather to observe its emergence. We do not observe", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 380, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 392 + ], + "score": 1.0, + "content": "grokking arising in the context of multiplication, and we leave it to future work to explore whether", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 389, + 469, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 469, + 403 + ], + "score": 1.0, + "content": "this may be due to task difficulty hindering the learning of well-structured representations.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 500 + ], + "lines": [ + { + "bbox": [ + 105, + 412, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 426 + ], + "score": 1.0, + "content": "Transformers’ theoretical expressiveness Lin et al. [43] study autoregressive models’ limitations", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 423, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 436 + ], + "score": 1.0, + "content": "from a computational complexity theory perspective. Transformer-specific work has focused on", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 435, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 505, + 447 + ], + "score": 1.0, + "content": "quantifying the class of problems that (not necessarily autoregressive) transformers can express", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 445, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 506, + 459 + ], + "score": 1.0, + "content": "assuming perfect parameters [51, 50, 14, 49, inter alia]. All tasks analyzed in our work belong to a", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 456, + 506, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 470 + ], + "score": 1.0, + "content": "class expressible by transformers, suggesting that known upper bound might not be tight. Importantly,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 467, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 506, + 480 + ], + "score": 1.0, + "content": "Hahn [30] shows that transformers cannot robustly model noncounter-free regular languages even", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 478, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 505, + 490 + ], + "score": 1.0, + "content": "when allowing infinite precision. In contrast, our focus is on error accumulation, which enables to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 489, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 501 + ], + "score": 1.0, + "content": "investigate if reasoning tasks theoretically solvable by transformers are likely to be solved by them.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 107, + 505, + 392, + 516 + ], + "lines": [ + { + "bbox": [ + 106, + 505, + 393, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 377, + 518 + ], + "score": 1.0, + "content": "Additional literature and societal impact discussion can be found in", + "type": "text" + }, + { + "bbox": [ + 378, + 506, + 390, + 516 + ], + "score": 0.82, + "content": "\\ S \\mathrm { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 505, + 393, + 518 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "title", + "bbox": [ + 107, + 528, + 188, + 542 + ], + "lines": [ + { + "bbox": [ + 104, + 526, + 190, + 545 + ], + "spans": [ + { + "bbox": [ + 104, + 526, + 190, + 545 + ], + "score": 1.0, + "content": "7 Conclusions", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 548, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 106, + 547, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 506, + 560 + ], + "score": 1.0, + "content": "On a broader scope, as transformers continue to gain widespread deployment with significant real-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 559, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 505, + 572 + ], + "score": 1.0, + "content": "world impacts, it is ever more urgent to understand their successes and failures. Our study critically", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "investigates transformers’ limitations and emphasizes the need to develop models capable of robust", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "score": 1.0, + "content": "generalization and systematic problem-solving. By examining the compositional capabilities of these", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "models, we aspire to work towards more reliable AI systems that excel not only in tasks where", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 602, + 507, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 507, + 616 + ], + "score": 1.0, + "content": "abundant training examples are sufficient, but also in cases requiring precise compositional reasoning.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5 + }, + { + "type": "title", + "bbox": [ + 107, + 626, + 185, + 639 + ], + "lines": [ + { + "bbox": [ + 104, + 624, + 187, + 641 + ], + "spans": [ + { + "bbox": [ + 104, + 624, + 187, + 641 + ], + "score": 1.0, + "content": "8 Limitations", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 645, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "We focus on analyzing compositional reasoning capabilities through the lens of computation graphs.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "Although they are a useful way to systematically represent rigorous reasoning processes, it is important", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "to note that for the scratchpad approach, we are limited to only establishing a correlation between the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "score": 1.0, + "content": "model generation and its preceding context, as we cannot inspect the exact tokens model attends to", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "when making the prediction. This limitation arises from our lack of access to the activations of the", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "studied models. Furthermore, we posit that alternative approaches to linearizing reasoning processes", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 711, + 440, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 440, + 723 + ], + "score": 1.0, + "content": "may yield different performances and provide opportunities for further exploration.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 48 + } + ], + "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, + 73, + 505, + 149 + ], + "lines": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 73, + 505, + 85 + ], + "score": 1.0, + "content": "Lastly, choosing a training split that maximizes the number of observed patterns between the train and", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 505, + 97 + ], + "score": 1.0, + "content": "test data [10], or diversifying in-prompt examples to cover the maximum of patterns [41], ultimately", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 95, + 505, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 505, + 107 + ], + "score": 1.0, + "content": "enhancing generalization. The primary focus of these studies is to enhance model performance on", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 106, + 504, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 504, + 118 + ], + "score": 1.0, + "content": "compositional problems without striving for complete mastery. In contrast, our work explores the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 427, + 129 + ], + "score": 1.0, + "content": "fundamental limits of vanilla transformers in achieving full mastery, striving for", + "type": "text" + }, + { + "bbox": [ + 427, + 117, + 451, + 127 + ], + "score": 0.88, + "content": "100 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 116, + 505, + 129 + ], + "score": 1.0, + "content": "performance", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 126, + 505, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 140 + ], + "score": 1.0, + "content": "in both in-domain and OOD settings. Our findings show that reaching full mastery is inherently", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 138, + 358, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 358, + 151 + ], + "score": 1.0, + "content": "challenging, providing insights into the complexities involved.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 73, + 505, + 151 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 160, + 505, + 281 + ], + "lines": [ + { + "bbox": [ + 106, + 160, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 505, + 173 + ], + "score": 1.0, + "content": "Challenges of transformers in generalization Extensive research has been done to investigate the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 171, + 506, + 184 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 184 + ], + "score": 1.0, + "content": "generalization capabilities of transformers [3, 54, 26, 64, 8, 46]. This encompasses various facets of", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 182, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 195 + ], + "score": 1.0, + "content": "generalization, including easy-to-hard generalization [67, 4], length generalization [2, 60, 13, 54, 8],", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 194, + 506, + 206 + ], + "spans": [ + { + "bbox": [ + 106, + 194, + 506, + 206 + ], + "score": 1.0, + "content": "and generalization on symbolic mathematical integration [83]. Schwarzschild et al. [67] and Bansal et", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 204, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 505, + 217 + ], + "score": 1.0, + "content": "al. [4] employ weight-tied neural networks to generalize from easy to hard examples. Liu et al., [45]", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 214, + 507, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 507, + 228 + ], + "score": 1.0, + "content": "found that shallow transformers learn shortcuts during training, leading to poor OOD generalization.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 226, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 506, + 239 + ], + "score": 1.0, + "content": "Razeghi et al. [64] revealed a positive correlation between the frequency of training terms and their", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 237, + 506, + 250 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 506, + 250 + ], + "score": 1.0, + "content": "test performance. Building upon this line of inquiry, we present a more rigorous examination of", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 249, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 505, + 260 + ], + "score": 1.0, + "content": "sub-graph matching between training and test instances for complex compositional tasks where we", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 505, + 271 + ], + "score": 1.0, + "content": "demonstrate how pattern matching can hinder generalization. We complement our empirical results", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 270, + 300, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 300, + 281 + ], + "score": 1.0, + "content": "with theoretical insights on transformers’ limits.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 160, + 507, + 281 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 292, + 505, + 402 + ], + "lines": [ + { + "bbox": [ + 106, + 291, + 506, + 305 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 506, + 305 + ], + "score": 1.0, + "content": "Grokking The phenomena of models’ gaining generalization capabilities when training signifi-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 303, + 505, + 316 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 316 + ], + "score": 1.0, + "content": "cantly beyond overfitting, known as grokking was recently introduced in [59]. Subsequent works", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "focus on characterizing when and why grokking arises: [47] show that perfect generalization in an", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 506, + 338 + ], + "score": 1.0, + "content": "arithmetic addition task happens when there is sufficient data to determine the appropriate structured", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 506, + 349 + ], + "score": 1.0, + "content": "representation, later extended to sparse parity in [52] where a sparse subnetwork of neurons is shown", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 346, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 506, + 360 + ], + "score": 1.0, + "content": "responsible for generalization behavior. Recently, [77] propose that grokking occurs when a task", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 370 + ], + "score": 1.0, + "content": "admits a generalizing and a memorizing solution, and the former is slower to learn. In this present", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 369, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 369, + 505, + 380 + ], + "score": 1.0, + "content": "work, our aim is not to explain grokking but rather to observe its emergence. We do not observe", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 380, + 506, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 506, + 392 + ], + "score": 1.0, + "content": "grokking arising in the context of multiplication, and we leave it to future work to explore whether", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 389, + 469, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 469, + 403 + ], + "score": 1.0, + "content": "this may be due to task difficulty hindering the learning of well-structured representations.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 291, + 506, + 403 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 505, + 500 + ], + "lines": [ + { + "bbox": [ + 105, + 412, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 505, + 426 + ], + "score": 1.0, + "content": "Transformers’ theoretical expressiveness Lin et al. [43] study autoregressive models’ limitations", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 423, + 505, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 436 + ], + "score": 1.0, + "content": "from a computational complexity theory perspective. Transformer-specific work has focused on", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 435, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 505, + 447 + ], + "score": 1.0, + "content": "quantifying the class of problems that (not necessarily autoregressive) transformers can express", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 445, + 506, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 506, + 459 + ], + "score": 1.0, + "content": "assuming perfect parameters [51, 50, 14, 49, inter alia]. All tasks analyzed in our work belong to a", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 456, + 506, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 470 + ], + "score": 1.0, + "content": "class expressible by transformers, suggesting that known upper bound might not be tight. Importantly,", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 467, + 506, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 506, + 480 + ], + "score": 1.0, + "content": "Hahn [30] shows that transformers cannot robustly model noncounter-free regular languages even", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 478, + 505, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 505, + 490 + ], + "score": 1.0, + "content": "when allowing infinite precision. In contrast, our focus is on error accumulation, which enables to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 489, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 505, + 501 + ], + "score": 1.0, + "content": "investigate if reasoning tasks theoretically solvable by transformers are likely to be solved by them.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 412, + 506, + 501 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 505, + 392, + 516 + ], + "lines": [ + { + "bbox": [ + 106, + 505, + 393, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 377, + 518 + ], + "score": 1.0, + "content": "Additional literature and societal impact discussion can be found in", + "type": "text" + }, + { + "bbox": [ + 378, + 506, + 390, + 516 + ], + "score": 0.82, + "content": "\\ S \\mathrm { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 505, + 393, + 518 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36, + "bbox_fs": [ + 106, + 505, + 393, + 518 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 528, + 188, + 542 + ], + "lines": [ + { + "bbox": [ + 104, + 526, + 190, + 545 + ], + "spans": [ + { + "bbox": [ + 104, + 526, + 190, + 545 + ], + "score": 1.0, + "content": "7 Conclusions", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 548, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 106, + 547, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 506, + 560 + ], + "score": 1.0, + "content": "On a broader scope, as transformers continue to gain widespread deployment with significant real-", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 559, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 505, + 572 + ], + "score": 1.0, + "content": "world impacts, it is ever more urgent to understand their successes and failures. Our study critically", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "investigates transformers’ limitations and emphasizes the need to develop models capable of robust", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 506, + 594 + ], + "score": 1.0, + "content": "generalization and systematic problem-solving. By examining the compositional capabilities of these", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "models, we aspire to work towards more reliable AI systems that excel not only in tasks where", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 602, + 507, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 507, + 616 + ], + "score": 1.0, + "content": "abundant training examples are sufficient, but also in cases requiring precise compositional reasoning.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 547, + 507, + 616 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 626, + 185, + 639 + ], + "lines": [ + { + "bbox": [ + 104, + 624, + 187, + 641 + ], + "spans": [ + { + "bbox": [ + 104, + 624, + 187, + 641 + ], + "score": 1.0, + "content": "8 Limitations", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 107, + 645, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "We focus on analyzing compositional reasoning capabilities through the lens of computation graphs.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "Although they are a useful way to systematically represent rigorous reasoning processes, it is important", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 505, + 680 + ], + "score": 1.0, + "content": "to note that for the scratchpad approach, we are limited to only establishing a correlation between the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 691 + ], + "score": 1.0, + "content": "model generation and its preceding context, as we cannot inspect the exact tokens model attends to", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 701 + ], + "score": 1.0, + "content": "when making the prediction. This limitation arises from our lack of access to the activations of the", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 713 + ], + "score": 1.0, + "content": "studied models. Furthermore, we posit that alternative approaches to linearizing reasoning processes", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 711, + 440, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 440, + 723 + ], + "score": 1.0, + "content": "may yield different performances and provide opportunities for further exploration.", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 48, + "bbox_fs": [ + 105, + 644, + 505, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 71, + 207, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 69, + 208, + 87 + ], + "spans": [ + { + "bbox": [ + 106, + 69, + 208, + 87 + ], + "score": 1.0, + "content": "Acknowledgements", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 97, + 505, + 141 + ], + "lines": [ + { + "bbox": [ + 105, + 96, + 505, + 109 + ], + "spans": [ + { + "bbox": [ + 105, + 96, + 505, + 109 + ], + "score": 1.0, + "content": "We thank members of the Mosaic team at AI2 for valuable feedback on this project, as well as Agustín", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 108, + 505, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 108, + 505, + 120 + ], + "score": 1.0, + "content": "Santiago Gutiérrez and Kawin Ethayarajh for valuable discussions. 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The person who loves tennis and the person who loves soccer are next to each", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 111, + 212, + 142, + 223 + ], + "spans": [ + { + "bbox": [ + 111, + 212, + 142, + 223 + ], + "score": 1.0, + "content": "other.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 111, + 233, + 495, + 253 + ], + "lines": [ + { + "bbox": [ + 111, + 231, + 497, + 244 + ], + "spans": [ + { + "bbox": [ + 111, + 231, + 497, + 244 + ], + "score": 1.0, + "content": "Let's think step by step. 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We know that The Name in house", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 113, + 361, + 478, + 373 + ], + "spans": [ + { + "bbox": [ + 113, + 361, + 478, + 373 + ], + "score": 1.0, + "content": "1 is eric. The FavoriteSport in house 1 is basketball. The Name in house 2 is", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 111, + 372, + 143, + 383 + ], + "spans": [ + { + "bbox": [ + 111, + 372, + 143, + 383 + ], + "score": 1.0, + "content": "peter.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 111, + 383, + 477, + 402 + ], + "lines": [ + { + "bbox": [ + 111, + 381, + 478, + 393 + ], + "spans": [ + { + "bbox": [ + 111, + 381, + 478, + 393 + ], + "score": 1.0, + "content": "Step 3: Then apply clue We know", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 111, + 390, + 327, + 404 + ], + "spans": [ + { + "bbox": [ + 111, + 390, + 327, + 404 + ], + "score": 1.0, + "content": "that The CarModel in house 1 is toyota camry.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 111, + 403, + 496, + 432 + ], + "lines": [ + { + "bbox": [ + 110, + 401, + 488, + 413 + ], + "spans": [ + { + "bbox": [ + 110, + 401, + 488, + 413 + ], + "score": 1.0, + "content": "Step 4: Then apply clue and Unique Values We know that The CarModel in", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 111, + 421, + 410, + 433 + ], + "spans": [ + { + "bbox": [ + 111, + 421, + 410, + 433 + ], + "score": 1.0, + "content": "house 2 is ford f150. The CarModel in house 3 is tesla model 3.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 111, + 432, + 495, + 460 + ], + "lines": [ + { + "bbox": [ + 111, + 431, + 496, + 442 + ], + "spans": [ + { + "bbox": [ + 111, + 431, + 496, + 442 + ], + "score": 1.0, + "content": "Step 5: Then apply clue and Unique Values We know that The FavoriteSport in house 2 is tennis.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 110, + 451, + 295, + 462 + ], + "spans": [ + { + "bbox": [ + 110, + 451, + 295, + 462 + ], + "score": 1.0, + "content": "The FavoriteSport in house 3 is soccer.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 113, + 482, + 184, + 491 + ], + "lines": [ + { + "bbox": [ + 111, + 480, + 186, + 492 + ], + "spans": [ + { + "bbox": [ + 111, + 480, + 186, + 492 + ], + "score": 1.0, + "content": "Final solution:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "image", + "bbox": [ + 113, + 492, + 393, + 523 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 113, + 492, + 393, + 523 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 492, + 393, + 523 + ], + "spans": [ + { + "bbox": [ + 113, + 492, + 393, + 523 + ], + "score": 0.638, + "type": "image", + "image_path": "35e7023a8afea770feed4ae01a02697069ccf61e195d148ff2f86c09a94841ff.jpg" + } + ] + } + ], + "index": 36, + "virtual_lines": [ + { + "bbox": [ + 113, + 492, + 393, + 502.3333333333333 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 113, + 502.3333333333333, + 393, + 512.6666666666666 + ], + "spans": [], + "index": 36 + }, + { + "bbox": [ + 113, + 512.6666666666666, + 393, + 523.0 + ], + "spans": [], + "index": 37 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 201, + 541, + 409, + 552 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 201, + 540, + 409, + 554 + ], + "spans": [ + { + "bbox": [ + 201, + 540, + 409, + 554 + ], + "score": 1.0, + "content": "Figure 11: A sample scratchpad for the puzzle task.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + } + ], + "index": 37.0 + }, + { + "type": "text", + "bbox": [ + 107, + 573, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 572, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 587 + ], + "score": 1.0, + "content": "unique solution, as previously sampled. This process ensures a coherent and engaging puzzle-solving", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 584, + 295, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 295, + 597 + ], + "score": 1.0, + "content": "experience. Refer to Figure 10 for an example.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 106, + 607, + 505, + 696 + ], + "lines": [ + { + "bbox": [ + 105, + 606, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 621 + ], + "score": 1.0, + "content": "Graph Construction Algorithm To solve the complex compositional reasoning process for a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 618, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 632 + ], + "score": 1.0, + "content": "logical grid puzzle, we use existing puzzle solvers [21] to generate the computation graph. It follows", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 628, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 643 + ], + "score": 1.0, + "content": "the basic greedy principle of applying the minimum number of rules to solve any cell, i.e., if using", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "only one rule to solve any given cell, then apply this rule. This algorithm iterates through all clues in", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 651, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 505, + 664 + ], + "score": 1.0, + "content": "the clue set until one or a set of clue combinations can solve any cell in the table. While it may not be", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 662, + 505, + 674 + ], + "spans": [ + { + "bbox": [ + 106, + 662, + 505, + 674 + ], + "score": 1.0, + "content": "the most efficient way to solve the puzzle, it provides models with explicit scratchpad verbalization", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 673, + 506, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 506, + 686 + ], + "score": 1.0, + "content": "through an intuitive computation graph. Refer to Figure 10 for the pseudo-code of the process, and", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 684, + 252, + 697 + ], + "spans": [ + { + "bbox": [ + 105, + 684, + 252, + 697 + ], + "score": 1.0, + "content": "Figure 11 for a scratchpad example.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 44.5 + } + ], + "page_idx": 20, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 310, + 750 + ], + "lines": [ + { + "bbox": [ + 298, + 740, + 312, + 755 + ], + "spans": [ + { + "bbox": [ + 298, + 740, + 312, + 755 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 111, + 83, + 496, + 103 + ], + "lines": [ + { + "bbox": [ + 112, + 82, + 473, + 94 + ], + "spans": [ + { + "bbox": [ + 112, + 82, + 473, + 94 + ], + "score": 1.0, + "content": "This is a logic puzzle. There are 3 houses (numbered 1 on the left, 3 on the", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 111, + 91, + 497, + 105 + ], + "spans": [ + { + "bbox": [ + 111, + 91, + 497, + 105 + ], + "score": 1.0, + "content": "right). Each has a different person in them. They have different characteristics:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 111, + 82, + 497, + 105 + ] + }, + { + "type": "text", + "bbox": [ + 115, + 104, + 443, + 133 + ], + "lines": [ + { + "bbox": [ + 121, + 103, + 360, + 114 + ], + "spans": [ + { + "bbox": [ + 121, + 103, + 360, + 114 + ], + "score": 1.0, + "content": "Each person has a unique name: peter, eric, arnold", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 119, + 111, + 431, + 125 + ], + "spans": [ + { + "bbox": [ + 119, + 111, + 431, + 125 + ], + "score": 1.0, + "content": "People have different favorite sports: soccer, tennis, basketball", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 119, + 120, + 445, + 135 + ], + "spans": [ + { + "bbox": [ + 119, + 120, + 445, + 135 + ], + "score": 1.0, + "content": "People own different car models: tesla model 3, ford f150, toyota ca", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3, + "bbox_fs": [ + 119, + 103, + 445, + 135 + ] + }, + { + "type": "text", + "bbox": [ + 128, + 143, + 425, + 153 + ], + "lines": [ + { + "bbox": [ + 127, + 142, + 426, + 154 + ], + "spans": [ + { + "bbox": [ + 127, + 142, + 426, + 154 + ], + "score": 1.0, + "content": "The person who owns a Ford F-150 is the person who loves tennis.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5, + "bbox_fs": [ + 127, + 142, + 426, + 154 + ] + }, + { + "type": "text", + "bbox": [ + 114, + 154, + 262, + 162 + ], + "lines": [ + { + "bbox": [ + 113, + 153, + 263, + 163 + ], + "spans": [ + { + "bbox": [ + 113, + 153, + 263, + 163 + ], + "score": 1.0, + "content": "2. Arnold is in the third house.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 113, + 153, + 263, + 163 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 163, + 486, + 182 + ], + "lines": [ + { + "bbox": [ + 109, + 161, + 488, + 175 + ], + "spans": [ + { + "bbox": [ + 109, + 161, + 488, + 175 + ], + "score": 1.0, + "content": "3. The person who owns a Toyota Camry is directly left of the person who owns a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 111, + 172, + 165, + 183 + ], + "spans": [ + { + "bbox": [ + 111, + 172, + 165, + 183 + ], + "score": 1.0, + "content": "Ford F-150.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 109, + 161, + 488, + 183 + ] + }, + { + "type": "text", + "bbox": [ + 117, + 183, + 327, + 192 + ], + "lines": [ + { + "bbox": [ + 116, + 182, + 329, + 194 + ], + "spans": [ + { + "bbox": [ + 116, + 182, + 329, + 194 + ], + "score": 1.0, + "content": "4. Eric is the person who owns a Toyota Camry.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9, + "bbox_fs": [ + 116, + 182, + 329, + 194 + ] + }, + { + "type": "text", + "bbox": [ + 115, + 194, + 315, + 202 + ], + "lines": [ + { + "bbox": [ + 114, + 193, + 315, + 203 + ], + "spans": [ + { + "bbox": [ + 114, + 193, + 315, + 203 + ], + "score": 1.0, + "content": "5. The person who loves basketball is Eric.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10, + "bbox_fs": [ + 114, + 193, + 315, + 203 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 203, + 486, + 222 + ], + "lines": [ + { + "bbox": [ + 110, + 202, + 488, + 214 + ], + "spans": [ + { + "bbox": [ + 110, + 202, + 488, + 214 + ], + "score": 1.0, + "content": "6. The person who loves tennis and the person who loves soccer are next to each", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 111, + 212, + 142, + 223 + ], + "spans": [ + { + "bbox": [ + 111, + 212, + 142, + 223 + ], + "score": 1.0, + "content": "other.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 110, + 202, + 488, + 223 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 233, + 495, + 253 + ], + "lines": [ + { + "bbox": [ + 111, + 231, + 497, + 244 + ], + "spans": [ + { + "bbox": [ + 111, + 231, + 497, + 244 + ], + "score": 1.0, + "content": "Let's think step by step. Please first briefly talk about your reasoning and show", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 110, + 241, + 402, + 254 + ], + "spans": [ + { + "bbox": [ + 110, + 241, + 402, + 254 + ], + "score": 1.0, + "content": "your final solution by filling the blanks in the below table.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 110, + 231, + 497, + 254 + ] + }, + { + "type": "text", + "bbox": [ + 112, + 262, + 345, + 294 + ], + "lines": [ + { + "bbox": [ + 113, + 261, + 327, + 273 + ], + "spans": [ + { + "bbox": [ + 113, + 263, + 119, + 272 + ], + "score": 0.69, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 261, + 154, + 273 + ], + "score": 1.0, + "content": "House:", + "type": "text" + }, + { + "bbox": [ + 173, + 263, + 181, + 272 + ], + "score": 0.53, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 262, + 210, + 273 + ], + "score": 1.0, + "content": "Name:", + "type": "text" + }, + { + "bbox": [ + 230, + 263, + 237, + 272 + ], + "score": 0.58, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 262, + 277, + 273 + ], + "score": 1.0, + "content": "Sports:", + "type": "text" + }, + { + "bbox": [ + 296, + 262, + 303, + 272 + ], + "score": 0.34, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 262, + 327, + 273 + ], + "score": 1.0, + "content": "Car:", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 113, + 271, + 328, + 284 + ], + "spans": [ + { + "bbox": [ + 113, + 273, + 119, + 282 + ], + "score": 0.72, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 271, + 154, + 283 + ], + "score": 1.0, + "content": "House:", + "type": "text" + }, + { + "bbox": [ + 173, + 273, + 181, + 282 + ], + "score": 0.54, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 271, + 210, + 283 + ], + "score": 1.0, + "content": "Name:", + "type": "text" + }, + { + "bbox": [ + 230, + 273, + 237, + 282 + ], + "score": 0.63, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 272, + 276, + 284 + ], + "score": 1.0, + "content": "Sports:", + "type": "text" + }, + { + "bbox": [ + 295, + 273, + 303, + 282 + ], + "score": 0.34, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 272, + 328, + 283 + ], + "score": 1.0, + "content": "Car:", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 113, + 281, + 327, + 293 + ], + "spans": [ + { + "bbox": [ + 113, + 283, + 119, + 292 + ], + "score": 0.68, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 120, + 281, + 154, + 293 + ], + "score": 1.0, + "content": "House:", + "type": "text" + }, + { + "bbox": [ + 173, + 283, + 181, + 292 + ], + "score": 0.49, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 281, + 210, + 293 + ], + "score": 1.0, + "content": "Name:", + "type": "text" + }, + { + "bbox": [ + 230, + 283, + 237, + 292 + ], + "score": 0.59, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 282, + 276, + 293 + ], + "score": 1.0, + "content": "Sports:", + "type": "text" + }, + { + "bbox": [ + 295, + 282, + 303, + 292 + ], + "score": 0.29, + "content": "\\$ 1", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 282, + 327, + 293 + ], + "score": 1.0, + "content": "Car:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16, + "bbox_fs": [ + 113, + 261, + 328, + 293 + ] + }, + { + "type": "text", + "bbox": [ + 113, + 303, + 160, + 312 + ], + "lines": [ + { + "bbox": [ + 111, + 300, + 163, + 314 + ], + "spans": [ + { + "bbox": [ + 111, + 300, + 163, + 314 + ], + "score": 1.0, + "content": "Reasoning:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 111, + 300, + 163, + 314 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 313, + 494, + 332 + ], + "lines": [ + { + "bbox": [ + 111, + 312, + 496, + 324 + ], + "spans": [ + { + "bbox": [ + 111, + 312, + 496, + 324 + ], + "score": 1.0, + "content": "Step 1: First apply clue We know that The Name in", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 111, + 322, + 198, + 332 + ], + "spans": [ + { + "bbox": [ + 111, + 322, + 198, + 332 + ], + "score": 1.0, + "content": "house 3 is arnold.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5, + "bbox_fs": [ + 111, + 312, + 496, + 332 + ] + }, + { + "type": "text", + "bbox": [ + 113, + 333, + 495, + 352 + ], + "lines": [ + { + "bbox": [ + 111, + 331, + 496, + 344 + ], + "spans": [ + { + "bbox": [ + 111, + 331, + 496, + 344 + ], + "score": 1.0, + "content": "Step 2: Then combine clues: ", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5, + "bbox_fs": [ + 111, + 331, + 496, + 352 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 353, + 496, + 382 + ], + "lines": [ + { + "bbox": [ + 111, + 351, + 497, + 363 + ], + "spans": [ + { + "bbox": [ + 111, + 351, + 497, + 363 + ], + "score": 1.0, + "content": "Unique Values Rules and the fixed table structure. We know that The Name in house", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 113, + 361, + 478, + 373 + ], + "spans": [ + { + "bbox": [ + 113, + 361, + 478, + 373 + ], + "score": 1.0, + "content": "1 is eric. The FavoriteSport in house 1 is basketball. The Name in house 2 is", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 111, + 372, + 143, + 383 + ], + "spans": [ + { + "bbox": [ + 111, + 372, + 143, + 383 + ], + "score": 1.0, + "content": "peter.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24, + "bbox_fs": [ + 111, + 351, + 497, + 383 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 383, + 477, + 402 + ], + "lines": [ + { + "bbox": [ + 111, + 381, + 478, + 393 + ], + "spans": [ + { + "bbox": [ + 111, + 381, + 478, + 393 + ], + "score": 1.0, + "content": "Step 3: Then apply clue We know", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 111, + 390, + 327, + 404 + ], + "spans": [ + { + "bbox": [ + 111, + 390, + 327, + 404 + ], + "score": 1.0, + "content": "that The CarModel in house 1 is toyota camry.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 111, + 381, + 478, + 404 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 403, + 496, + 432 + ], + "lines": [ + { + "bbox": [ + 110, + 401, + 488, + 413 + ], + "spans": [ + { + "bbox": [ + 110, + 401, + 488, + 413 + ], + "score": 1.0, + "content": "Step 4: Then apply clue and Unique Values We know that The CarModel in", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 111, + 421, + 410, + 433 + ], + "spans": [ + { + "bbox": [ + 111, + 421, + 410, + 433 + ], + "score": 1.0, + "content": "house 2 is ford f150. The CarModel in house 3 is tesla model 3.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29, + "bbox_fs": [ + 110, + 401, + 497, + 433 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 432, + 495, + 460 + ], + "lines": [ + { + "bbox": [ + 111, + 431, + 496, + 442 + ], + "spans": [ + { + "bbox": [ + 111, + 431, + 496, + 442 + ], + "score": 1.0, + "content": "Step 5: Then apply clue and Unique Values We know that The FavoriteSport in house 2 is tennis.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 110, + 451, + 295, + 462 + ], + "spans": [ + { + "bbox": [ + 110, + 451, + 295, + 462 + ], + "score": 1.0, + "content": "The FavoriteSport in house 3 is soccer.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32, + "bbox_fs": [ + 110, + 431, + 496, + 462 + ] + }, + { + "type": "text", + "bbox": [ + 113, + 482, + 184, + 491 + ], + "lines": [ + { + "bbox": [ + 111, + 480, + 186, + 492 + ], + "spans": [ + { + "bbox": [ + 111, + 480, + 186, + 492 + ], + "score": 1.0, + "content": "Final solution:", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34, + "bbox_fs": [ + 111, + 480, + 186, + 492 + ] + }, + { + "type": "image", + "bbox": [ + 113, + 492, + 393, + 523 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 113, + 492, + 393, + 523 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 113, + 492, + 393, + 523 + ], + "spans": [ + { + "bbox": [ + 113, + 492, + 393, + 523 + ], + "score": 0.638, + "type": "image", + "image_path": "35e7023a8afea770feed4ae01a02697069ccf61e195d148ff2f86c09a94841ff.jpg" + } + ] + } + ], + "index": 36, + "virtual_lines": [ + { + "bbox": [ + 113, + 492, + 393, + 502.3333333333333 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 113, + 502.3333333333333, + 393, + 512.6666666666666 + ], + "spans": [], + "index": 36 + }, + { + "bbox": [ + 113, + 512.6666666666666, + 393, + 523.0 + ], + "spans": [], + "index": 37 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 201, + 541, + 409, + 552 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 201, + 540, + 409, + 554 + ], + "spans": [ + { + "bbox": [ + 201, + 540, + 409, + 554 + ], + "score": 1.0, + "content": "Figure 11: A sample scratchpad for the puzzle task.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + } + ], + "index": 37.0 + }, + { + "type": "text", + "bbox": [ + 107, + 573, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 572, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 587 + ], + "score": 1.0, + "content": "unique solution, as previously sampled. This process ensures a coherent and engaging puzzle-solving", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 584, + 295, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 295, + 597 + ], + "score": 1.0, + "content": "experience. Refer to Figure 10 for an example.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 572, + 505, + 597 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 607, + 505, + 696 + ], + "lines": [ + { + "bbox": [ + 105, + 606, + 506, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 506, + 621 + ], + "score": 1.0, + "content": "Graph Construction Algorithm To solve the complex compositional reasoning process for a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 618, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 506, + 632 + ], + "score": 1.0, + "content": "logical grid puzzle, we use existing puzzle solvers [21] to generate the computation graph. It follows", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 628, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 506, + 643 + ], + "score": 1.0, + "content": "the basic greedy principle of applying the minimum number of rules to solve any cell, i.e., if using", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "only one rule to solve any given cell, then apply this rule. This algorithm iterates through all clues in", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 651, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 505, + 664 + ], + "score": 1.0, + "content": "the clue set until one or a set of clue combinations can solve any cell in the table. While it may not be", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 662, + 505, + 674 + ], + "spans": [ + { + "bbox": [ + 106, + 662, + 505, + 674 + ], + "score": 1.0, + "content": "the most efficient way to solve the puzzle, it provides models with explicit scratchpad verbalization", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 673, + 506, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 673, + 506, + 686 + ], + "score": 1.0, + "content": "through an intuitive computation graph. Refer to Figure 10 for the pseudo-code of the process, and", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 684, + 252, + 697 + ], + "spans": [ + { + "bbox": [ + 105, + 684, + 252, + 697 + ], + "score": 1.0, + "content": "Figure 11 for a scratchpad example.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 44.5, + "bbox_fs": [ + 105, + 606, + 506, + 697 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 72, + 272, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 71, + 273, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 273, + 87 + ], + "score": 1.0, + "content": "A.3 Dynamic Programming Problem", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 107, + 92, + 243, + 104 + ], + "lines": [ + { + "bbox": [ + 105, + 91, + 244, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 244, + 107 + ], + "score": 1.0, + "content": "A.3.1 Solution to this problem", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 108, + 111, + 504, + 145 + ], + "lines": [ + { + "bbox": [ + 105, + 111, + 506, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 123, + 124 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 111, + 193, + 124 + ], + "score": 0.92, + "content": "a = [ a _ { 1 } , \\ldots , a _ { n } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 111, + 266, + 124 + ], + "score": 1.0, + "content": "be an input. Let", + "type": "text" + }, + { + "bbox": [ + 266, + 112, + 281, + 123 + ], + "score": 0.89, + "content": "d p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 111, + 506, + 124 + ], + "score": 1.0, + "content": "be the maximum sum of a subsequence that does not", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 122, + 505, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 452, + 135 + ], + "score": 1.0, + "content": "include adjacent elements, when considering only the elements of the input from the", + "type": "text" + }, + { + "bbox": [ + 452, + 123, + 457, + 132 + ], + "score": 0.74, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 122, + 505, + 135 + ], + "score": 1.0, + "content": "-th position", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 104, + 133, + 146, + 145 + ], + "spans": [ + { + "bbox": [ + 104, + 133, + 146, + 145 + ], + "score": 1.0, + "content": "onwards.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 105, + 149, + 504, + 172 + ], + "lines": [ + { + "bbox": [ + 105, + 148, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 144, + 163 + ], + "score": 1.0, + "content": "Trivially,", + "type": "text" + }, + { + "bbox": [ + 145, + 150, + 221, + 162 + ], + "score": 0.91, + "content": "d p _ { n } = \\operatorname* { m a x } ( a _ { n } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 148, + 506, + 163 + ], + "score": 1.0, + "content": "since we only want to choose a number if it is non-negative. Moreover,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 107, + 161, + 391, + 173 + ], + "spans": [ + { + "bbox": [ + 107, + 161, + 218, + 173 + ], + "score": 0.87, + "content": "d p _ { n - 1 } = \\operatorname* { m a x } ( a _ { n } , a _ { n - 1 } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 161, + 391, + 173 + ], + "score": 1.0, + "content": "since we cannot choose adjacent numbers.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 106, + 177, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 105, + 176, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 165, + 190 + ], + "score": 1.0, + "content": "For any given", + "type": "text" + }, + { + "bbox": [ + 165, + 177, + 180, + 189 + ], + "score": 0.92, + "content": "d p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 176, + 202, + 190 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 202, + 178, + 244, + 188 + ], + "score": 0.9, + "content": "i \\le n - 2", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 176, + 367, + 190 + ], + "score": 1.0, + "content": ", we can express it in terms of", + "type": "text" + }, + { + "bbox": [ + 368, + 177, + 392, + 189 + ], + "score": 0.92, + "content": "d p _ { i + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 176, + 411, + 190 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 411, + 177, + 436, + 189 + ], + "score": 0.91, + "content": "d p _ { i + 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 176, + 506, + 190 + ], + "score": 1.0, + "content": ". Concretely, the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 313, + 200 + ], + "score": 1.0, + "content": "maximum sum of a subsequence starting at position", + "type": "text" + }, + { + "bbox": [ + 313, + 189, + 318, + 198 + ], + "score": 0.69, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 187, + 488, + 200 + ], + "score": 1.0, + "content": "may or may not include the element in the", + "type": "text" + }, + { + "bbox": [ + 488, + 189, + 493, + 198 + ], + "score": 0.74, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "-th", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 198, + 504, + 213 + ], + "spans": [ + { + "bbox": [ + 104, + 198, + 144, + 213 + ], + "score": 1.0, + "content": "position,", + "type": "text" + }, + { + "bbox": [ + 145, + 200, + 154, + 210 + ], + "score": 0.85, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 198, + 274, + 213 + ], + "score": 1.0, + "content": ". If the subsequence includes", + "type": "text" + }, + { + "bbox": [ + 274, + 200, + 284, + 210 + ], + "score": 0.85, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 198, + 396, + 213 + ], + "score": 1.0, + "content": ", then the maximum sum is", + "type": "text" + }, + { + "bbox": [ + 396, + 199, + 442, + 211 + ], + "score": 0.92, + "content": "a _ { i } + d p _ { i + 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 198, + 494, + 213 + ], + "score": 1.0, + "content": ", since using", + "type": "text" + }, + { + "bbox": [ + 494, + 201, + 504, + 210 + ], + "score": 0.81, + "content": "a _ { i }", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 208, + 503, + 224 + ], + "spans": [ + { + "bbox": [ + 104, + 208, + 405, + 224 + ], + "score": 1.0, + "content": "blocks us from using the next element. If the subsequence does not include", + "type": "text" + }, + { + "bbox": [ + 405, + 212, + 415, + 221 + ], + "score": 0.85, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 208, + 478, + 224 + ], + "score": 1.0, + "content": ", then its sum is", + "type": "text" + }, + { + "bbox": [ + 478, + 210, + 503, + 222 + ], + "score": 0.9, + "content": "d p _ { i + 1 }", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 220, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 506, + 234 + ], + "score": 1.0, + "content": "Moreover, the answer may never be less than zero, because otherwise we would select the empty", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 230, + 206, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 206, + 245 + ], + "score": 1.0, + "content": "sequence7. In summary,", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5 + }, + { + "type": "interline_equation", + "bbox": [ + 234, + 249, + 377, + 262 + ], + "lines": [ + { + "bbox": [ + 234, + 249, + 377, + 262 + ], + "spans": [ + { + "bbox": [ + 234, + 249, + 377, + 262 + ], + "score": 0.9, + "content": "d p _ { i } = \\operatorname* { m a x } ( d p _ { i + 1 } , \\ a _ { i } + d p _ { i + 2 } , \\ 0 )", + "type": "interline_equation", + "image_path": "170641a020ab8507bddf61d8640d3c4e341e2d524b00f02600f86f66ebd9facb.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 234, + 249, + 377, + 262 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 268, + 505, + 301 + ], + "lines": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 279, + 281 + ], + "score": 1.0, + "content": "We now have a recursion with its base cases", + "type": "text" + }, + { + "bbox": [ + 280, + 268, + 355, + 280 + ], + "score": 0.92, + "content": "d p _ { n } = \\operatorname* { m a x } ( a _ { n } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 267, + 373, + 281 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 373, + 268, + 485, + 280 + ], + "score": 0.91, + "content": "d p _ { n - 1 } = \\operatorname* { m a x } ( a _ { n } , a _ { n - 1 } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 267, + 506, + 281 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 279, + 504, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 263, + 291 + ], + "score": 1.0, + "content": "we can therefore compute all values in", + "type": "text" + }, + { + "bbox": [ + 264, + 279, + 286, + 291 + ], + "score": 0.91, + "content": "O ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 279, + 504, + 291 + ], + "score": 1.0, + "content": ". It now only rests to reconstruct the lexicographically", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 290, + 488, + 302 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 445, + 302 + ], + "score": 1.0, + "content": "smallest subsequence that maximizes the desired sum, based solely on the computed", + "type": "text" + }, + { + "bbox": [ + 446, + 290, + 457, + 302 + ], + "score": 0.83, + "content": "d p", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 290, + 488, + 302 + ], + "score": 1.0, + "content": "values.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 306, + 505, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 305, + 507, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 166, + 320 + ], + "score": 1.0, + "content": "Starting from", + "type": "text" + }, + { + "bbox": [ + 167, + 307, + 182, + 318 + ], + "score": 0.88, + "content": "d p _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 305, + 329, + 320 + ], + "score": 1.0, + "content": "and iterating sequentially through", + "type": "text" + }, + { + "bbox": [ + 330, + 307, + 356, + 318 + ], + "score": 0.91, + "content": "d p _ { n - 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 305, + 507, + 320 + ], + "score": 1.0, + "content": ", we choose an item if and only if", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 107, + 317, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 107, + 318, + 178, + 329 + ], + "score": 0.91, + "content": "d p _ { i } = a _ { i } + d p _ { i + 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 317, + 506, + 330 + ], + "score": 1.0, + "content": "(that is, the maximum sum comes from choosing the current element) and we have", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 327, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 104, + 327, + 506, + 342 + ], + "score": 1.0, + "content": "not chosen the previous element. This helps disambiguate cases where choosing or not choosing", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 340, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 107, + 341, + 116, + 350 + ], + "score": 0.83, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 340, + 506, + 352 + ], + "score": 1.0, + "content": "yields the same sum, but possibly only one of those will not incur in choosing adjacent numbers.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 199, + 362 + ], + "score": 1.0, + "content": "Similarly, for positions", + "type": "text" + }, + { + "bbox": [ + 199, + 351, + 240, + 361 + ], + "score": 0.91, + "content": "i = n - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 349, + 258, + 362 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 258, + 351, + 282, + 360 + ], + "score": 0.9, + "content": "i = n", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 349, + 383, + 362 + ], + "score": 1.0, + "content": "we choose the element if", + "type": "text" + }, + { + "bbox": [ + 383, + 350, + 420, + 361 + ], + "score": 0.92, + "content": "d p _ { i } = a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "(that is, choosing the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 361, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 505, + 373 + ], + "score": 1.0, + "content": "element yields the maximum sum) and we have not chosen the immediately previous element. See an", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 372, + 228, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 228, + 384 + ], + "score": 1.0, + "content": "example Python solution in 2.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 110, + 405, + 492, + 459 + ], + "lines": [ + { + "bbox": [ + 111, + 405, + 492, + 417 + ], + "spans": [ + { + "bbox": [ + 111, + 405, + 492, + 417 + ], + "score": 1.0, + "content": "Given a sequence of integers, find a subsequence with the highest sum, such that", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 110, + 415, + 453, + 429 + ], + "spans": [ + { + "bbox": [ + 110, + 415, + 453, + 429 + ], + "score": 1.0, + "content": "no two numbers in the subsequence are adjacent in the original sequence.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 111, + 435, + 492, + 447 + ], + "spans": [ + { + "bbox": [ + 111, + 435, + 329, + 447 + ], + "score": 1.0, + "content": "Output a list with \"1\" for chosen numbers and", + "type": "text" + }, + { + "bbox": [ + 329, + 437, + 345, + 446 + ], + "score": 0.56, + "content": "\" 2 \"", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 435, + 492, + 447 + ], + "score": 1.0, + "content": "for unchosen ones. If multiple", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 110, + 444, + 491, + 459 + ], + "spans": [ + { + "bbox": [ + 110, + 444, + 403, + 459 + ], + "score": 1.0, + "content": "solutions exist, select the lexicographically smallest. input", + "type": "text" + }, + { + "bbox": [ + 403, + 447, + 412, + 455 + ], + "score": 0.65, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 444, + 491, + 459 + ], + "score": 1.0, + "content": "[3, 2, 1, 5, 2].", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5 + }, + { + "type": "image", + "bbox": [ + 96, + 492, + 465, + 693 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 133, + 475, + 475, + 487 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 133, + 474, + 478, + 489 + ], + "spans": [ + { + "bbox": [ + 133, + 474, + 478, + 489 + ], + "score": 1.0, + "content": "Figure 12: Example prompt for the DP task, used for zero-shot and few-shot settings.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "image_body", + "bbox": [ + 96, + 492, + 465, + 693 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 96, + 492, + 465, + 693 + ], + "spans": [ + { + "bbox": [ + 96, + 492, + 465, + 693 + ], + "score": 0.618, + "type": "image", + "image_path": "4813571b44f7026017a8fa5537c61e87b55cb5cdc6e880fe8ec4cce23706e8fa.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 96, + 492, + 465, + 559.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 96, + 559.0, + 465, + 626.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 96, + 626.0, + 465, + 693.0 + ], + "spans": [], + "index": 31 + } + ] + } + ], + "index": 29.0 + } + ], + "page_idx": 21, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 298, + 740, + 313, + 755 + ], + "spans": [ + { + "bbox": [ + 298, + 740, + 313, + 755 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 15 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 106, + 701, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 118, + 699, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 118, + 699, + 297, + 714 + ], + "score": 1.0, + "content": "7We don’t need to explicitly check for this since", + "type": "text" + }, + { + "bbox": [ + 297, + 702, + 330, + 712 + ], + "score": 0.9, + "content": "d p _ { n } \\geq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 699, + 506, + 714 + ], + "score": 1.0, + "content": ". However, we include the condition to ease the", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 711, + 170, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 170, + 724 + ], + "score": 1.0, + "content": "scratchpad logic.", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 72, + 272, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 71, + 273, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 273, + 87 + ], + "score": 1.0, + "content": "A.3 Dynamic Programming Problem", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 107, + 92, + 243, + 104 + ], + "lines": [ + { + "bbox": [ + 105, + 91, + 244, + 107 + ], + "spans": [ + { + "bbox": [ + 105, + 91, + 244, + 107 + ], + "score": 1.0, + "content": "A.3.1 Solution to this problem", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 108, + 111, + 504, + 145 + ], + "lines": [ + { + "bbox": [ + 105, + 111, + 506, + 124 + ], + "spans": [ + { + "bbox": [ + 105, + 111, + 123, + 124 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 111, + 193, + 124 + ], + "score": 0.92, + "content": "a = [ a _ { 1 } , \\ldots , a _ { n } ]", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 111, + 266, + 124 + ], + "score": 1.0, + "content": "be an input. Let", + "type": "text" + }, + { + "bbox": [ + 266, + 112, + 281, + 123 + ], + "score": 0.89, + "content": "d p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 111, + 506, + 124 + ], + "score": 1.0, + "content": "be the maximum sum of a subsequence that does not", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 122, + 505, + 135 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 452, + 135 + ], + "score": 1.0, + "content": "include adjacent elements, when considering only the elements of the input from the", + "type": "text" + }, + { + "bbox": [ + 452, + 123, + 457, + 132 + ], + "score": 0.74, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 122, + 505, + 135 + ], + "score": 1.0, + "content": "-th position", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 104, + 133, + 146, + 145 + ], + "spans": [ + { + "bbox": [ + 104, + 133, + 146, + 145 + ], + "score": 1.0, + "content": "onwards.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3, + "bbox_fs": [ + 104, + 111, + 506, + 145 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 149, + 504, + 172 + ], + "lines": [ + { + "bbox": [ + 105, + 148, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 144, + 163 + ], + "score": 1.0, + "content": "Trivially,", + "type": "text" + }, + { + "bbox": [ + 145, + 150, + 221, + 162 + ], + "score": 0.91, + "content": "d p _ { n } = \\operatorname* { m a x } ( a _ { n } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 148, + 506, + 163 + ], + "score": 1.0, + "content": "since we only want to choose a number if it is non-negative. Moreover,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 107, + 161, + 391, + 173 + ], + "spans": [ + { + "bbox": [ + 107, + 161, + 218, + 173 + ], + "score": 0.87, + "content": "d p _ { n - 1 } = \\operatorname* { m a x } ( a _ { n } , a _ { n - 1 } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 161, + 391, + 173 + ], + "score": 1.0, + "content": "since we cannot choose adjacent numbers.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 148, + 506, + 173 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 177, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 105, + 176, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 165, + 190 + ], + "score": 1.0, + "content": "For any given", + "type": "text" + }, + { + "bbox": [ + 165, + 177, + 180, + 189 + ], + "score": 0.92, + "content": "d p _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 176, + 202, + 190 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 202, + 178, + 244, + 188 + ], + "score": 0.9, + "content": "i \\le n - 2", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 176, + 367, + 190 + ], + "score": 1.0, + "content": ", we can express it in terms of", + "type": "text" + }, + { + "bbox": [ + 368, + 177, + 392, + 189 + ], + "score": 0.92, + "content": "d p _ { i + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 176, + 411, + 190 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 411, + 177, + 436, + 189 + ], + "score": 0.91, + "content": "d p _ { i + 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 176, + 506, + 190 + ], + "score": 1.0, + "content": ". Concretely, the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 187, + 505, + 200 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 313, + 200 + ], + "score": 1.0, + "content": "maximum sum of a subsequence starting at position", + "type": "text" + }, + { + "bbox": [ + 313, + 189, + 318, + 198 + ], + "score": 0.69, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 187, + 488, + 200 + ], + "score": 1.0, + "content": "may or may not include the element in the", + "type": "text" + }, + { + "bbox": [ + 488, + 189, + 493, + 198 + ], + "score": 0.74, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 187, + 505, + 200 + ], + "score": 1.0, + "content": "-th", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 198, + 504, + 213 + ], + "spans": [ + { + "bbox": [ + 104, + 198, + 144, + 213 + ], + "score": 1.0, + "content": "position,", + "type": "text" + }, + { + "bbox": [ + 145, + 200, + 154, + 210 + ], + "score": 0.85, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 198, + 274, + 213 + ], + "score": 1.0, + "content": ". If the subsequence includes", + "type": "text" + }, + { + "bbox": [ + 274, + 200, + 284, + 210 + ], + "score": 0.85, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 198, + 396, + 213 + ], + "score": 1.0, + "content": ", then the maximum sum is", + "type": "text" + }, + { + "bbox": [ + 396, + 199, + 442, + 211 + ], + "score": 0.92, + "content": "a _ { i } + d p _ { i + 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 198, + 494, + 213 + ], + "score": 1.0, + "content": ", since using", + "type": "text" + }, + { + "bbox": [ + 494, + 201, + 504, + 210 + ], + "score": 0.81, + "content": "a _ { i }", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 208, + 503, + 224 + ], + "spans": [ + { + "bbox": [ + 104, + 208, + 405, + 224 + ], + "score": 1.0, + "content": "blocks us from using the next element. If the subsequence does not include", + "type": "text" + }, + { + "bbox": [ + 405, + 212, + 415, + 221 + ], + "score": 0.85, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 208, + 478, + 224 + ], + "score": 1.0, + "content": ", then its sum is", + "type": "text" + }, + { + "bbox": [ + 478, + 210, + 503, + 222 + ], + "score": 0.9, + "content": "d p _ { i + 1 }", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 220, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 506, + 234 + ], + "score": 1.0, + "content": "Moreover, the answer may never be less than zero, because otherwise we would select the empty", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 230, + 206, + 245 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 206, + 245 + ], + "score": 1.0, + "content": "sequence7. In summary,", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5, + "bbox_fs": [ + 104, + 176, + 506, + 245 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 234, + 249, + 377, + 262 + ], + "lines": [ + { + "bbox": [ + 234, + 249, + 377, + 262 + ], + "spans": [ + { + "bbox": [ + 234, + 249, + 377, + 262 + ], + "score": 0.9, + "content": "d p _ { i } = \\operatorname* { m a x } ( d p _ { i + 1 } , \\ a _ { i } + d p _ { i + 2 } , \\ 0 )", + "type": "interline_equation", + "image_path": "170641a020ab8507bddf61d8640d3c4e341e2d524b00f02600f86f66ebd9facb.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 234, + 249, + 377, + 262 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 268, + 505, + 301 + ], + "lines": [ + { + "bbox": [ + 105, + 267, + 506, + 281 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 279, + 281 + ], + "score": 1.0, + "content": "We now have a recursion with its base cases", + "type": "text" + }, + { + "bbox": [ + 280, + 268, + 355, + 280 + ], + "score": 0.92, + "content": "d p _ { n } = \\operatorname* { m a x } ( a _ { n } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 267, + 373, + 281 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 373, + 268, + 485, + 280 + ], + "score": 0.91, + "content": "d p _ { n - 1 } = \\operatorname* { m a x } ( a _ { n } , a _ { n - 1 } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 267, + 506, + 281 + ], + "score": 1.0, + "content": ", and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 279, + 504, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 263, + 291 + ], + "score": 1.0, + "content": "we can therefore compute all values in", + "type": "text" + }, + { + "bbox": [ + 264, + 279, + 286, + 291 + ], + "score": 0.91, + "content": "O ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 279, + 504, + 291 + ], + "score": 1.0, + "content": ". It now only rests to reconstruct the lexicographically", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 290, + 488, + 302 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 445, + 302 + ], + "score": 1.0, + "content": "smallest subsequence that maximizes the desired sum, based solely on the computed", + "type": "text" + }, + { + "bbox": [ + 446, + 290, + 457, + 302 + ], + "score": 0.83, + "content": "d p", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 290, + 488, + 302 + ], + "score": 1.0, + "content": "values.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 267, + 506, + 302 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 306, + 505, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 305, + 507, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 166, + 320 + ], + "score": 1.0, + "content": "Starting from", + "type": "text" + }, + { + "bbox": [ + 167, + 307, + 182, + 318 + ], + "score": 0.88, + "content": "d p _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 305, + 329, + 320 + ], + "score": 1.0, + "content": "and iterating sequentially through", + "type": "text" + }, + { + "bbox": [ + 330, + 307, + 356, + 318 + ], + "score": 0.91, + "content": "d p _ { n - 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 305, + 507, + 320 + ], + "score": 1.0, + "content": ", we choose an item if and only if", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 107, + 317, + 506, + 330 + ], + "spans": [ + { + "bbox": [ + 107, + 318, + 178, + 329 + ], + "score": 0.91, + "content": "d p _ { i } = a _ { i } + d p _ { i + 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 317, + 506, + 330 + ], + "score": 1.0, + "content": "(that is, the maximum sum comes from choosing the current element) and we have", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 327, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 104, + 327, + 506, + 342 + ], + "score": 1.0, + "content": "not chosen the previous element. This helps disambiguate cases where choosing or not choosing", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 340, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 107, + 341, + 116, + 350 + ], + "score": 0.83, + "content": "a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 340, + 506, + 352 + ], + "score": 1.0, + "content": "yields the same sum, but possibly only one of those will not incur in choosing adjacent numbers.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 199, + 362 + ], + "score": 1.0, + "content": "Similarly, for positions", + "type": "text" + }, + { + "bbox": [ + 199, + 351, + 240, + 361 + ], + "score": 0.91, + "content": "i = n - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 349, + 258, + 362 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 258, + 351, + 282, + 360 + ], + "score": 0.9, + "content": "i = n", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 349, + 383, + 362 + ], + "score": 1.0, + "content": "we choose the element if", + "type": "text" + }, + { + "bbox": [ + 383, + 350, + 420, + 361 + ], + "score": 0.92, + "content": "d p _ { i } = a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "(that is, choosing the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 361, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 505, + 373 + ], + "score": 1.0, + "content": "element yields the maximum sum) and we have not chosen the immediately previous element. See an", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 372, + 228, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 372, + 228, + 384 + ], + "score": 1.0, + "content": "example Python solution in 2.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 305, + 507, + 384 + ] + }, + { + "type": "text", + "bbox": [ + 110, + 405, + 492, + 459 + ], + "lines": [ + { + "bbox": [ + 111, + 405, + 492, + 417 + ], + "spans": [ + { + "bbox": [ + 111, + 405, + 492, + 417 + ], + "score": 1.0, + "content": "Given a sequence of integers, find a subsequence with the highest sum, such that", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 110, + 415, + 453, + 429 + ], + "spans": [ + { + "bbox": [ + 110, + 415, + 453, + 429 + ], + "score": 1.0, + "content": "no two numbers in the subsequence are adjacent in the original sequence.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 111, + 435, + 492, + 447 + ], + "spans": [ + { + "bbox": [ + 111, + 435, + 329, + 447 + ], + "score": 1.0, + "content": "Output a list with \"1\" for chosen numbers and", + "type": "text" + }, + { + "bbox": [ + 329, + 437, + 345, + 446 + ], + "score": 0.56, + "content": "\" 2 \"", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 435, + 492, + 447 + ], + "score": 1.0, + "content": "for unchosen ones. If multiple", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 110, + 444, + 491, + 459 + ], + "spans": [ + { + "bbox": [ + 110, + 444, + 403, + 459 + ], + "score": 1.0, + "content": "solutions exist, select the lexicographically smallest. input", + "type": "text" + }, + { + "bbox": [ + 403, + 447, + 412, + 455 + ], + "score": 0.65, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 444, + 491, + 459 + ], + "score": 1.0, + "content": "[3, 2, 1, 5, 2].", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 25.5, + "bbox_fs": [ + 110, + 405, + 492, + 459 + ] + }, + { + "type": "image", + "bbox": [ + 96, + 492, + 465, + 693 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 133, + 475, + 475, + 487 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 133, + 474, + 478, + 489 + ], + "spans": [ + { + "bbox": [ + 133, + 474, + 478, + 489 + ], + "score": 1.0, + "content": "Figure 12: Example prompt for the DP task, used for zero-shot and few-shot settings.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "image_body", + "bbox": [ + 96, + 492, + 465, + 693 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 96, + 492, + 465, + 693 + ], + "spans": [ + { + "bbox": [ + 96, + 492, + 465, + 693 + ], + "score": 0.618, + "type": "image", + "image_path": "4813571b44f7026017a8fa5537c61e87b55cb5cdc6e880fe8ec4cce23706e8fa.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 96, + 492, + 465, + 559.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 96, + 559.0, + 465, + 626.0 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 96, + 626.0, + 465, + 693.0 + ], + "spans": [], + "index": 31 + } + ] + } + ], + "index": 29.0 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 94, + 73, + 501, + 234 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 94, + 73, + 501, + 234 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 94, + 73, + 501, + 234 + ], + "spans": [ + { + "bbox": [ + 94, + 73, + 501, + 234 + ], + "score": 0.869, + "type": "image", + "image_path": "991431143e3c3f61db645c077b6f078bd3f5fbfb6d0d07929ac78ebe13bc4206.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 94, + 73, + 501, + 126.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 94, + 126.66666666666666, + 501, + 180.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 94, + 180.33333333333331, + 501, + 233.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 104, + 241, + 504, + 264 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "Listing 2: Example Python code for solving the DP task. We chose this implementation because the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 252, + 413, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 413, + 265 + ], + "score": 1.0, + "content": "computation graph has always the same topology for any given input length.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "image", + "bbox": [ + 109, + 313, + 502, + 582 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 313, + 502, + 582 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 109, + 313, + 502, + 582 + ], + "spans": [ + { + "bbox": [ + 109, + 313, + 502, + 582 + ], + "score": 0.909, + "type": "image", + "image_path": "ec1ef9509772b6081d3fa0205796821c2c606ebf16c3fcd4cf1992262e90d379.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 109, + 313, + 502, + 402.6666666666667 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 109, + 402.6666666666667, + 502, + 492.33333333333337 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 109, + 492.33333333333337, + 502, + 582.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 122, + 596, + 488, + 609 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 120, + 594, + 489, + 612 + ], + "spans": [ + { + "bbox": [ + 120, + 594, + 489, + 612 + ], + "score": 1.0, + "content": "Figure 13: A sample scratchpad for the DP task used for fine-tuning with few-shot settings.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + } + ], + "index": 7.0 + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "score": 1.0, + "content": "Data Construction We exhaustively generate data for this DP task. For question-answer setting,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "we include a thorough explanation of the task before asking to generate a solution (see Figure 12).", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "We use all lists up to 5 elements as training, and we consider only lists where elements are in the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 678, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 131, + 691 + ], + "score": 1.0, + "content": "range", + "type": "text" + }, + { + "bbox": [ + 131, + 678, + 159, + 690 + ], + "score": 0.9, + "content": "[ - 5 , 5 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 678, + 229, + 691 + ], + "score": 1.0, + "content": "(giving a total of", + "type": "text" + }, + { + "bbox": [ + 229, + 678, + 245, + 688 + ], + "score": 0.88, + "content": "1 1 ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 678, + 356, + 691 + ], + "score": 1.0, + "content": "lists for an input list of size", + "type": "text" + }, + { + "bbox": [ + 356, + 680, + 363, + 688 + ], + "score": 0.66, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 678, + 506, + 691 + ], + "score": 1.0, + "content": "). For out-of-domain evaluation, we", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "use lists of sizes 6 to 10 inclusive. Example scratchpads and zero-shot prompts are shown in Figure", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "13 and 12 respectively. The scratchpad is generated automatically through templates. We considered", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 710, + 258, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 258, + 724 + ], + "score": 1.0, + "content": "five exemplars for the few-shot setup.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12 + } + ], + "page_idx": 22, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 298, + 740, + 313, + 754 + ], + "spans": [ + { + "bbox": [ + 298, + 740, + 313, + 754 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 15 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 94, + 73, + 501, + 234 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 94, + 73, + 501, + 234 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 94, + 73, + 501, + 234 + ], + "spans": [ + { + "bbox": [ + 94, + 73, + 501, + 234 + ], + "score": 0.869, + "type": "image", + "image_path": "991431143e3c3f61db645c077b6f078bd3f5fbfb6d0d07929ac78ebe13bc4206.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 94, + 73, + 501, + 126.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 94, + 126.66666666666666, + 501, + 180.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 94, + 180.33333333333331, + 501, + 233.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 104, + 241, + 504, + 264 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "spans": [ + { + "bbox": [ + 106, + 241, + 505, + 254 + ], + "score": 1.0, + "content": "Listing 2: Example Python code for solving the DP task. We chose this implementation because the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 252, + 413, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 413, + 265 + ], + "score": 1.0, + "content": "computation graph has always the same topology for any given input length.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "image", + "bbox": [ + 109, + 313, + 502, + 582 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 109, + 313, + 502, + 582 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 109, + 313, + 502, + 582 + ], + "spans": [ + { + "bbox": [ + 109, + 313, + 502, + 582 + ], + "score": 0.909, + "type": "image", + "image_path": "ec1ef9509772b6081d3fa0205796821c2c606ebf16c3fcd4cf1992262e90d379.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 109, + 313, + 502, + 402.6666666666667 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 109, + 402.6666666666667, + 502, + 492.33333333333337 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 109, + 492.33333333333337, + 502, + 582.0 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 122, + 596, + 488, + 609 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 120, + 594, + 489, + 612 + ], + "spans": [ + { + "bbox": [ + 120, + 594, + 489, + 612 + ], + "score": 1.0, + "content": "Figure 13: A sample scratchpad for the DP task used for fine-tuning with few-shot settings.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + } + ], + "index": 7.0 + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 506, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 506, + 659 + ], + "score": 1.0, + "content": "Data Construction We exhaustively generate data for this DP task. For question-answer setting,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 669 + ], + "score": 1.0, + "content": "we include a thorough explanation of the task before asking to generate a solution (see Figure 12).", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "We use all lists up to 5 elements as training, and we consider only lists where elements are in the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 678, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 131, + 691 + ], + "score": 1.0, + "content": "range", + "type": "text" + }, + { + "bbox": [ + 131, + 678, + 159, + 690 + ], + "score": 0.9, + "content": "[ - 5 , 5 ]", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 678, + 229, + 691 + ], + "score": 1.0, + "content": "(giving a total of", + "type": "text" + }, + { + "bbox": [ + 229, + 678, + 245, + 688 + ], + "score": 0.88, + "content": "1 1 ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 678, + 356, + 691 + ], + "score": 1.0, + "content": "lists for an input list of size", + "type": "text" + }, + { + "bbox": [ + 356, + 680, + 363, + 688 + ], + "score": 0.66, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 678, + 506, + 691 + ], + "score": 1.0, + "content": "). For out-of-domain evaluation, we", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 702 + ], + "score": 1.0, + "content": "use lists of sizes 6 to 10 inclusive. Example scratchpads and zero-shot prompts are shown in Figure", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 713 + ], + "score": 1.0, + "content": "13 and 12 respectively. The scratchpad is generated automatically through templates. We considered", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 710, + 258, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 258, + 724 + ], + "score": 1.0, + "content": "five exemplars for the few-shot setup.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 644, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 70, + 343, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 69, + 343, + 89 + ], + "spans": [ + { + "bbox": [ + 104, + 69, + 343, + 89 + ], + "score": 1.0, + "content": "B Experimental Setups & Empirical Results", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 107, + 97, + 163, + 109 + ], + "lines": [ + { + "bbox": [ + 105, + 96, + 164, + 110 + ], + "spans": [ + { + "bbox": [ + 105, + 96, + 164, + 110 + ], + "score": 1.0, + "content": "B.1 Models", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 117, + 506, + 260 + ], + "lines": [ + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "score": 1.0, + "content": "For our experiments, we evaluate the performance of 6 LLMs: GPT4 (gpt-4) [58], ChatGPT", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 506, + 142 + ], + "score": 1.0, + "content": "(GPT3.5-turbo) [57], GPT3 (text-davinci-003) [11], FlanT5 [17] and LLaMa [75]. The evalua-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 137, + 506, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 154 + ], + "score": 1.0, + "content": "tions were conducted from January 2023 to May 2023 using the OpenAI API. We perform fine-tuning", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 149, + 506, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 164 + ], + "score": 1.0, + "content": "on GPT3 (text-davinci-003) for the three tasks, observing faster convergence when training on", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 161, + 507, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 507, + 176 + ], + "score": 1.0, + "content": "question-scratchpad pairs rather than question-answer pairs. For question-answer pairs fine-tuning,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 171, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 186 + ], + "score": 1.0, + "content": "we train separately the model for {14, 12, 4} epochs for multiplication, puzzle, and DP respectively,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "score": 1.0, + "content": "saving the best model based on the validation set. Regarding training on question-scratchpad pairs,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 201, + 207 + ], + "score": 1.0, + "content": "we train the model for", + "type": "text" + }, + { + "bbox": [ + 201, + 194, + 242, + 205 + ], + "score": 0.33, + "content": "\\{ 1 6 , 8 , 2 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "epochs for multiplication, puzzle, and DP. The batch size is set", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 204, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 104, + 204, + 178, + 218 + ], + "score": 1.0, + "content": "to approximately", + "type": "text" + }, + { + "bbox": [ + 178, + 205, + 201, + 216 + ], + "score": 0.87, + "content": "0 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 204, + 506, + 218 + ], + "score": 1.0, + "content": "of the number of examples in the training set. Generally, we observe that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 215, + 506, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 506, + 229 + ], + "score": 1.0, + "content": "larger batch sizes tend to yield better results for larger datasets. For the learning rate multiplier, we", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 226, + 506, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 506, + 241 + ], + "score": 1.0, + "content": "experiment with values ranging from 0.02 to 0.2 to determine the optimal setting for achieving the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 238, + 507, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 386, + 251 + ], + "score": 1.0, + "content": "best results and chose 0.2. During inference, we set nucleus sampling", + "type": "text" + }, + { + "bbox": [ + 386, + 240, + 393, + 249 + ], + "score": 0.78, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 238, + 507, + 251 + ], + "score": 1.0, + "content": "to 0.7 and temperature to 1.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 249, + 428, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 428, + 262 + ], + "score": 1.0, + "content": "For each task, we evaluate the performance of each model on 500 test examples.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 8 + }, + { + "type": "title", + "bbox": [ + 107, + 272, + 365, + 284 + ], + "lines": [ + { + "bbox": [ + 104, + 271, + 365, + 287 + ], + "spans": [ + { + "bbox": [ + 104, + 271, + 365, + 287 + ], + "score": 1.0, + "content": "B.2 Limits of Transformers in Zero- and Few-shot Settings", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 292, + 505, + 359 + ], + "lines": [ + { + "bbox": [ + 106, + 293, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 304 + ], + "score": 1.0, + "content": "Figure 15, Figure 17 and Figure 20 show the zero-shot performance of GPT4, ChatGPT, LLaMA and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 303, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 317 + ], + "score": 1.0, + "content": "FlanT5 on the three tasks. Overall, there is a notable decline in performance as the task complexity", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "score": 1.0, + "content": "increases (measured by graph parallelism for multiplication and DP, and propagation steps for puzzles", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "as shown in Figure14). The few-shot performance with question-answer pairs results in minimal", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 337, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 349 + ], + "score": 1.0, + "content": "improvement over the zero-shot setting as depicted in Figure 16 and Figure 20 for the multiplication", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 348, + 499, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 348, + 499, + 360 + ], + "score": 1.0, + "content": "and DP tasks. In contrast, the few-shot setting did not lead to any improvement in the puzzle task.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5 + }, + { + "type": "image", + "bbox": [ + 145, + 369, + 465, + 469 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 145, + 369, + 465, + 469 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 145, + 369, + 465, + 469 + ], + "spans": [ + { + "bbox": [ + 145, + 369, + 465, + 469 + ], + "score": 0.954, + "type": "image", + "image_path": "ea6992ce8a25df0d1215daf2984fa4d4084bb80ccb147a9226b868537418a451.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 145, + 369, + 465, + 402.3333333333333 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 145, + 402.3333333333333, + 465, + 435.66666666666663 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 145, + 435.66666666666663, + 465, + 468.99999999999994 + ], + "spans": [], + "index": 24 + } + ] + } + ], + "index": 23 + }, + { + "type": "image", + "bbox": [ + 106, + 488, + 502, + 594 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 129, + 475, + 478, + 486 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 130, + 473, + 480, + 488 + ], + "spans": [ + { + "bbox": [ + 130, + 473, + 480, + 488 + ], + "score": 1.0, + "content": "Figure 14: Graph parallelism vs accuracy. The accuracy decreases as the complexity increases.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "image_body", + "bbox": [ + 106, + 488, + 502, + 594 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 488, + 502, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 502, + 594 + ], + "score": 0.959, + "type": "image", + "image_path": "e75a5cc230193e4aa595be20001bd5d61fe7b113de1b793dd518bb93bea49daa.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 106, + 488, + 502, + 523.3333333333334 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 106, + 523.3333333333334, + 502, + 558.6666666666667 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 106, + 558.6666666666667, + 502, + 594.0000000000001 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 599, + 504, + 621 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 597, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 612 + ], + "score": 1.0, + "content": "Figure 15: Zero-shot accuracy. Performance of ChatGPT, GPT3, LLaMA and FlanT5 on the multiplication", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 609, + 126, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 126, + 620 + ], + "score": 1.0, + "content": "task.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29.5 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 106, + 625, + 365, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 623, + 366, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 366, + 640 + ], + "score": 1.0, + "content": "B.3 Limits of Transformers with question-answer Training", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "Figure 18 and Figure 21 show the performance of GPT3 finetuned on question-answer pairs. The", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "model was trained on various splits, considering the problem size, depth, and width of the computation", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "graph. Specifically, for the multiplication task, the model was fine-tuned on a range of multiplication", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 678, + 507, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 507, + 691 + ], + "score": 1.0, + "content": "problems, spanning from 1-digit by 1-digit multiplication to 4-digit by 2-digit multiplication amount-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 104, + 689, + 132, + 702 + ], + "score": 1.0, + "content": "ing to", + "type": "text" + }, + { + "bbox": [ + 132, + 689, + 155, + 699 + ], + "score": 0.3, + "content": "1 . 8 \\mathbf { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "pairs. As for the puzzle task, the model was fine-tuned on puzzles of sizes ranging from", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 123, + 711 + ], + "score": 0.61, + "content": "2 \\mathbf { x } 2", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 700, + 237, + 712 + ], + "score": 1.0, + "content": "to 4x4 resulting in a total of", + "type": "text" + }, + { + "bbox": [ + 237, + 700, + 258, + 711 + ], + "score": 0.38, + "content": "1 4 2 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "pairs. Additionally, for the DP task, the model was fine-tuned", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 710, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 723 + ], + "score": 1.0, + "content": "on problems with a sequence length of 5 resulting in 41K pairs. In an additional setup, we divided", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 35 + } + ], + "page_idx": 23, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 298, + 740, + 313, + 754 + ], + "spans": [ + { + "bbox": [ + 298, + 740, + 313, + 754 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 14, + "width": 15 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 70, + 343, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 69, + 343, + 89 + ], + "spans": [ + { + "bbox": [ + 104, + 69, + 343, + 89 + ], + "score": 1.0, + "content": "B Experimental Setups & Empirical Results", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 107, + 97, + 163, + 109 + ], + "lines": [ + { + "bbox": [ + 105, + 96, + 164, + 110 + ], + "spans": [ + { + "bbox": [ + 105, + 96, + 164, + 110 + ], + "score": 1.0, + "content": "B.1 Models", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 117, + 506, + 260 + ], + "lines": [ + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 131 + ], + "score": 1.0, + "content": "For our experiments, we evaluate the performance of 6 LLMs: GPT4 (gpt-4) [58], ChatGPT", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 128, + 506, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 506, + 142 + ], + "score": 1.0, + "content": "(GPT3.5-turbo) [57], GPT3 (text-davinci-003) [11], FlanT5 [17] and LLaMa [75]. The evalua-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 137, + 506, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 154 + ], + "score": 1.0, + "content": "tions were conducted from January 2023 to May 2023 using the OpenAI API. We perform fine-tuning", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 149, + 506, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 506, + 164 + ], + "score": 1.0, + "content": "on GPT3 (text-davinci-003) for the three tasks, observing faster convergence when training on", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 161, + 507, + 176 + ], + "spans": [ + { + "bbox": [ + 106, + 161, + 507, + 176 + ], + "score": 1.0, + "content": "question-scratchpad pairs rather than question-answer pairs. For question-answer pairs fine-tuning,", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 171, + 506, + 186 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 506, + 186 + ], + "score": 1.0, + "content": "we train separately the model for {14, 12, 4} epochs for multiplication, puzzle, and DP respectively,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "score": 1.0, + "content": "saving the best model based on the validation set. Regarding training on question-scratchpad pairs,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 194, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 201, + 207 + ], + "score": 1.0, + "content": "we train the model for", + "type": "text" + }, + { + "bbox": [ + 201, + 194, + 242, + 205 + ], + "score": 0.33, + "content": "\\{ 1 6 , 8 , 2 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 194, + 506, + 207 + ], + "score": 1.0, + "content": "epochs for multiplication, puzzle, and DP. The batch size is set", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 204, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 104, + 204, + 178, + 218 + ], + "score": 1.0, + "content": "to approximately", + "type": "text" + }, + { + "bbox": [ + 178, + 205, + 201, + 216 + ], + "score": 0.87, + "content": "0 . 2 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 204, + 506, + 218 + ], + "score": 1.0, + "content": "of the number of examples in the training set. Generally, we observe that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 215, + 506, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 506, + 229 + ], + "score": 1.0, + "content": "larger batch sizes tend to yield better results for larger datasets. For the learning rate multiplier, we", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 226, + 506, + 241 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 506, + 241 + ], + "score": 1.0, + "content": "experiment with values ranging from 0.02 to 0.2 to determine the optimal setting for achieving the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 238, + 507, + 251 + ], + "spans": [ + { + "bbox": [ + 106, + 238, + 386, + 251 + ], + "score": 1.0, + "content": "best results and chose 0.2. During inference, we set nucleus sampling", + "type": "text" + }, + { + "bbox": [ + 386, + 240, + 393, + 249 + ], + "score": 0.78, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 394, + 238, + 507, + 251 + ], + "score": 1.0, + "content": "to 0.7 and temperature to 1.", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 249, + 428, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 249, + 428, + 262 + ], + "score": 1.0, + "content": "For each task, we evaluate the performance of each model on 500 test examples.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 8, + "bbox_fs": [ + 104, + 117, + 507, + 262 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 272, + 365, + 284 + ], + "lines": [ + { + "bbox": [ + 104, + 271, + 365, + 287 + ], + "spans": [ + { + "bbox": [ + 104, + 271, + 365, + 287 + ], + "score": 1.0, + "content": "B.2 Limits of Transformers in Zero- and Few-shot Settings", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 292, + 505, + 359 + ], + "lines": [ + { + "bbox": [ + 106, + 293, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 505, + 304 + ], + "score": 1.0, + "content": "Figure 15, Figure 17 and Figure 20 show the zero-shot performance of GPT4, ChatGPT, LLaMA and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 303, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 303, + 505, + 317 + ], + "score": 1.0, + "content": "FlanT5 on the three tasks. Overall, there is a notable decline in performance as the task complexity", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 505, + 327 + ], + "score": 1.0, + "content": "increases (measured by graph parallelism for multiplication and DP, and propagation steps for puzzles", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "spans": [ + { + "bbox": [ + 105, + 325, + 505, + 338 + ], + "score": 1.0, + "content": "as shown in Figure14). The few-shot performance with question-answer pairs results in minimal", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 337, + 505, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 349 + ], + "score": 1.0, + "content": "improvement over the zero-shot setting as depicted in Figure 16 and Figure 20 for the multiplication", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 348, + 499, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 348, + 499, + 360 + ], + "score": 1.0, + "content": "and DP tasks. In contrast, the few-shot setting did not lead to any improvement in the puzzle task.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 293, + 505, + 360 + ] + }, + { + "type": "image", + "bbox": [ + 145, + 369, + 465, + 469 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 145, + 369, + 465, + 469 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 145, + 369, + 465, + 469 + ], + "spans": [ + { + "bbox": [ + 145, + 369, + 465, + 469 + ], + "score": 0.954, + "type": "image", + "image_path": "ea6992ce8a25df0d1215daf2984fa4d4084bb80ccb147a9226b868537418a451.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 145, + 369, + 465, + 402.3333333333333 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 145, + 402.3333333333333, + 465, + 435.66666666666663 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 145, + 435.66666666666663, + 465, + 468.99999999999994 + ], + "spans": [], + "index": 24 + } + ] + } + ], + "index": 23 + }, + { + "type": "image", + "bbox": [ + 106, + 488, + 502, + 594 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 129, + 475, + 478, + 486 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 130, + 473, + 480, + 488 + ], + "spans": [ + { + "bbox": [ + 130, + 473, + 480, + 488 + ], + "score": 1.0, + "content": "Figure 14: Graph parallelism vs accuracy. The accuracy decreases as the complexity increases.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "image_body", + "bbox": [ + 106, + 488, + 502, + 594 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 488, + 502, + 594 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 502, + 594 + ], + "score": 0.959, + "type": "image", + "image_path": "e75a5cc230193e4aa595be20001bd5d61fe7b113de1b793dd518bb93bea49daa.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 106, + 488, + 502, + 523.3333333333334 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 106, + 523.3333333333334, + 502, + 558.6666666666667 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 106, + 558.6666666666667, + 502, + 594.0000000000001 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 599, + 504, + 621 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 597, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 612 + ], + "score": 1.0, + "content": "Figure 15: Zero-shot accuracy. Performance of ChatGPT, GPT3, LLaMA and FlanT5 on the multiplication", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 609, + 126, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 126, + 620 + ], + "score": 1.0, + "content": "task.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29.5 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 106, + 625, + 365, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 623, + 366, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 366, + 640 + ], + "score": 1.0, + "content": "B.3 Limits of Transformers with question-answer Training", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 106, + 645, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 658 + ], + "score": 1.0, + "content": "Figure 18 and Figure 21 show the performance of GPT3 finetuned on question-answer pairs. The", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "model was trained on various splits, considering the problem size, depth, and width of the computation", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "graph. Specifically, for the multiplication task, the model was fine-tuned on a range of multiplication", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 678, + 507, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 507, + 691 + ], + "score": 1.0, + "content": "problems, spanning from 1-digit by 1-digit multiplication to 4-digit by 2-digit multiplication amount-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 104, + 689, + 132, + 702 + ], + "score": 1.0, + "content": "ing to", + "type": "text" + }, + { + "bbox": [ + 132, + 689, + 155, + 699 + ], + "score": 0.3, + "content": "1 . 8 \\mathbf { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 155, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "pairs. As for the puzzle task, the model was fine-tuned on puzzles of sizes ranging from", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 123, + 711 + ], + "score": 0.61, + "content": "2 \\mathbf { x } 2", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 700, + 237, + 712 + ], + "score": 1.0, + "content": "to 4x4 resulting in a total of", + "type": "text" + }, + { + "bbox": [ + 237, + 700, + 258, + 711 + ], + "score": 0.38, + "content": "1 4 2 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "pairs. Additionally, for the DP task, the model was fine-tuned", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 710, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 506, + 723 + ], + "score": 1.0, + "content": "on problems with a sequence length of 5 resulting in 41K pairs. In an additional setup, we divided", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 512, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 505, + 524 + ], + "score": 1.0, + "content": "those datasets based on the depth and width of the computation graph for all the tasks and finetuned", + "type": "text", + "cross_page": true + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 523, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 536 + ], + "score": 1.0, + "content": "on different splits. The results indicate a lack of generalization for out-of-domain (OOD) examples", + "type": "text", + "cross_page": true + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 534, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 546 + ], + "score": 1.0, + "content": "while showcasing near-perfect performance for in-domain examples. One hypothesis on why the", + "type": "text", + "cross_page": true + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 543, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 104, + 543, + 506, + 558 + ], + "score": 1.0, + "content": "model exhibit such a poor generaliztion is tokenization. So we train GPT2-XL from scratch on up to", + "type": "text", + "cross_page": true + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 555, + 507, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 123, + 567 + ], + "score": 0.32, + "content": "4 \\mathbf { x } 4", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 124, + 555, + 507, + 569 + ], + "score": 1.0, + "content": "(90M data points), we assign each digit to one token and each math symbol as well. However,", + "type": "text", + "cross_page": true + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 567, + 452, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 452, + 579 + ], + "score": 1.0, + "content": "the performance is still low and GPT2-XL fails to answer correctly 3x3 test examples.", + "type": "text", + "cross_page": true + } + ], + "index": 21 + } + ], + "index": 35, + "bbox_fs": [ + 104, + 645, + 507, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 107, + 74, + 504, + 161 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 107, + 74, + 504, + 161 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 107, + 74, + 504, + 161 + ], + "spans": [ + { + "bbox": [ + 107, + 74, + 504, + 161 + ], + "score": 0.957, + "type": "image", + "image_path": "c880db358b58268e1792064754f307e2067e3d19333e18ea3afe9c371ea4951b.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 107, + 74, + 504, + 103.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 107, + 103.0, + 504, + 132.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 107, + 132.0, + 504, + 161.0 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "image", + "bbox": [ + 106, + 189, + 504, + 295 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 107, + 170, + 503, + 190 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 169, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 505, + 182 + ], + "score": 1.0, + "content": "Figure 16: Few-shot accuracy with question-answer pairs. Performance of GPT4, ChatGPT, GPT3, LLaMA", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 180, + 249, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 249, + 191 + ], + "score": 1.0, + "content": "and FlanT5 on the multiplication task.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "image_body", + "bbox": [ + 106, + 189, + 504, + 295 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 189, + 504, + 295 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 504, + 295 + ], + "score": 0.961, + "type": "image", + "image_path": "338a0cd89eec4133bb361d8ff0adf9890b46ba1cf6e2e8c5155394c4c40b51f5.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 106, + 189, + 504, + 224.33333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 106, + 224.33333333333334, + 504, + 259.6666666666667 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 106, + 259.6666666666667, + 504, + 295.0 + ], + "spans": [], + "index": 7 + } + ] + } + ], + "index": 4.75 + }, + { + "type": "image", + "bbox": [ + 107, + 325, + 503, + 451 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 106, + 300, + 504, + 321 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 299, + 504, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 504, + 312 + ], + "score": 1.0, + "content": "Figure 17: Zero-shot accuracy. Performance of ChatGPT, GPT3, LLaMA and FlanT5 on the puzzle task.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 310, + 285, + 322 + ], + "spans": [ + { + "bbox": [ + 106, + 310, + 285, + 322 + ], + "score": 1.0, + "content": "Few-shot performance led to worse performance.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "image_body", + "bbox": [ + 107, + 325, + 503, + 451 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 107, + 325, + 503, + 451 + ], + "spans": [ + { + "bbox": [ + 107, + 325, + 503, + 451 + ], + "score": 0.968, + "type": "image", + "image_path": "46a866e5eee035da3533a705b9a64c74ebe2d10f5552248445b368594be02e55.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 107, + 325, + 503, + 367.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 107, + 367.0, + 503, + 409.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 107, + 409.0, + 503, + 451.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 457, + 504, + 491 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "score": 1.0, + "content": "Figure 18: GPT3 finetuned on the puzzle task using question-answer pairs. The training data", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "consisted of puzzles of size 4x4, and the model was subsequently evaluated on larger puzzle sizes for", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 478, + 162, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 162, + 493 + ], + "score": 1.0, + "content": "OOD testing.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 511, + 505, + 578 + ], + "lines": [ + { + "bbox": [ + 106, + 512, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 505, + 524 + ], + "score": 1.0, + "content": "those datasets based on the depth and width of the computation graph for all the tasks and finetuned", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 523, + 505, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 505, + 536 + ], + "score": 1.0, + "content": "on different splits. The results indicate a lack of generalization for out-of-domain (OOD) examples", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 534, + 505, + 546 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 546 + ], + "score": 1.0, + "content": "while showcasing near-perfect performance for in-domain examples. One hypothesis on why the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 543, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 104, + 543, + 506, + 558 + ], + "score": 1.0, + "content": "model exhibit such a poor generaliztion is tokenization. So we train GPT2-XL from scratch on up to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 555, + 507, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 123, + 567 + ], + "score": 0.32, + "content": "4 \\mathbf { x } 4", + "type": "inline_equation" + }, + { + "bbox": [ + 124, + 555, + 507, + 569 + ], + "score": 1.0, + "content": "(90M data points), we assign each digit to one token and each math symbol as well. However,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 567, + 452, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 452, + 579 + ], + "score": 1.0, + "content": "the performance is still low and GPT2-XL fails to answer correctly 3x3 test examples.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 106, + 590, + 505, + 689 + ], + "lines": [ + { + "bbox": [ + 105, + 589, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 506, + 603 + ], + "score": 1.0, + "content": "GPT3 finetuning cost We will discuss here the approximate cost of fine-tuning GPT3 for the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 601, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 505, + 614 + ], + "score": 1.0, + "content": "multiplication task. When fine-tuning with question-answer pairs, each example typically consists", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 611, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 506, + 624 + ], + "score": 1.0, + "content": "of around 20 tokens, and 250 tokens for question-scratchpad pairs. The cost for utilizing the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 621, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 104, + 621, + 268, + 637 + ], + "score": 1.0, + "content": "text-davinci-003 model amounts to", + "type": "text" + }, + { + "bbox": [ + 269, + 623, + 293, + 633 + ], + "score": 0.87, + "content": "\\$ 0.02", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 621, + 506, + 637 + ], + "score": 1.0, + "content": "(USD) per 1,000 tokens. With this particular setup,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "the total number of training examples required for multiplication up to 5 digits by 5 digits reaches", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "an astonishing figure of approximately 9.1 billion examples. Should we choose to fine-tune GPT3", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 369, + 668 + ], + "score": 1.0, + "content": "for 4 epochs on question-answer pairs, the cost would amount to", + "type": "text" + }, + { + "bbox": [ + 370, + 655, + 387, + 666 + ], + "score": 0.87, + "content": "\\$ 12", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 655, + 436, + 668 + ], + "score": 1.0, + "content": "million and", + "type": "text" + }, + { + "bbox": [ + 436, + 655, + 459, + 666 + ], + "score": 0.86, + "content": "\\$ 700", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "million for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 666, + 507, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 507, + 680 + ], + "score": 1.0, + "content": "question-scratchpad training. 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Performance of GPT4, ChatGPT, GPT3, LLaMA", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 180, + 249, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 249, + 191 + ], + "score": 1.0, + "content": "and FlanT5 on the multiplication task.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "image_body", + "bbox": [ + 106, + 189, + 504, + 295 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 189, + 504, + 295 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 504, + 295 + ], + "score": 0.961, + "type": "image", + "image_path": "338a0cd89eec4133bb361d8ff0adf9890b46ba1cf6e2e8c5155394c4c40b51f5.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 106, + 189, + 504, + 224.33333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 106, + 224.33333333333334, + 504, + 259.6666666666667 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 106, + 259.6666666666667, + 504, + 295.0 + ], + "spans": [], + "index": 7 + } + ] + } + ], + "index": 4.75 + }, + { + "type": "image", + "bbox": [ + 107, + 325, + 503, + 451 + ], + "blocks": [ + { + "type": "image_caption", + "bbox": [ + 106, + 300, + 504, + 321 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 299, + 504, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 504, + 312 + ], + "score": 1.0, + "content": "Figure 17: Zero-shot accuracy. Performance of ChatGPT, GPT3, LLaMA and FlanT5 on the puzzle task.", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 310, + 285, + 322 + ], + "spans": [ + { + "bbox": [ + 106, + 310, + 285, + 322 + ], + "score": 1.0, + "content": "Few-shot performance led to worse performance.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "image_body", + "bbox": [ + 107, + 325, + 503, + 451 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 107, + 325, + 503, + 451 + ], + "spans": [ + { + "bbox": [ + 107, + 325, + 503, + 451 + ], + "score": 0.968, + "type": "image", + "image_path": "46a866e5eee035da3533a705b9a64c74ebe2d10f5552248445b368594be02e55.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 107, + 325, + 503, + 367.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 107, + 367.0, + 503, + 409.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 107, + 409.0, + 503, + 451.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 457, + 504, + 491 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 470 + ], + "score": 1.0, + "content": "Figure 18: GPT3 finetuned on the puzzle task using question-answer pairs. The training data", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 468, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 106, + 468, + 505, + 480 + ], + "score": 1.0, + "content": "consisted of puzzles of size 4x4, and the model was subsequently evaluated on larger puzzle sizes for", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 478, + 162, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 162, + 493 + ], + "score": 1.0, + "content": "OOD testing.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 511, + 505, + 578 + ], + "lines": [], + "index": 18.5, + "bbox_fs": [ + 104, + 512, + 507, + 579 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 106, + 590, + 505, + 689 + ], + "lines": [ + { + "bbox": [ + 105, + 589, + 506, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 589, + 506, + 603 + ], + "score": 1.0, + "content": "GPT3 finetuning cost We will discuss here the approximate cost of fine-tuning GPT3 for the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 601, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 505, + 614 + ], + "score": 1.0, + "content": "multiplication task. When fine-tuning with question-answer pairs, each example typically consists", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 611, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 611, + 506, + 624 + ], + "score": 1.0, + "content": "of around 20 tokens, and 250 tokens for question-scratchpad pairs. The cost for utilizing the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 621, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 104, + 621, + 268, + 637 + ], + "score": 1.0, + "content": "text-davinci-003 model amounts to", + "type": "text" + }, + { + "bbox": [ + 269, + 623, + 293, + 633 + ], + "score": 0.87, + "content": "\\$ 0.02", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 621, + 506, + 637 + ], + "score": 1.0, + "content": "(USD) per 1,000 tokens. With this particular setup,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "the total number of training examples required for multiplication up to 5 digits by 5 digits reaches", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "an astonishing figure of approximately 9.1 billion examples. Should we choose to fine-tune GPT3", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 369, + 668 + ], + "score": 1.0, + "content": "for 4 epochs on question-answer pairs, the cost would amount to", + "type": "text" + }, + { + "bbox": [ + 370, + 655, + 387, + 666 + ], + "score": 0.87, + "content": "\\$ 12", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 655, + 436, + 668 + ], + "score": 1.0, + "content": "million and", + "type": "text" + }, + { + "bbox": [ + 436, + 655, + 459, + 666 + ], + "score": 0.86, + "content": "\\$ 700", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "million for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 666, + 507, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 507, + 680 + ], + "score": 1.0, + "content": "question-scratchpad training. 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Specifically, for the multiplication", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 435, + 318, + 447 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 318, + 447 + ], + "score": 1.0, + "content": "task, the model was fine-tuned on a range of multi-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 447, + 317, + 459 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 317, + 459 + ], + "score": 1.0, + "content": "plication problems, spanning from 1-digit by 1-digit", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 457, + 307, + 470 + ], + "spans": [ + { + "bbox": [ + 106, + 457, + 307, + 470 + ], + "score": 1.0, + "content": "multiplication to 3-digit by 2-digit multiplication.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 474, + 317, + 583 + ], + "lines": [ + { + "bbox": [ + 106, + 474, + 317, + 486 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 317, + 486 + ], + "score": 1.0, + "content": "As for the puzzle task, the model was fine-tuned on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 485, + 318, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 227, + 496 + ], + "score": 1.0, + "content": "puzzles of sizes ranging from", + "type": "text" + }, + { + "bbox": [ + 228, + 485, + 245, + 495 + ], + "score": 0.53, + "content": "2 \\mathbf { x } 2", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 485, + 318, + 496 + ], + "score": 1.0, + "content": "to 4x4. Addition-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 495, + 317, + 507 + ], + "spans": [ + { + "bbox": [ + 106, + 495, + 317, + 507 + ], + "score": 1.0, + "content": "ally, for the DP task, the model was fine-tuned on", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 506, + 318, + 519 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 318, + 519 + ], + "score": 1.0, + "content": "problems with a sequence length of 5. 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Problem size# examplesGPT3 Cost
without scratchpadwith scratchpad
1x181$0.12$7.44
2x1810$1.28$74.4
2x28100$12.96$744
3x18100$12.96$744
3x281000$129.6$7440
3x3810000$1296$74,404
4x181000$129.6$7440
4x2810000$1296$74,404
4x38100000$12,960$744,040
4x481000000$129,600$7,440,400
5x1810000$1296$74,404
5x28100000$12,960$744,040
5x381000000$129,600$7,440,400
5x4810000000$1,296,000$70,440,400
5x58100000000$12,960,000$700,440,400
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Problem size# examplesGPT3 Cost
without scratchpadwith scratchpad
1x181$0.12$7.44
2x1810$1.28$74.4
2x28100$12.96$744
3x18100$12.96$744
3x281000$129.6$7440
3x3810000$1296$74,404
4x181000$129.6$7440
4x2810000$1296$74,404
4x38100000$12,960$744,040
4x481000000$129,600$7,440,400
5x1810000$1296$74,404
5x28100000$12,960$744,040
5x381000000$129,600$7,440,400
5x4810000000$1,296,000$70,440,400
5x58100000000$12,960,000$700,440,400
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Relative Information Gain
Input variableOutput variable2x23x34x45x5
xn22n0.2230.2230.2230.223
yn2m0.2230.2230.2230.223
X1210.1980.1990.1990.199
Y1210.1980.1990.1990.199
xnyn22n1.0001.0001.0001.000
xn-1xn22n0.2230.2230.2230.223
Yn-1 yn22n0.2230.2230.2230.223
xnyn22n-10.1100.1010.1010.101
yn-1yn22n-10.0320.0360.0360.036
Xn-1xn22n-10.0320.0360.0360.036
Xn-1 yn-122n-10.0180.0250.0250.025
x1 y1220.0990.0880.0880.088
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x1 y1210.7880.7920.7930.793
y1 y2210.2130.2110.2110.211
x1 X2210.2130.2110.2110.211
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Relative Information Gain
Input variableOutput variable2x23x34x45x5
xn22n0.2230.2230.2230.223
yn2m0.2230.2230.2230.223
X1210.1980.1990.1990.199
Y1210.1980.1990.1990.199
xnyn22n1.0001.0001.0001.000
xn-1xn22n0.2230.2230.2230.223
Yn-1 yn22n0.2230.2230.2230.223
xnyn22n-10.1100.1010.1010.101
yn-1yn22n-10.0320.0360.0360.036
Xn-1xn22n-10.0320.0360.0360.036
Xn-1 yn-122n-10.0180.0250.0250.025
x1 y1220.0990.0880.0880.088
x2 y2220.0250.0160.0160.016
x1 y1210.7880.7920.7930.793
y1 y2210.2130.2110.2110.211
x1 X2210.2130.2110.2110.211
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Relative Information Gain for each problem size
Input variableOutput variable2345678910
a1020.150.130.140.140.140.140.140.140.14
a1010.640.710.690.690.690.690.690.690.69
a2020.530.420.450.440.450.440.440.450.44
a3030.640.490.530.520.520.520.520.52
a4040.600.460.500.490.490.490.49
a5050.620.470.510.500.500.50
a6060.610.470.510.490.50
a7070.610.470.510.50
a8080.610.470.51
a9090.610.47
a100100.61
an-1On-10.640.600.620.610.610.610.610.61
an-2On-20.460.470.470.470.470.47
an-30n-30.510.510.510.51
an-40n-40.490.50
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Relative Information Gain for each problem size
Input variableOutput variable2345678910
a1020.150.130.140.140.140.140.140.140.14
a1010.640.710.690.690.690.690.690.690.69
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a6060.610.470.510.490.50
a7070.610.470.510.50
a8080.610.470.51
a9090.610.47
a100100.61
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an-30n-30.510.510.510.51
an-40n-40.490.50
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Relative Information Gain for each problem size
Input variableOutput variable345678910
an-3 an-2 an-10n-10.950.950.950.95
an-3an-2an-1On-20.870.870.870.87
an-3 an-2 an-1On-30.640.640.640.64
a1 a2 a3011.000.960.970.970.970.970.970.97
α1 a2 a3021.000.910.920.910.920.910.920.91
a2 a3 a4020.560.550.550.550.550.550.56
α1 a2 a3031.000.660.730.710.720.720.720.72
a2 a3 a4030.860.770.780.780.780.780.78
a3 a4 a5030.670.660.660.660.660.66
a2 a3 a4040.940.640.70.680.690.690.69
a3 a4 a5040.880.790.810.80.80.8
a4 a5 a6040.630.620.620.620.62
a3 a4 a5050.950.650.710.690.70.7
a4 a5 a6050.870.780.790.790.79
a5 a6 a7050.640.630.630.64
a4 a5 a6060.940.640.710.690.7
a5 a6 a7060.870.780.80.8
a6 a7 a8060.640.620.63
a5 a6 a7070.950.640.710.69
a6 a7 a8070.870.780.8
a6 a7 a8080.950.640.71
a1 a2 a30.120.10.110.110.110.110.11
a2 a3 a4040.10.090.10.090.10.1
a3 a4 a505 060.110.10.10.10.11
a4 a5 a6070.110.090.10.11
a5 a6 a7080.110.090.11
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Relative Information Gain for each problem size
Input variableOutput variable345678910
an-3 an-2 an-10n-10.950.950.950.95
an-3an-2an-1On-20.870.870.870.87
an-3 an-2 an-1On-30.640.640.640.64
a1 a2 a3011.000.960.970.970.970.970.970.97
α1 a2 a3021.000.910.920.910.920.910.920.91
a2 a3 a4020.560.550.550.550.550.550.56
α1 a2 a3031.000.660.730.710.720.720.720.72
a2 a3 a4030.860.770.780.780.780.780.78
a3 a4 a5030.670.660.660.660.660.66
a2 a3 a4040.940.640.70.680.690.690.69
a3 a4 a5040.880.790.810.80.80.8
a4 a5 a6040.630.620.620.620.62
a3 a4 a5050.950.650.710.690.70.7
a4 a5 a6050.870.780.790.790.79
a5 a6 a7050.640.630.630.64
a4 a5 a6060.940.640.710.690.7
a5 a6 a7060.870.780.80.8
a6 a7 a8060.640.620.63
a5 a6 a7070.950.640.710.69
a6 a7 a8070.870.780.8
a6 a7 a8080.950.640.71
a1 a2 a30.120.10.110.110.110.110.11
a2 a3 a4040.10.090.10.090.10.1
a3 a4 a505 060.110.10.10.10.11
a4 a5 a6070.110.090.10.11
a5 a6 a7080.110.090.11
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However, because GPT3 often does not produce the correct output size, it hinders us", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 446, + 196, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 196, + 459 + ], + "score": 1.0, + "content": "from analyzing on−1.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 11.5 + } + ], + "index": 9.75 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 70, + 294, + 85 + ], + "lines": [ + { + "bbox": [ + 105, + 69, + 295, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 295, + 86 + ], + "score": 1.0, + "content": "D Theoretical Results: Derivations", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 105, + 96, + 491, + 109 + ], + "lines": [ + { + "bbox": [ + 105, + 95, + 492, + 111 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 492, + 111 + ], + "score": 1.0, + "content": "D.1 Error accumulates with larger parallel applications of an estimated function (width)", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 106, + 117, + 506, + 173 + ], + "lines": [ + { + "bbox": [ + 106, + 118, + 505, + 130 + ], + "spans": [ + { + "bbox": [ + 106, + 118, + 505, + 130 + ], + "score": 1.0, + "content": "Here we provide formal statements and derivations to Propositions 4.1 and 4.2 shown in the main", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 127, + 506, + 143 + ], + "spans": [ + { + "bbox": [ + 104, + 127, + 506, + 143 + ], + "score": 1.0, + "content": "paper. The mathematical framework used is a simplified representation of how multi-step reasoning", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 139, + 506, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 152 + ], + "score": 1.0, + "content": "works, showing two quintessential reasoning types: independent applications of the same step, or", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 150, + 507, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 507, + 163 + ], + "score": 1.0, + "content": "consecutive applications of the same step. We take an error estimation and accumulation perspective,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 161, + 409, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 409, + 174 + ], + "score": 1.0, + "content": "since transformers are still being investigated from a theoretical standpoint.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 106, + 176, + 507, + 233 + ], + "lines": [ + { + "bbox": [ + 105, + 174, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 198, + 190 + ], + "score": 1.0, + "content": "Proposition D.1. Let", + "type": "text" + }, + { + "bbox": [ + 199, + 176, + 374, + 189 + ], + "score": 0.92, + "content": "f _ { n } ( \\mathbf { x } ) = h _ { n } ( g ( \\mathbf { x } , 1 ) , g ( \\mathbf { x } , 2 ) ) , \\ldots , g ( \\mathbf { x } , n ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 175, + 397, + 190 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 398, + 174, + 434, + 189 + ], + "score": 0.93, + "content": "\\widehat { h } _ { n } , \\widehat { g } , \\widehat { f } _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 175, + 506, + 190 + ], + "score": 1.0, + "content": "be estimators of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 189, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 143, + 203 + ], + "score": 0.91, + "content": "h _ { n } , g , f _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 190, + 233, + 203 + ], + "score": 1.0, + "content": "respectively. Assume", + "type": "text" + }, + { + "bbox": [ + 233, + 189, + 305, + 202 + ], + "score": 0.92, + "content": "\\mathbb { P } ( h _ { n } = { \\widehat { h } } _ { n } ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 190, + 325, + 203 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 325, + 190, + 474, + 203 + ], + "score": 0.92, + "content": "\\mathbb { P } ( h _ { n } ( X ) = h _ { n } ( Y ) \\mid X \\neq Y ) < c _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 190, + 506, + 203 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 202, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 138, + 215 + ], + "score": 0.89, + "content": "c _ { n } < c", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 203, + 216, + 217 + ], + "score": 1.0, + "content": "for some constant", + "type": "text" + }, + { + "bbox": [ + 216, + 204, + 245, + 215 + ], + "score": 0.89, + "content": "c \\ll 1", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 203, + 266, + 217 + ], + "score": 1.0, + "content": "(i.e.", + "type": "text" + }, + { + "bbox": [ + 266, + 202, + 279, + 215 + ], + "score": 0.86, + "content": "\\widehat { h } _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 203, + 361, + 217 + ], + "score": 1.0, + "content": "perfectly estimates", + "type": "text" + }, + { + "bbox": [ + 361, + 204, + 373, + 215 + ], + "score": 0.85, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 203, + 396, + 217 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 396, + 204, + 409, + 215 + ], + "score": 0.86, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 409, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "is almost injective). If", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 215, + 433, + 234 + ], + "spans": [ + { + "bbox": [ + 107, + 216, + 182, + 229 + ], + "score": 0.92, + "content": "\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 216, + 237, + 230 + ], + "score": 1.0, + "content": "and errors in", + "type": "text" + }, + { + "bbox": [ + 237, + 217, + 244, + 228 + ], + "score": 0.83, + "content": "\\widehat g", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 216, + 314, + 230 + ], + "score": 1.0, + "content": "are independent,", + "type": "text" + }, + { + "bbox": [ + 314, + 215, + 429, + 234 + ], + "score": 0.89, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c .", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 216, + 433, + 230 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 105, + 239, + 470, + 257 + ], + "lines": [ + { + "bbox": [ + 104, + 237, + 469, + 258 + ], + "spans": [ + { + "bbox": [ + 104, + 239, + 156, + 253 + ], + "score": 1.0, + "content": "Moreover, if", + "type": "text" + }, + { + "bbox": [ + 157, + 241, + 199, + 253 + ], + "score": 0.91, + "content": "c _ { n } \\leq \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 239, + 260, + 253 + ], + "score": 1.0, + "content": "for some some", + "type": "text" + }, + { + "bbox": [ + 261, + 241, + 302, + 253 + ], + "score": 0.93, + "content": "\\alpha \\in ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 239, + 321, + 253 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 321, + 240, + 347, + 253 + ], + "score": 0.59, + "content": "\\beta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 239, + 371, + 253 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 371, + 237, + 469, + 258 + ], + "score": 0.5, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) = 1 .", + "type": "inline_equation" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 268, + 506, + 305 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 234, + 282 + ], + "score": 1.0, + "content": "Proof. For ease of writing, let", + "type": "text" + }, + { + "bbox": [ + 234, + 269, + 291, + 281 + ], + "score": 0.94, + "content": "X _ { i } = g ( X , i )", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 268, + 311, + 282 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 312, + 269, + 366, + 281 + ], + "score": 0.93, + "content": "Y _ { i } = \\widehat { g } ( X , i )", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 268, + 402, + 282 + ], + "score": 1.0, + "content": ", and let", + "type": "text" + }, + { + "bbox": [ + 403, + 269, + 486, + 281 + ], + "score": 0.91, + "content": "\\pmb { X } = ( X _ { 1 } , \\ldots , X _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 107, + 281, + 506, + 296 + ], + "spans": [ + { + "bbox": [ + 107, + 282, + 182, + 295 + ], + "score": 0.92, + "content": "Y = ( Y _ { 1 } , \\ldots , Y _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 281, + 461, + 296 + ], + "score": 1.0, + "content": ". We will compute some auxiliary probabilities, and then upper bound", + "type": "text" + }, + { + "bbox": [ + 461, + 281, + 502, + 295 + ], + "score": 0.93, + "content": "\\operatorname { I P } ( f = { \\widehat { f } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 281, + 506, + 296 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 293, + 217, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 217, + 306 + ], + "score": 1.0, + "content": "to finally compute its limit.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 128, + 308, + 481, + 337 + ], + "lines": [ + { + "bbox": [ + 128, + 308, + 481, + 337 + ], + "spans": [ + { + "bbox": [ + 128, + 308, + 481, + 337 + ], + "score": 0.9, + "content": "{ \\begin{array} { r l } & { \\mathbb { P } ( X = Y ) = \\mathbb { P } ( X _ { 1 } = Y _ { 1 } , X _ { 2 } = Y _ { 2 } , \\ldots , X _ { n } = Y _ { n } ) } \\\\ & { \\qquad = \\mathbb { P } ( X _ { 1 } = Y _ { 1 } ) \\cdot \\mathbb { P } ( X _ { 2 } = Y _ { 2 } ) \\ldots \\cdot \\mathbb { P } ( X _ { n } = Y _ { n } ) = \\mathbb { P } ( g = { \\widehat { g } } ) ^ { n } = ( 1 - \\epsilon ) ^ { n } } \\end{array} }", + "type": "interline_equation", + "image_path": "31667975c656018bada9587a212e80f562b9c22e8e65cbee87aca2f0f3271284.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 128, + 308, + 481, + 337 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 346, + 390, + 361 + ], + "lines": [ + { + "bbox": [ + 105, + 346, + 391, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 227, + 362 + ], + "score": 1.0, + "content": "Since by hypothesis we know", + "type": "text" + }, + { + "bbox": [ + 227, + 346, + 331, + 360 + ], + "score": 0.94, + "content": "\\mathbb { P } ( h _ { n } ( Y ) = \\widehat { h } _ { n } ( Y ) ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 346, + 391, + 362 + ], + "score": 1.0, + "content": ", we have that:", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "interline_equation", + "bbox": [ + 143, + 363, + 468, + 420 + ], + "lines": [ + { + "bbox": [ + 143, + 363, + 468, + 420 + ], + "spans": [ + { + "bbox": [ + 143, + 363, + 468, + 420 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\mathbb { P } ( h _ { n } ( \\pmb X ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) = \\mathbb { P } ( h _ { n } ( \\pmb X ) = \\widehat { h } _ { n } ( \\pmb Y ) \\cap h _ { n } ( \\pmb Y ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad = \\mathbb { P } ( h _ { n } ( \\pmb X ) = h _ { n } ( \\pmb Y ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad \\le \\mathbb { P } ( h _ { n } ( \\pmb X ) = h _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad < c _ { n } } \\end{array}", + "type": "interline_equation", + "image_path": "0832573737dc9ad9568257ea2dfd873f9ab6cdd9b881b2a1593bf76fb7ab0b4c.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 143, + 363, + 468, + 382.0 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 143, + 382.0, + 468, + 401.0 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 143, + 401.0, + 468, + 420.0 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 430, + 477, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 429, + 478, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 195, + 445 + ], + "score": 1.0, + "content": "We will now estimate", + "type": "text" + }, + { + "bbox": [ + 195, + 429, + 244, + 444 + ], + "score": 0.91, + "content": "\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 430, + 440, + 445 + ], + "score": 1.0, + "content": "using the law of total probability w.r.t. the event", + "type": "text" + }, + { + "bbox": [ + 440, + 432, + 474, + 442 + ], + "score": 0.9, + "content": "X = Y", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 430, + 478, + 445 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 446, + 513, + 537 + ], + "lines": [ + { + "bbox": [ + 111, + 446, + 513, + 537 + ], + "spans": [ + { + "bbox": [ + 111, + 446, + 513, + 537 + ], + "score": 0.92, + "content": "{ \\begin{array} { r l } { { \\widehat { \\gamma } } ( f _ { n } = { \\widehat { f } } _ { n } ) = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) ) } \\\\ & { \\qquad = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X = Y ) \\cdot \\operatorname { P } ( X = Y ) + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot \\operatorname { P } ( X \\neq Y ) } \\\\ & { \\qquad = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( X ) ) \\cdot \\operatorname { P } ( X = Y ) + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - \\operatorname { P } ( X = Y ) ) } \\\\ & { \\qquad = 1 \\cdot ( 1 - \\epsilon ) ^ { n } + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - ( 1 - \\epsilon ) ^ { n } ) \\qquad { \\mathrm { ~ ( u s i n g ~ 2 ~ a n d ~ h y p o t h e s i s ) } } } \\\\ & { \\qquad < ( 1 - \\epsilon ) ^ { n } + c _ { n } \\cdot ( 1 - ( 1 - \\epsilon ) ^ { n } ) \\qquad { \\mathrm { ~ ( u s i n g ~ 3 ) } } } \\\\ & { \\qquad < c _ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c _ { n } ) } \\end{array} }", + "type": "interline_equation", + "image_path": "0ef1173134fefdbc12596997300b2bbe5b39ee35849b2ece0fe1a40a9ce9a8dd.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 111, + 446, + 513, + 476.3333333333333 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 111, + 476.3333333333333, + 513, + 506.66666666666663 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 111, + 506.66666666666663, + 513, + 537.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 545, + 506, + 587 + ], + "lines": [ + { + "bbox": [ + 105, + 545, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 351, + 560 + ], + "score": 1.0, + "content": "To conclude our proof, we will compute a lower bound for", + "type": "text" + }, + { + "bbox": [ + 351, + 545, + 459, + 559 + ], + "score": 0.8, + "content": "\\scriptstyle \\operatorname* { l i m } \\operatorname* { i n f } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq \\widehat { f } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 545, + 506, + 560 + ], + "score": 1.0, + "content": ". Note that", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 558, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 104, + 558, + 130, + 573 + ], + "score": 1.0, + "content": "since", + "type": "text" + }, + { + "bbox": [ + 130, + 561, + 159, + 571 + ], + "score": 0.87, + "content": "c _ { n } < c", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 558, + 187, + 573 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 187, + 563, + 194, + 570 + ], + "score": 0.71, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 558, + 255, + 573 + ], + "score": 1.0, + "content": ", we know that", + "type": "text" + }, + { + "bbox": [ + 255, + 558, + 407, + 572 + ], + "score": 0.91, + "content": "\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) < c + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c )", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 558, + 437, + 573 + ], + "score": 1.0, + "content": ". Then,", + "type": "text" + }, + { + "bbox": [ + 438, + 558, + 505, + 572 + ], + "score": 0.9, + "content": "\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) >", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 570, + 498, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 571, + 211, + 583 + ], + "score": 0.9, + "content": "1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c )", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 570, + 241, + 584 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 241, + 572, + 296, + 583 + ], + "score": 0.47, + "content": "1 - \\epsilon \\in [ 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 570, + 301, + 584 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 302, + 572, + 470, + 588 + ], + "score": 0.74, + "content": "\\operatorname* { l i m } _ { n + \\infty } 1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c ) = 1 - c", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 570, + 498, + 584 + ], + "score": 1.0, + "content": ". Thus,", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + }, + { + "type": "interline_equation", + "bbox": [ + 172, + 592, + 438, + 612 + ], + "lines": [ + { + "bbox": [ + 172, + 592, + 438, + 612 + ], + "spans": [ + { + "bbox": [ + 172, + 592, + 438, + 612 + ], + "score": 0.85, + "content": "\\operatorname* { l i m i n f } _ { n \\to + \\infty } \\operatorname { I p } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\geq \\operatorname* { l i m i n f } _ { n \\to + \\infty } 1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c ) = 1 - c", + "type": "interline_equation", + "image_path": "42be23a5b205213bee6c72267eed93d7c9796152b953c85a80929da5cad662c9.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 172, + 592, + 438, + 612 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 621, + 217, + 633 + ], + "lines": [ + { + "bbox": [ + 106, + 619, + 217, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 217, + 634 + ], + "score": 1.0, + "content": "which concludes our proof.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 647, + 506, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 647, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 204, + 661 + ], + "score": 1.0, + "content": "Note: In the case where", + "type": "text" + }, + { + "bbox": [ + 205, + 649, + 246, + 659 + ], + "score": 0.89, + "content": "c _ { n } \\leq \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 647, + 505, + 661 + ], + "score": 1.0, + "content": ", we can derive an even stronger conclusion. In this case, we can", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 659, + 506, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 150, + 674 + ], + "score": 1.0, + "content": "prove that", + "type": "text" + }, + { + "bbox": [ + 151, + 659, + 248, + 677 + ], + "score": 0.89, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 660, + 299, + 674 + ], + "score": 1.0, + "content": ". Recall that", + "type": "text" + }, + { + "bbox": [ + 299, + 659, + 478, + 673 + ], + "score": 0.91, + "content": "\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) < \\alpha \\beta ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\alpha \\beta ^ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 660, + 506, + 674 + ], + "score": 1.0, + "content": ". Note", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 676, + 467, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 147, + 691 + ], + "score": 1.0, + "content": "that since", + "type": "text" + }, + { + "bbox": [ + 147, + 678, + 202, + 689 + ], + "score": 0.9, + "content": "1 - \\epsilon \\in [ 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 676, + 221, + 691 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 221, + 677, + 262, + 689 + ], + "score": 0.91, + "content": "\\alpha \\in ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 676, + 301, + 691 + ], + "score": 1.0, + "content": ", trivially", + "type": "text" + }, + { + "bbox": [ + 301, + 677, + 464, + 694 + ], + "score": 0.9, + "content": "\\operatorname* { l i m } _ { n + \\infty } \\beta \\alpha ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\beta \\alpha ^ { n } ) = 0 .", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 676, + 467, + 691 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30 + }, + { + "type": "interline_equation", + "bbox": [ + 119, + 698, + 492, + 720 + ], + "lines": [ + { + "bbox": [ + 119, + 698, + 492, + 720 + ], + "spans": [ + { + "bbox": [ + 119, + 698, + 492, + 720 + ], + "score": 0.88, + "content": "0 \\leq \\operatorname* { l i m i n f } _ { n + \\infty } \\operatorname* { l i m } _ { } \\operatorname* { l i m } _ { } ( f _ { n } = \\widehat { f } _ { n } ) \\leq \\operatorname* { l i m s u p } _ { n + \\infty } \\operatorname { l i m } _ { } ( f _ { n } = \\widehat { f } _ { n } ) \\leq \\operatorname* { l i m } _ { n + \\infty } \\operatorname* { s u p } _ { } \\beta \\alpha ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\beta \\alpha ^ { n } ) = 0", + "type": "interline_equation", + "image_path": "90c6146951098859b48f0ea82c677ee4f7f13933d51fe4c4370cda6e75dcc00c.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 119, + 698, + 492, + 720 + ], + "spans": [], + "index": 32 + } + ] + } + ], + "page_idx": 34, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 751 + ], + "lines": [ + { + "bbox": [ + 298, + 740, + 313, + 753 + ], + "spans": [ + { + "bbox": [ + 298, + 740, + 313, + 753 + ], + "score": 1.0, + "content": "35", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 106, + 70, + 294, + 85 + ], + "lines": [ + { + "bbox": [ + 105, + 69, + 295, + 86 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 295, + 86 + ], + "score": 1.0, + "content": "D Theoretical Results: Derivations", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 105, + 96, + 491, + 109 + ], + "lines": [ + { + "bbox": [ + 105, + 95, + 492, + 111 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 492, + 111 + ], + "score": 1.0, + "content": "D.1 Error accumulates with larger parallel applications of an estimated function (width)", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 106, + 117, + 506, + 173 + ], + "lines": [ + { + "bbox": [ + 106, + 118, + 505, + 130 + ], + "spans": [ + { + "bbox": [ + 106, + 118, + 505, + 130 + ], + "score": 1.0, + "content": "Here we provide formal statements and derivations to Propositions 4.1 and 4.2 shown in the main", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 127, + 506, + 143 + ], + "spans": [ + { + "bbox": [ + 104, + 127, + 506, + 143 + ], + "score": 1.0, + "content": "paper. The mathematical framework used is a simplified representation of how multi-step reasoning", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 139, + 506, + 152 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 152 + ], + "score": 1.0, + "content": "works, showing two quintessential reasoning types: independent applications of the same step, or", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 150, + 507, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 150, + 507, + 163 + ], + "score": 1.0, + "content": "consecutive applications of the same step. We take an error estimation and accumulation perspective,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 161, + 409, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 409, + 174 + ], + "score": 1.0, + "content": "since transformers are still being investigated from a theoretical standpoint.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4, + "bbox_fs": [ + 104, + 118, + 507, + 174 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 176, + 507, + 233 + ], + "lines": [ + { + "bbox": [ + 105, + 174, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 198, + 190 + ], + "score": 1.0, + "content": "Proposition D.1. Let", + "type": "text" + }, + { + "bbox": [ + 199, + 176, + 374, + 189 + ], + "score": 0.92, + "content": "f _ { n } ( \\mathbf { x } ) = h _ { n } ( g ( \\mathbf { x } , 1 ) , g ( \\mathbf { x } , 2 ) ) , \\ldots , g ( \\mathbf { x } , n ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 175, + 397, + 190 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 398, + 174, + 434, + 189 + ], + "score": 0.93, + "content": "\\widehat { h } _ { n } , \\widehat { g } , \\widehat { f } _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 175, + 506, + 190 + ], + "score": 1.0, + "content": "be estimators of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 189, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 190, + 143, + 203 + ], + "score": 0.91, + "content": "h _ { n } , g , f _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 144, + 190, + 233, + 203 + ], + "score": 1.0, + "content": "respectively. Assume", + "type": "text" + }, + { + "bbox": [ + 233, + 189, + 305, + 202 + ], + "score": 0.92, + "content": "\\mathbb { P } ( h _ { n } = { \\widehat { h } } _ { n } ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 190, + 325, + 203 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 325, + 190, + 474, + 203 + ], + "score": 0.92, + "content": "\\mathbb { P } ( h _ { n } ( X ) = h _ { n } ( Y ) \\mid X \\neq Y ) < c _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 190, + 506, + 203 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 202, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 138, + 215 + ], + "score": 0.89, + "content": "c _ { n } < c", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 203, + 216, + 217 + ], + "score": 1.0, + "content": "for some constant", + "type": "text" + }, + { + "bbox": [ + 216, + 204, + 245, + 215 + ], + "score": 0.89, + "content": "c \\ll 1", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 203, + 266, + 217 + ], + "score": 1.0, + "content": "(i.e.", + "type": "text" + }, + { + "bbox": [ + 266, + 202, + 279, + 215 + ], + "score": 0.86, + "content": "\\widehat { h } _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 203, + 361, + 217 + ], + "score": 1.0, + "content": "perfectly estimates", + "type": "text" + }, + { + "bbox": [ + 361, + 204, + 373, + 215 + ], + "score": 0.85, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 203, + 396, + 217 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 396, + 204, + 409, + 215 + ], + "score": 0.86, + "content": "h _ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 409, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "is almost injective). If", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 215, + 433, + 234 + ], + "spans": [ + { + "bbox": [ + 107, + 216, + 182, + 229 + ], + "score": 0.92, + "content": "\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 216, + 237, + 230 + ], + "score": 1.0, + "content": "and errors in", + "type": "text" + }, + { + "bbox": [ + 237, + 217, + 244, + 228 + ], + "score": 0.83, + "content": "\\widehat g", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 216, + 314, + 230 + ], + "score": 1.0, + "content": "are independent,", + "type": "text" + }, + { + "bbox": [ + 314, + 215, + 429, + 234 + ], + "score": 0.89, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { i n f } \\operatorname { \\mathbb { P } } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - c .", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 216, + 433, + 230 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 174, + 506, + 234 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 239, + 470, + 257 + ], + "lines": [ + { + "bbox": [ + 104, + 237, + 469, + 258 + ], + "spans": [ + { + "bbox": [ + 104, + 239, + 156, + 253 + ], + "score": 1.0, + "content": "Moreover, if", + "type": "text" + }, + { + "bbox": [ + 157, + 241, + 199, + 253 + ], + "score": 0.91, + "content": "c _ { n } \\leq \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 239, + 260, + 253 + ], + "score": 1.0, + "content": "for some some", + "type": "text" + }, + { + "bbox": [ + 261, + 241, + 302, + 253 + ], + "score": 0.93, + "content": "\\alpha \\in ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 239, + 321, + 253 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 321, + 240, + 347, + 253 + ], + "score": 0.59, + "content": "\\beta > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 239, + 371, + 253 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 371, + 237, + 469, + 258 + ], + "score": 0.5, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) = 1 .", + "type": "inline_equation" + } + ], + "index": 11 + } + ], + "index": 11, + "bbox_fs": [ + 104, + 237, + 469, + 258 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 268, + 506, + 305 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 234, + 282 + ], + "score": 1.0, + "content": "Proof. For ease of writing, let", + "type": "text" + }, + { + "bbox": [ + 234, + 269, + 291, + 281 + ], + "score": 0.94, + "content": "X _ { i } = g ( X , i )", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 268, + 311, + 282 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 312, + 269, + 366, + 281 + ], + "score": 0.93, + "content": "Y _ { i } = \\widehat { g } ( X , i )", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 268, + 402, + 282 + ], + "score": 1.0, + "content": ", and let", + "type": "text" + }, + { + "bbox": [ + 403, + 269, + 486, + 281 + ], + "score": 0.91, + "content": "\\pmb { X } = ( X _ { 1 } , \\ldots , X _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 107, + 281, + 506, + 296 + ], + "spans": [ + { + "bbox": [ + 107, + 282, + 182, + 295 + ], + "score": 0.92, + "content": "Y = ( Y _ { 1 } , \\ldots , Y _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 281, + 461, + 296 + ], + "score": 1.0, + "content": ". We will compute some auxiliary probabilities, and then upper bound", + "type": "text" + }, + { + "bbox": [ + 461, + 281, + 502, + 295 + ], + "score": 0.93, + "content": "\\operatorname { I P } ( f = { \\widehat { f } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 281, + 506, + 296 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 293, + 217, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 293, + 217, + 306 + ], + "score": 1.0, + "content": "to finally compute its limit.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 268, + 506, + 306 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 128, + 308, + 481, + 337 + ], + "lines": [ + { + "bbox": [ + 128, + 308, + 481, + 337 + ], + "spans": [ + { + "bbox": [ + 128, + 308, + 481, + 337 + ], + "score": 0.9, + "content": "{ \\begin{array} { r l } & { \\mathbb { P } ( X = Y ) = \\mathbb { P } ( X _ { 1 } = Y _ { 1 } , X _ { 2 } = Y _ { 2 } , \\ldots , X _ { n } = Y _ { n } ) } \\\\ & { \\qquad = \\mathbb { P } ( X _ { 1 } = Y _ { 1 } ) \\cdot \\mathbb { P } ( X _ { 2 } = Y _ { 2 } ) \\ldots \\cdot \\mathbb { P } ( X _ { n } = Y _ { n } ) = \\mathbb { P } ( g = { \\widehat { g } } ) ^ { n } = ( 1 - \\epsilon ) ^ { n } } \\end{array} }", + "type": "interline_equation", + "image_path": "31667975c656018bada9587a212e80f562b9c22e8e65cbee87aca2f0f3271284.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 128, + 308, + 481, + 337 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 346, + 390, + 361 + ], + "lines": [ + { + "bbox": [ + 105, + 346, + 391, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 227, + 362 + ], + "score": 1.0, + "content": "Since by hypothesis we know", + "type": "text" + }, + { + "bbox": [ + 227, + 346, + 331, + 360 + ], + "score": 0.94, + "content": "\\mathbb { P } ( h _ { n } ( Y ) = \\widehat { h } _ { n } ( Y ) ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 346, + 391, + 362 + ], + "score": 1.0, + "content": ", we have that:", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 346, + 391, + 362 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 143, + 363, + 468, + 420 + ], + "lines": [ + { + "bbox": [ + 143, + 363, + 468, + 420 + ], + "spans": [ + { + "bbox": [ + 143, + 363, + 468, + 420 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\mathbb { P } ( h _ { n } ( \\pmb X ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) = \\mathbb { P } ( h _ { n } ( \\pmb X ) = \\widehat { h } _ { n } ( \\pmb Y ) \\cap h _ { n } ( \\pmb Y ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad = \\mathbb { P } ( h _ { n } ( \\pmb X ) = h _ { n } ( \\pmb Y ) = \\widehat { h } _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad \\le \\mathbb { P } ( h _ { n } ( \\pmb X ) = h _ { n } ( \\pmb Y ) \\mid \\pmb X \\neq \\pmb Y ) } \\\\ & { \\qquad < c _ { n } } \\end{array}", + "type": "interline_equation", + "image_path": "0832573737dc9ad9568257ea2dfd873f9ab6cdd9b881b2a1593bf76fb7ab0b4c.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 143, + 363, + 468, + 382.0 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 143, + 382.0, + 468, + 401.0 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 143, + 401.0, + 468, + 420.0 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 430, + 477, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 429, + 478, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 195, + 445 + ], + "score": 1.0, + "content": "We will now estimate", + "type": "text" + }, + { + "bbox": [ + 195, + 429, + 244, + 444 + ], + "score": 0.91, + "content": "\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 430, + 440, + 445 + ], + "score": 1.0, + "content": "using the law of total probability w.r.t. the event", + "type": "text" + }, + { + "bbox": [ + 440, + 432, + 474, + 442 + ], + "score": 0.9, + "content": "X = Y", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 430, + 478, + 445 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 429, + 478, + 445 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 446, + 513, + 537 + ], + "lines": [ + { + "bbox": [ + 111, + 446, + 513, + 537 + ], + "spans": [ + { + "bbox": [ + 111, + 446, + 513, + 537 + ], + "score": 0.92, + "content": "{ \\begin{array} { r l } { { \\widehat { \\gamma } } ( f _ { n } = { \\widehat { f } } _ { n } ) = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) ) } \\\\ & { \\qquad = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X = Y ) \\cdot \\operatorname { P } ( X = Y ) + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot \\operatorname { P } ( X \\neq Y ) } \\\\ & { \\qquad = \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( X ) ) \\cdot \\operatorname { P } ( X = Y ) + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - \\operatorname { P } ( X = Y ) ) } \\\\ & { \\qquad = 1 \\cdot ( 1 - \\epsilon ) ^ { n } + \\operatorname { P } ( h _ { n } ( X ) = { \\widehat { h } } _ { n } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - ( 1 - \\epsilon ) ^ { n } ) \\qquad { \\mathrm { ~ ( u s i n g ~ 2 ~ a n d ~ h y p o t h e s i s ) } } } \\\\ & { \\qquad < ( 1 - \\epsilon ) ^ { n } + c _ { n } \\cdot ( 1 - ( 1 - \\epsilon ) ^ { n } ) \\qquad { \\mathrm { ~ ( u s i n g ~ 3 ) } } } \\\\ & { \\qquad < c _ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c _ { n } ) } \\end{array} }", + "type": "interline_equation", + "image_path": "0ef1173134fefdbc12596997300b2bbe5b39ee35849b2ece0fe1a40a9ce9a8dd.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 111, + 446, + 513, + 476.3333333333333 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 111, + 476.3333333333333, + 513, + 506.66666666666663 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 111, + 506.66666666666663, + 513, + 537.0 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 545, + 506, + 587 + ], + "lines": [ + { + "bbox": [ + 105, + 545, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 351, + 560 + ], + "score": 1.0, + "content": "To conclude our proof, we will compute a lower bound for", + "type": "text" + }, + { + "bbox": [ + 351, + 545, + 459, + 559 + ], + "score": 0.8, + "content": "\\scriptstyle \\operatorname* { l i m } \\operatorname* { i n f } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq \\widehat { f } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 545, + 506, + 560 + ], + "score": 1.0, + "content": ". Note that", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 558, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 104, + 558, + 130, + 573 + ], + "score": 1.0, + "content": "since", + "type": "text" + }, + { + "bbox": [ + 130, + 561, + 159, + 571 + ], + "score": 0.87, + "content": "c _ { n } < c", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 558, + 187, + 573 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 187, + 563, + 194, + 570 + ], + "score": 0.71, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 558, + 255, + 573 + ], + "score": 1.0, + "content": ", we know that", + "type": "text" + }, + { + "bbox": [ + 255, + 558, + 407, + 572 + ], + "score": 0.91, + "content": "\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) < c + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c )", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 558, + 437, + 573 + ], + "score": 1.0, + "content": ". Then,", + "type": "text" + }, + { + "bbox": [ + 438, + 558, + 505, + 572 + ], + "score": 0.9, + "content": "\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) >", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 570, + 498, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 571, + 211, + 583 + ], + "score": 0.9, + "content": "1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c )", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 570, + 241, + 584 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 241, + 572, + 296, + 583 + ], + "score": 0.47, + "content": "1 - \\epsilon \\in [ 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 570, + 301, + 584 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 302, + 572, + 470, + 588 + ], + "score": 0.74, + "content": "\\operatorname* { l i m } _ { n + \\infty } 1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c ) = 1 - c", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 570, + 498, + 584 + ], + "score": 1.0, + "content": ". Thus,", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25, + "bbox_fs": [ + 104, + 545, + 506, + 588 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 172, + 592, + 438, + 612 + ], + "lines": [ + { + "bbox": [ + 172, + 592, + 438, + 612 + ], + "spans": [ + { + "bbox": [ + 172, + 592, + 438, + 612 + ], + "score": 0.85, + "content": "\\operatorname* { l i m i n f } _ { n \\to + \\infty } \\operatorname { I p } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\geq \\operatorname* { l i m i n f } _ { n \\to + \\infty } 1 - c - ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - c ) = 1 - c", + "type": "interline_equation", + "image_path": "42be23a5b205213bee6c72267eed93d7c9796152b953c85a80929da5cad662c9.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 172, + 592, + 438, + 612 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 621, + 217, + 633 + ], + "lines": [ + { + "bbox": [ + 106, + 619, + 217, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 619, + 217, + 634 + ], + "score": 1.0, + "content": "which concludes our proof.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28, + "bbox_fs": [ + 106, + 619, + 217, + 634 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 647, + 506, + 694 + ], + "lines": [ + { + "bbox": [ + 105, + 647, + 505, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 204, + 661 + ], + "score": 1.0, + "content": "Note: In the case where", + "type": "text" + }, + { + "bbox": [ + 205, + 649, + 246, + 659 + ], + "score": 0.89, + "content": "c _ { n } \\leq \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 647, + 505, + 661 + ], + "score": 1.0, + "content": ", we can derive an even stronger conclusion. In this case, we can", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 659, + 506, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 150, + 674 + ], + "score": 1.0, + "content": "prove that", + "type": "text" + }, + { + "bbox": [ + 151, + 659, + 248, + 677 + ], + "score": 0.89, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 660, + 299, + 674 + ], + "score": 1.0, + "content": ". Recall that", + "type": "text" + }, + { + "bbox": [ + 299, + 659, + 478, + 673 + ], + "score": 0.91, + "content": "\\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } ) < \\alpha \\beta ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\alpha \\beta ^ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 660, + 506, + 674 + ], + "score": 1.0, + "content": ". Note", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 676, + 467, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 147, + 691 + ], + "score": 1.0, + "content": "that since", + "type": "text" + }, + { + "bbox": [ + 147, + 678, + 202, + 689 + ], + "score": 0.9, + "content": "1 - \\epsilon \\in [ 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 676, + 221, + 691 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 221, + 677, + 262, + 689 + ], + "score": 0.91, + "content": "\\alpha \\in ( 0 , 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 676, + 301, + 691 + ], + "score": 1.0, + "content": ", trivially", + "type": "text" + }, + { + "bbox": [ + 301, + 677, + 464, + 694 + ], + "score": 0.9, + "content": "\\operatorname* { l i m } _ { n + \\infty } \\beta \\alpha ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\beta \\alpha ^ { n } ) = 0 .", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 676, + 467, + 691 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 647, + 506, + 694 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 119, + 698, + 492, + 720 + ], + "lines": [ + { + "bbox": [ + 119, + 698, + 492, + 720 + ], + "spans": [ + { + "bbox": [ + 119, + 698, + 492, + 720 + ], + "score": 0.88, + "content": "0 \\leq \\operatorname* { l i m i n f } _ { n + \\infty } \\operatorname* { l i m } _ { } \\operatorname* { l i m } _ { } ( f _ { n } = \\widehat { f } _ { n } ) \\leq \\operatorname* { l i m s u p } _ { n + \\infty } \\operatorname { l i m } _ { } ( f _ { n } = \\widehat { f } _ { n } ) \\leq \\operatorname* { l i m } _ { n + \\infty } \\operatorname* { s u p } _ { } \\beta \\alpha ^ { n } + ( 1 - \\epsilon ) ^ { n } \\cdot ( 1 - \\beta \\alpha ^ { n } ) = 0", + "type": "interline_equation", + "image_path": "90c6146951098859b48f0ea82c677ee4f7f13933d51fe4c4370cda6e75dcc00c.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 119, + 698, + 492, + 720 + ], + "spans": [], + "index": 32 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 69, + 505, + 96 + ], + "lines": [ + { + "bbox": [ + 105, + 70, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 132, + 87 + ], + "score": 1.0, + "content": "Then,", + "type": "text" + }, + { + "bbox": [ + 132, + 70, + 250, + 85 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } = \\widehat { f } _ { n } ) = 0 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 70, + 324, + 87 + ], + "score": 1.0, + "content": "and we conclude", + "type": "text" + }, + { + "bbox": [ + 325, + 70, + 441, + 85 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq \\widehat { f } _ { n } ) = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 70, + 506, + 87 + ], + "score": 1.0, + "content": ", assuming that", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 107, + 84, + 148, + 95 + ], + "score": 0.92, + "content": "c _ { n } \\leq \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 83, + 225, + 96 + ], + "score": 1.0, + "content": "for some adequate", + "type": "text" + }, + { + "bbox": [ + 226, + 84, + 244, + 95 + ], + "score": 0.89, + "content": "\\alpha , \\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 83, + 248, + 96 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 494, + 85, + 505, + 93 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 106, + 103, + 505, + 148 + ], + "lines": [ + { + "bbox": [ + 106, + 104, + 506, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 256, + 116 + ], + "score": 1.0, + "content": "Corollary D.1. Assume that a model", + "type": "text" + }, + { + "bbox": [ + 256, + 104, + 270, + 114 + ], + "score": 0.68, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 104, + 506, + 116 + ], + "score": 1.0, + "content": "solves shifted addition perfectly, but it incorrectly solves at", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 189, + 127 + ], + "score": 1.0, + "content": "least one m digit by", + "type": "text" + }, + { + "bbox": [ + 189, + 115, + 195, + 124 + ], + "score": 0.46, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 115, + 450, + 127 + ], + "score": 1.0, + "content": "digit multiplication for some fixed m. Then, the probability that", + "type": "text" + }, + { + "bbox": [ + 451, + 115, + 464, + 125 + ], + "score": 0.78, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "will solve", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 504, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 167, + 139 + ], + "score": 1.0, + "content": "any m digit by", + "type": "text" + }, + { + "bbox": [ + 167, + 128, + 174, + 136 + ], + "score": 0.35, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 126, + 466, + 139 + ], + "score": 1.0, + "content": "digit multiplication using the long-form multiplication algorithm tends to", + "type": "text" + }, + { + "bbox": [ + 466, + 127, + 473, + 136 + ], + "score": 0.56, + "content": "\\boldsymbol { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 126, + 496, + 139 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 497, + 128, + 504, + 136 + ], + "score": 0.6, + "content": "n", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 172, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 172, + 149 + ], + "score": 1.0, + "content": "tends to infinity.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 106, + 159, + 506, + 193 + ], + "lines": [ + { + "bbox": [ + 102, + 159, + 509, + 188 + ], + "spans": [ + { + "bbox": [ + 102, + 165, + 174, + 188 + ], + "score": 1.0, + "content": "1-digit numbers", + "type": "text" + }, + { + "bbox": [ + 105, + 159, + 151, + 172 + ], + "score": 1.0, + "content": "Proof. Let", + "type": "text" + }, + { + "bbox": [ + 152, + 160, + 191, + 171 + ], + "score": 0.91, + "content": "g = d \\circ s", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 171, + 204, + 182 + ], + "score": 0.88, + "content": "( x _ { m + j } )", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 159, + 361, + 172 + ], + "score": 1.0, + "content": "define the base-10 multiplication between", + "type": "text" + }, + { + "bbox": [ + 205, + 165, + 236, + 188 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 237, + 170, + 341, + 182 + ], + "score": 0.93, + "content": "s : \\mathbb { Z } _ { 1 0 } ^ { m + n } \\times \\mathbf { \\bar { N } } \\to \\mathbb { N } \\times \\mathbb { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 165, + 509, + 188 + ], + "score": 1.0, + "content": "denotes the selection of the numbers to", + "type": "text" + }, + { + "bbox": [ + 361, + 162, + 371, + 170 + ], + "score": 0.78, + "content": "m", + 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}", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 342, + 506, + 358 + ], + "score": 1.0, + "content": "denote estimators using", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 135, + 367 + ], + "score": 1.0, + "content": "model", + "type": "text" + }, + { + "bbox": [ + 135, + 356, + 148, + 365 + ], + "score": 0.82, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 354, + 237, + 367 + ], + "score": 1.0, + "content": "b. It can be shown that", + "type": "text" + }, + { + "bbox": [ + 238, + 356, + 394, + 367 + ], + "score": 0.88, + "content": "\\mathbb { P } ( h _ { n } ( X ) = h _ { n } ( Y ) \\mid X \\neq Y ) < \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 354, + 410, + 367 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 411, + 356, + 445, + 366 + ], + "score": 0.9, + "content": "\\alpha = 0 . 1", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 354, + 464, + 367 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 464, + 355, + 502, + 366 + ], + "score": 0.92, + "content": "\\beta = 1 0 ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 354, + 506, + 367 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 367, + 398, + 385 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 186, + 382 + ], + "score": 1.0, + "content": "Using Lemma D.1,", + "type": "text" + }, + { + "bbox": [ + 186, + 367, + 282, + 385 + ], + "score": 0.9, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) = 1", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 367, + 398, + 382 + ], + "score": 1.0, + "content": ", which concludes our proof.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 412, + 506, + 457 + ], + "lines": [ + { + "bbox": [ + 105, + 412, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 369, + 425 + ], + "score": 1.0, + "content": "Note that Lemma D.1’s proofs gives us empirical bounds once", + "type": "text" + }, + { + "bbox": [ + 369, + 415, + 375, + 423 + ], + "score": 0.73, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 412, + 394, + 425 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 394, + 415, + 402, + 423 + ], + "score": 0.78, + "content": "\\alpha", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 412, + 506, + 425 + ], + "score": 1.0, + "content": "are approximated. Also", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 424, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 424, + 221, + 435 + ], + "score": 1.0, + "content": "note that our definition of", + "type": "text" + }, + { + "bbox": [ + 222, + 425, + 228, + 435 + ], + "score": 0.77, + "content": "g", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 424, + 506, + 435 + ], + "score": 1.0, + "content": "in the proof of Corollary D.1 highlights two possible sources of", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 453, + 447 + ], + "score": 1.0, + "content": "exponentially-accumulating error: errors in the selection of the numbers to multiply", + "type": "text" + }, + { + "bbox": [ + 453, + 437, + 459, + 444 + ], + "score": 0.69, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 434, + 506, + 447 + ], + "score": 1.0, + "content": ", and errors", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 445, + 300, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 158, + 457 + ], + "score": 1.0, + "content": "in the actual", + "type": "text" + }, + { + "bbox": [ + 158, + 447, + 168, + 456 + ], + "score": 0.78, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 445, + 290, + 457 + ], + "score": 1.0, + "content": "-digit by 1-digit multiplication", + "type": "text" + }, + { + "bbox": [ + 291, + 446, + 297, + 455 + ], + "score": 0.75, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 445, + 300, + 457 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 106, + 468, + 492, + 481 + ], + "lines": [ + { + "bbox": [ + 105, + 467, + 492, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 492, + 482 + ], + "score": 1.0, + "content": "D.2 Error accumulates with larger iterative applications of an estimated function (depth)", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 487, + 505, + 529 + ], + "lines": [ + { + "bbox": [ + 105, + 487, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 194, + 503 + ], + "score": 1.0, + "content": "Proposition D.2. Let", + "type": "text" + }, + { + "bbox": [ + 194, + 489, + 256, + 501 + ], + "score": 0.93, + "content": "f _ { n } ( \\mathbf { x } ) = g ^ { n } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 487, + 293, + 503 + ], + "score": 1.0, + "content": ". Assume", + "type": "text" + }, + { + "bbox": [ + 293, + 488, + 421, + 501 + ], + "score": 0.9, + "content": "\\mathbb { P } ( g ( X ) = { \\widehat { g } } ( Y ) \\mid X \\neq Y ) \\leq c", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 487, + 506, + 503 + ], + "score": 1.0, + "content": "(i.e. recovering from", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 499, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 506, + 514 + ], + "score": 1.0, + "content": "a mistake due to the randomness of applying the estimator on an incorrect input has probability at", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 510, + 460, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 149, + 526 + ], + "score": 1.0, + "content": "most c). If", + "type": "text" + }, + { + "bbox": [ + 149, + 512, + 225, + 525 + ], + "score": 0.9, + "content": "\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 512, + 245, + 526 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 246, + 513, + 285, + 523 + ], + "score": 0.88, + "content": "c + \\epsilon < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 512, + 308, + 526 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 309, + 510, + 457, + 530 + ], + "score": 0.85, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I p } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - { \\dot { c } } / ( c + { \\dot { \\epsilon } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 512, + 460, + 526 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 105, + 540, + 505, + 562 + ], + "lines": [ + { + "bbox": [ + 105, + 539, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 554 + ], + "score": 1.0, + "content": "Proof. We first derive a recursive upper bound using the law of total probability, and then prove a", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 550, + 271, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 271, + 563 + ], + "score": 1.0, + "content": "non-recursive upper bound by induction.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 563, + 511, + 660 + ], + "lines": [ + { + "bbox": [ + 111, + 563, + 511, + 660 + ], + "spans": [ + { + "bbox": [ + 111, + 563, + 511, + 660 + ], + "score": 0.92, + "content": "\\begin{array} { r l } { \\mathfrak { n } : = \\mathbb { P } ( f _ { n } = \\widehat { f _ { n } } ) = \\mathbb { P } ( g ( g ^ { n - 1 } ( Z ) ) = \\widehat { g } ( \\widehat { g } ^ { n - 1 } ( Z ) ) ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) ) \\quad \\mathrm { ~ w h e r e ~ } X : = g ^ { n - 1 } ( Z ) \\mathrm { ~ a n d ~ } Y : = \\widehat { g } ^ { n - 1 } ( Z ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X = Y ) \\cdot \\mathbb { P } ( X = Y ) + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot \\mathbb { P } ( X \\neq Y ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( X ) ) \\cdot \\mathbb { P } ( X = Y ) + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - \\mathbb { P } ( X = Y ) ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( X ) ) \\cdot s _ { n - 1 } + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - s _ { n - 1 } ) } \\\\ & { \\qquad \\leq ( 1 - \\epsilon ) \\cdot s _ { n - 1 } + c \\cdot ( 1 - s _ { n - 1 } ) } \\\\ & { \\qquad \\leq ( 1 - \\epsilon - c ) \\cdot s _ { n - 1 } + c } \\end{array}", + "type": "interline_equation", + "image_path": "e9984865717d88c0cc4a907f73f50b79079c151df885f11302470670313efe56.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 111, + 563, + 511, + 595.3333333333334 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 111, + 595.3333333333334, + 511, + 627.6666666666667 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 111, + 627.6666666666667, + 511, + 660.0000000000001 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 666, + 507, + 690 + ], + "lines": [ + { + "bbox": [ + 104, + 666, + 507, + 683 + ], + "spans": [ + { + "bbox": [ + 104, + 666, + 146, + 683 + ], + "score": 1.0, + "content": "We know", + "type": "text" + }, + { + "bbox": [ + 147, + 668, + 199, + 681 + ], + "score": 0.92, + "content": "s _ { 1 } = ( 1 - \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 666, + 224, + 683 + ], + "score": 1.0, + "content": "since", + "type": "text" + }, + { + "bbox": [ + 224, + 666, + 346, + 681 + ], + "score": 0.93, + "content": "s _ { 1 } = \\mathbb { P } ( f _ { 1 } = \\widehat { f } _ { 1 } ) = \\mathbb { P } ( g = \\widehat { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 666, + 366, + 683 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 367, + 669, + 426, + 679 + ], + "score": 0.9, + "content": "b : = 1 - \\epsilon - c", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 666, + 507, + 683 + ], + "score": 1.0, + "content": "for ease of writing.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 678, + 168, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 168, + 693 + ], + "score": 1.0, + "content": "Then, we have", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5 + }, + { + "type": "interline_equation", + "bbox": [ + 268, + 690, + 343, + 703 + ], + "lines": [ + { + "bbox": [ + 268, + 690, + 343, + 703 + ], + "spans": [ + { + "bbox": [ + 268, + 690, + 343, + 703 + ], + "score": 0.87, + "content": "s _ { n } \\leq b \\cdot s _ { n - 1 } + c", + "type": "interline_equation", + "image_path": "33f48181f3f7e419cc2b1029e0f1c3471032aed8283f6416bbfff717c8fc201d.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 268, + 690, + 343, + 703 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 398, + 723 + ], + "lines": [ + { + "bbox": [ + 103, + 705, + 394, + 727 + ], + "spans": [ + { + "bbox": [ + 103, + 705, + 267, + 727 + ], + "score": 1.0, + "content": "It can be easily shown by induction that", + "type": "text" + }, + { + "bbox": [ + 267, + 708, + 394, + 723 + ], + "score": 0.89, + "content": "\\begin{array} { r } { s _ { n } \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { n - 2 } b ^ { i } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 35 + } + ], + "index": 35 + } + ], + "page_idx": 35, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 298, + 740, + 313, + 753 + ], + "spans": [ + { + "bbox": [ + 298, + 740, + 313, + 753 + ], + "score": 1.0, + "content": "36", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 389, + 505, + 400 + ], + "lines": [ + { + "bbox": [ + 495, + 390, + 505, + 402 + ], + "spans": [ + { + "bbox": [ + 495, + 390, + 505, + 402 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 69, + 505, + 96 + ], + "lines": [ + { + "bbox": [ + 105, + 70, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 70, + 132, + 87 + ], + "score": 1.0, + "content": "Then,", + "type": "text" + }, + { + "bbox": [ + 132, + 70, + 250, + 85 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } = \\widehat { f } _ { n } ) = 0 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 70, + 324, + 87 + ], + "score": 1.0, + "content": "and we conclude", + "type": "text" + }, + { + "bbox": [ + 325, + 70, + 441, + 85 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I P } ( f _ { n } \\neq \\widehat { f } _ { n } ) = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 70, + 506, + 87 + ], + "score": 1.0, + "content": ", assuming that", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 107, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 107, + 84, + 148, + 95 + ], + "score": 0.92, + "content": "c _ { n } \\leq \\beta \\alpha ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 149, + 83, + 225, + 96 + ], + "score": 1.0, + "content": "for some adequate", + "type": "text" + }, + { + "bbox": [ + 226, + 84, + 244, + 95 + ], + "score": 0.89, + "content": "\\alpha , \\beta", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 83, + 248, + 96 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 494, + 85, + 505, + 93 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 70, + 506, + 96 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 103, + 505, + 148 + ], + "lines": [ + { + "bbox": [ + 106, + 104, + 506, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 104, + 256, + 116 + ], + "score": 1.0, + "content": "Corollary D.1. Assume that a model", + "type": "text" + }, + { + "bbox": [ + 256, + 104, + 270, + 114 + ], + "score": 0.68, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 104, + 506, + 116 + ], + "score": 1.0, + "content": "solves shifted addition perfectly, but it incorrectly solves at", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 189, + 127 + ], + "score": 1.0, + "content": "least one m digit by", + "type": "text" + }, + { + "bbox": [ + 189, + 115, + 195, + 124 + ], + "score": 0.46, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 115, + 450, + 127 + ], + "score": 1.0, + "content": "digit multiplication for some fixed m. Then, the probability that", + "type": "text" + }, + { + "bbox": [ + 451, + 115, + 464, + 125 + ], + "score": 0.78, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 115, + 505, + 127 + ], + "score": 1.0, + "content": "will solve", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 504, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 167, + 139 + ], + "score": 1.0, + "content": "any m digit by", + "type": "text" + }, + { + "bbox": [ + 167, + 128, + 174, + 136 + ], + "score": 0.35, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 126, + 466, + 139 + ], + "score": 1.0, + "content": "digit multiplication using the long-form multiplication algorithm tends to", + "type": "text" + }, + { + "bbox": [ + 466, + 127, + 473, + 136 + ], + "score": 0.56, + "content": "\\boldsymbol { \\theta }", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 126, + 496, + 139 + ], + "score": 1.0, + "content": "when", + "type": "text" + }, + { + "bbox": [ + 497, + 128, + 504, + 136 + ], + "score": 0.6, + "content": "n", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 172, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 172, + 149 + ], + "score": 1.0, + "content": "tends to infinity.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 104, + 506, + 149 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 159, + 506, + 193 + ], + "lines": [ + { + "bbox": [ + 102, + 159, + 509, + 188 + ], + "spans": [ + { + "bbox": [ + 102, + 165, + 174, + 188 + ], + "score": 1.0, + "content": "1-digit numbers", + "type": "text" + }, + { + "bbox": [ + 105, + 159, + 151, + 172 + ], + "score": 1.0, + "content": "Proof. 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Let", + "type": "text" + }, + { + "bbox": [ + 194, + 489, + 256, + 501 + ], + "score": 0.93, + "content": "f _ { n } ( \\mathbf { x } ) = g ^ { n } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 256, + 487, + 293, + 503 + ], + "score": 1.0, + "content": ". Assume", + "type": "text" + }, + { + "bbox": [ + 293, + 488, + 421, + 501 + ], + "score": 0.9, + "content": "\\mathbb { P } ( g ( X ) = { \\widehat { g } } ( Y ) \\mid X \\neq Y ) \\leq c", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 487, + 506, + 503 + ], + "score": 1.0, + "content": "(i.e. recovering from", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 499, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 506, + 514 + ], + "score": 1.0, + "content": "a mistake due to the randomness of applying the estimator on an incorrect input has probability at", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 510, + 460, + 530 + ], + "spans": [ + { + "bbox": [ + 106, + 512, + 149, + 526 + ], + "score": 1.0, + "content": "most c). If", + "type": "text" + }, + { + "bbox": [ + 149, + 512, + 225, + 525 + ], + "score": 0.9, + "content": "\\mathbb { P } ( g \\neq { \\widehat { g } } ) = \\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 512, + 245, + 526 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 246, + 513, + 285, + 523 + ], + "score": 0.88, + "content": "c + \\epsilon < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 512, + 308, + 526 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 309, + 510, + 457, + 530 + ], + "score": 0.85, + "content": "\\operatorname* { l i m } _ { n \\to + \\infty } \\operatorname { I p } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) \\geq 1 - { \\dot { c } } / ( c + { \\dot { \\epsilon } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 512, + 460, + 526 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 487, + 506, + 530 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 540, + 505, + 562 + ], + "lines": [ + { + "bbox": [ + 105, + 539, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 554 + ], + "score": 1.0, + "content": "Proof. We first derive a recursive upper bound using the law of total probability, and then prove a", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 550, + 271, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 550, + 271, + 563 + ], + "score": 1.0, + "content": "non-recursive upper bound by induction.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 539, + 506, + 563 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 563, + 511, + 660 + ], + "lines": [ + { + "bbox": [ + 111, + 563, + 511, + 660 + ], + "spans": [ + { + "bbox": [ + 111, + 563, + 511, + 660 + ], + "score": 0.92, + "content": "\\begin{array} { r l } { \\mathfrak { n } : = \\mathbb { P } ( f _ { n } = \\widehat { f _ { n } } ) = \\mathbb { P } ( g ( g ^ { n - 1 } ( Z ) ) = \\widehat { g } ( \\widehat { g } ^ { n - 1 } ( Z ) ) ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) ) \\quad \\mathrm { ~ w h e r e ~ } X : = g ^ { n - 1 } ( Z ) \\mathrm { ~ a n d ~ } Y : = \\widehat { g } ^ { n - 1 } ( Z ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X = Y ) \\cdot \\mathbb { P } ( X = Y ) + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot \\mathbb { P } ( X \\neq Y ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( X ) ) \\cdot \\mathbb { P } ( X = Y ) + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - \\mathbb { P } ( X = Y ) ) } \\\\ & { \\qquad = \\mathbb { P } ( g ( X ) = \\widehat { g } ( X ) ) \\cdot s _ { n - 1 } + \\mathbb { P } ( g ( X ) = \\widehat { g } ( Y ) \\mid X \\neq Y ) \\cdot ( 1 - s _ { n - 1 } ) } \\\\ & { \\qquad \\leq ( 1 - \\epsilon ) \\cdot s _ { n - 1 } + c \\cdot ( 1 - s _ { n - 1 } ) } \\\\ & { \\qquad \\leq ( 1 - \\epsilon - c ) \\cdot s _ { n - 1 } + c } \\end{array}", + "type": "interline_equation", + "image_path": "e9984865717d88c0cc4a907f73f50b79079c151df885f11302470670313efe56.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 111, + 563, + 511, + 595.3333333333334 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 111, + 595.3333333333334, + 511, + 627.6666666666667 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 111, + 627.6666666666667, + 511, + 660.0000000000001 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 666, + 507, + 690 + ], + "lines": [ + { + "bbox": [ + 104, + 666, + 507, + 683 + ], + "spans": [ + { + "bbox": [ + 104, + 666, + 146, + 683 + ], + "score": 1.0, + "content": "We know", + "type": "text" + }, + { + "bbox": [ + 147, + 668, + 199, + 681 + ], + "score": 0.92, + "content": "s _ { 1 } = ( 1 - \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 199, + 666, + 224, + 683 + ], + "score": 1.0, + "content": "since", + "type": "text" + }, + { + "bbox": [ + 224, + 666, + 346, + 681 + ], + "score": 0.93, + "content": "s _ { 1 } = \\mathbb { P } ( f _ { 1 } = \\widehat { f } _ { 1 } ) = \\mathbb { P } ( g = \\widehat { g } )", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 666, + 366, + 683 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 367, + 669, + 426, + 679 + ], + "score": 0.9, + "content": "b : = 1 - \\epsilon - c", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 666, + 507, + 683 + ], + "score": 1.0, + "content": "for ease of writing.", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 678, + 168, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 168, + 693 + ], + "score": 1.0, + "content": "Then, we have", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32.5, + "bbox_fs": [ + 104, + 666, + 507, + 693 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 268, + 690, + 343, + 703 + ], + "lines": [ + { + "bbox": [ + 268, + 690, + 343, + 703 + ], + "spans": [ + { + "bbox": [ + 268, + 690, + 343, + 703 + ], + "score": 0.87, + "content": "s _ { n } \\leq b \\cdot s _ { n - 1 } + c", + "type": "interline_equation", + "image_path": "33f48181f3f7e419cc2b1029e0f1c3471032aed8283f6416bbfff717c8fc201d.jpg" + } + ] + } + ], + "index": 34, + "virtual_lines": [ + { + "bbox": [ + 268, + 690, + 343, + 703 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 398, + 723 + ], + "lines": [ + { + "bbox": [ + 103, + 705, + 394, + 727 + ], + "spans": [ + { + "bbox": [ + 103, + 705, + 267, + 727 + ], + "score": 1.0, + "content": "It can be easily shown by induction that", + "type": "text" + }, + { + "bbox": [ + 267, + 708, + 394, + 723 + ], + "score": 0.89, + "content": "\\begin{array} { r } { s _ { n } \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { n - 2 } b ^ { i } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 35 + } + ], + "index": 35, + "bbox_fs": [ + 103, + 705, + 394, + 727 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 134, + 72, + 504, + 99 + ], + "lines": [ + { + "bbox": [ + 132, + 71, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 132, + 71, + 200, + 86 + ], + "score": 1.0, + "content": "• The base case", + "type": "text" + }, + { + "bbox": [ + 200, + 73, + 226, + 83 + ], + "score": 0.89, + "content": "n = 2", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 71, + 313, + 86 + ], + "score": 1.0, + "content": "is true since we know", + "type": "text" + }, + { + "bbox": [ + 314, + 73, + 375, + 84 + ], + "score": 0.9, + "content": "s _ { 2 } \\leq b \\cdot s _ { 1 } + c , ", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 71, + 394, + 86 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 394, + 73, + 505, + 84 + ], + "score": 0.89, + "content": "b \\cdot s _ { 1 } + c = b ( 1 - \\epsilon ) + c =", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 142, + 78, + 426, + 105 + ], + "spans": [ + { + "bbox": [ + 142, + 84, + 244, + 99 + ], + "score": 0.9, + "content": "\\begin{array} { r } { b ^ { 2 - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { 2 - 2 } b ^ { i } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 78, + 303, + 105 + ], + "score": 1.0, + "content": ", thus showing", + "type": "text" + }, + { + "bbox": [ + 303, + 84, + 426, + 99 + ], + "score": 0.89, + "content": "\\begin{array} { r } { s _ { 2 } \\leq b ^ { 2 - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { 2 - 2 } b ^ { i } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 134, + 104, + 353, + 116 + ], + "lines": [ + { + "bbox": [ + 133, + 102, + 353, + 118 + ], + "spans": [ + { + "bbox": [ + 133, + 102, + 353, + 118 + ], + "score": 1.0, + "content": "• The inductive step yields directly using Equation 4,", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "interline_equation", + "bbox": [ + 140, + 121, + 525, + 171 + ], + "lines": [ + { + "bbox": [ + 140, + 121, + 525, + 171 + ], + "spans": [ + { + "bbox": [ + 140, + 121, + 525, + 171 + ], + "score": 0.91, + "content": "\\begin{array} { l } { { s _ { n } \\leq b \\cdot s _ { n - 1 } + c } } \\\\ { { \\mathrm { } \\quad \\leq b \\cdot \\left( b ^ { n - 2 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 0 } ^ { n - 3 } b ^ { i } \\right) + c \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 1 } ^ { n - 2 } b ^ { i } + c \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 0 } ^ { n - 2 } b ^ { i } } } \\end{array}", + "type": "interline_equation", + "image_path": "e2c512b6f3caa2990a018eb887e6ee0b7e95d52b10186879a349358eb48823ed.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 140, + 121, + 525, + 137.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 140, + 137.66666666666666, + 525, + 154.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 140, + 154.33333333333331, + 525, + 170.99999999999997 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 181, + 506, + 197 + ], + "lines": [ + { + "bbox": [ + 101, + 176, + 503, + 203 + ], + "spans": [ + { + "bbox": [ + 101, + 176, + 247, + 203 + ], + "score": 1.0, + "content": "We can rewrite the geometric series", + "type": "text" + }, + { + "bbox": [ + 248, + 182, + 284, + 197 + ], + "score": 0.93, + "content": "\\textstyle \\sum _ { i = 0 } ^ { n - 2 } b ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 176, + 356, + 203 + ], + "score": 1.0, + "content": "in its closed form", + "type": "text" + }, + { + "bbox": [ + 357, + 181, + 387, + 198 + ], + "score": 0.93, + "content": "\\frac { 1 - b ^ { n - 1 } } { 1 - b }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 176, + 444, + 203 + ], + "score": 1.0, + "content": ", and recalling", + "type": "text" + }, + { + "bbox": [ + 444, + 184, + 503, + 195 + ], + "score": 0.88, + "content": "b : = 1 - \\epsilon - c", + "type": "inline_equation" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 202, + 430, + 277 + ], + "lines": [ + { + "bbox": [ + 181, + 202, + 430, + 277 + ], + "spans": [ + { + "bbox": [ + 181, + 202, + 430, + 277 + ], + "score": 0.94, + "content": "\\begin{array} { l } { { s _ { n } \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\frac { 1 - b ^ { n - 1 } } { 1 - b } = b ^ { n - 1 } ( 1 - \\epsilon ) + c \\frac { 1 - b ^ { n - 1 } } { c + \\epsilon } } } \\\\ { { \\ = b ^ { n - 1 } ( 1 - \\epsilon ) + \\frac { c } { c + \\epsilon } - b ^ { n - 1 } \\frac { c } { c + \\epsilon } } } \\\\ { { \\ = b ^ { n - 1 } \\Big ( 1 - \\epsilon - \\frac { c } { c + \\epsilon } \\Big ) + \\frac { c } { c + \\epsilon } } } \\end{array}", + "type": "interline_equation", + "image_path": "fd050831d4887b4d9666730100a496c8fa3751fc96cdbec02db0d40c9ffb6b47.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 181, + 202, + 430, + 227.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 181, + 227.0, + 430, + 252.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 181, + 252.0, + 430, + 277.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 285, + 506, + 313 + ], + "lines": [ + { + "bbox": [ + 104, + 283, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 104, + 283, + 167, + 305 + ], + "score": 1.0, + "content": "Recalling that", + "type": "text" + }, + { + "bbox": [ + 168, + 286, + 248, + 300 + ], + "score": 0.9, + "content": "s _ { n } = \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 283, + 392, + 305 + ], + "score": 1.0, + "content": ", we compute the limit inferior of", + "type": "text" + }, + { + "bbox": [ + 392, + 286, + 505, + 301 + ], + "score": 0.9, + "content": "\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) = 1 - s _ { n } \\geq", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 297, + 234, + 316 + ], + "spans": [ + { + "bbox": [ + 104, + 297, + 234, + 316 + ], + "score": 1.0, + "content": "1 − b n − 1 (1 − ϵ − cc +ϵ ) − cc +ϵ .", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "interline_equation", + "bbox": [ + 146, + 318, + 465, + 342 + ], + "lines": [ + { + "bbox": [ + 146, + 318, + 465, + 342 + ], + "spans": [ + { + "bbox": [ + 146, + 318, + 465, + 342 + ], + "score": 0.92, + "content": "\\operatorname* { l i m i n f } _ { n \\to + \\infty } \\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\geq \\operatorname* { l i m } _ { n \\to + \\infty } 1 - b ^ { n - 1 } \\bigg ( 1 - \\epsilon - \\frac { c } { c + \\epsilon } \\bigg ) - \\frac { c } { c + \\epsilon } = 1 - \\frac { c } { c + \\epsilon }", + "type": "interline_equation", + "image_path": "1d051f4e61b2c40fdec3a80eb9720cc0b6f09d04328df57d9b6c69370da6a55c.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 146, + 318, + 465, + 342 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 351, + 208, + 363 + ], + "lines": [ + { + "bbox": [ + 106, + 349, + 209, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 209, + 365 + ], + "score": 1.0, + "content": "that concludes our proof.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 375, + 506, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 374, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 506, + 390 + ], + "score": 1.0, + "content": "We can generalize the proof in Lemma 4.2 to tasks where there are potentially many valid reasoning", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 385, + 352, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 352, + 399 + ], + "score": 1.0, + "content": "chains with the following alternative state-transition framing.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "text", + "bbox": [ + 106, + 401, + 506, + 462 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 181, + 414 + ], + "score": 1.0, + "content": "Lemma D.2. Let", + "type": "text" + }, + { + "bbox": [ + 182, + 402, + 190, + 411 + ], + "score": 0.61, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "denote the set of all possible states a language model can generate, and let", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 412, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 107, + 412, + 167, + 424 + ], + "score": 0.92, + "content": "z : S \\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 412, + 266, + 424 + ], + "score": 1.0, + "content": "defines if a state is valid (", + "type": "text" + }, + { + "bbox": [ + 266, + 413, + 281, + 423 + ], + "score": 0.8, + "content": "O =", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 412, + 331, + 424 + ], + "score": 1.0, + "content": "invalid). Let", + "type": "text" + }, + { + "bbox": [ + 332, + 412, + 389, + 424 + ], + "score": 0.93, + "content": "{ \\widehat { g } } : S \\to \\Pi ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 412, + 506, + 424 + ], + "score": 1.0, + "content": "be a state-transition function", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 423, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 506, + 435 + ], + "score": 1.0, + "content": "representing a language model’s probability distribution of generating each possible next state when", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 339, + 447 + ], + "score": 1.0, + "content": "attempting to perform a single reasoning step. Assume", + "type": "text" + }, + { + "bbox": [ + 339, + 434, + 485, + 446 + ], + "score": 0.79, + "content": "\\mathbb { P } ( z ( \\widehat { g } ( X ) ) = 1 \\mid z ( X ) = 0 ) \\le c", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 444, + 507, + 463 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 259, + 457 + ], + "score": 0.91, + "content": "\\mathbb { P } ( z ( \\bar { g } ( X ) ) = \\bar { 0 } \\mid \\bar { z } ( X ) = 1 ) \\bar { = } \\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 444, + 279, + 458 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 280, + 446, + 319, + 456 + ], + "score": 0.89, + "content": "c + \\epsilon < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 444, + 367, + 458 + ], + "score": 1.0, + "content": ". Then, lim i", + "type": "text" + }, + { + "bbox": [ + 348, + 454, + 367, + 463 + ], + "score": 1.0, + "content": "n→+", + "type": "text" + }, + { + "bbox": [ + 368, + 446, + 502, + 462 + ], + "score": 0.79, + "content": "\\underset { \\infty } { \\mathrm { n f } } \\mathbb { P } ( z ( \\widehat { g } ^ { n } ) = 0 ) = 1 - c / ( c + \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 444, + 507, + 458 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 470, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 148, + 482 + ], + "score": 1.0, + "content": "If for task", + "type": "text" + }, + { + "bbox": [ + 149, + 471, + 157, + 480 + ], + "score": 0.79, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 470, + 505, + 482 + ], + "score": 1.0, + "content": "we know that all valid reasoning chains to arrive at a correct result have at least length", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 481, + 504, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 114, + 491 + ], + "score": 0.73, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 481, + 244, + 493 + ], + "score": 1.0, + "content": "(i.e., the equivalent of defining", + "type": "text" + }, + { + "bbox": [ + 245, + 481, + 281, + 493 + ], + "score": 0.92, + "content": "f _ { n } = g ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 481, + 495, + 493 + ], + "score": 1.0, + "content": "in Lemma D.1) then the probability of solving task", + "type": "text" + }, + { + "bbox": [ + 495, + 482, + 504, + 491 + ], + "score": 0.79, + "content": "T", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 492, + 253, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 209, + 505 + ], + "score": 1.0, + "content": "correctly tends to at most", + "type": "text" + }, + { + "bbox": [ + 210, + 492, + 248, + 505 + ], + "score": 0.93, + "content": "c / ( c + \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 492, + 253, + 505 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 507, + 504, + 541 + ], + "lines": [ + { + "bbox": [ + 105, + 506, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 506, + 521 + ], + "score": 1.0, + "content": "Corollary D.3. The recursions for dynamic programming tasks, the m-by-1 digit multiplication, and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "score": 1.0, + "content": "the puzzle’s elimination function are all tasks where there is a fixed reasoning step g being repeatedly", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 529, + 395, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 395, + 541 + ], + "score": 1.0, + "content": "applied. Therefore, we can directly apply Proposition 4.2 to these tasks.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 552, + 322, + 565 + ], + "lines": [ + { + "bbox": [ + 106, + 552, + 322, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 322, + 567 + ], + "score": 1.0, + "content": "Proof. Let’s analyze the three tasks separately below.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 575, + 506, + 621 + ], + "lines": [ + { + "bbox": [ + 106, + 575, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 116, + 587 + ], + "score": 0.75, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 575, + 309, + 590 + ], + "score": 1.0, + "content": "-by-1 digit multiplication may be viewed as", + "type": "text" + }, + { + "bbox": [ + 310, + 576, + 338, + 588 + ], + "score": 0.9, + "content": "f ^ { m } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 575, + 364, + 590 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 364, + 576, + 441, + 588 + ], + "score": 0.9, + "content": "\\boldsymbol { x } = ( x _ { 1 } , \\dots , x _ { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 575, + 471, + 590 + ], + "score": 1.0, + "content": "be the", + "type": "text" + }, + { + "bbox": [ + 472, + 578, + 482, + 586 + ], + "score": 0.78, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 575, + 506, + 590 + ], + "score": 1.0, + "content": "-digit", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 587, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 303, + 600 + ], + "score": 1.0, + "content": "number that we multiply by the 1-digit number", + "type": "text" + }, + { + "bbox": [ + 303, + 589, + 310, + 599 + ], + "score": 0.77, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 587, + 315, + 600 + ], + "score": 1.0, + "content": "(", + "type": "text" + }, + { + "bbox": [ + 315, + 588, + 367, + 599 + ], + "score": 0.88, + "content": "0 \\leq y < 1 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 587, + 391, + 600 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 392, + 588, + 473, + 599 + ], + "score": 0.89, + "content": "z = ( z _ { 1 } , \\dots , z _ { m + 1 } )", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 587, + 506, + 600 + ], + "score": 1.0, + "content": "denote", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 107, + 597, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 107, + 599, + 144, + 609 + ], + "score": 0.88, + "content": "z = x \\cdot y", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 597, + 290, + 610 + ], + "score": 1.0, + "content": ", which is guaranteed to have exactly", + "type": "text" + }, + { + "bbox": [ + 291, + 599, + 318, + 609 + ], + "score": 0.9, + "content": "m + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 597, + 506, + 610 + ], + "score": 1.0, + "content": "digits (with possibly leading zeros). We define", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 608, + 130, + 622 + ], + "spans": [ + { + "bbox": [ + 107, + 610, + 114, + 621 + ], + "score": 0.83, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 608, + 130, + 622 + ], + "score": 1.0, + "content": "as:", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 29.5 + }, + { + "type": "interline_equation", + "bbox": [ + 167, + 626, + 444, + 640 + ], + "lines": [ + { + "bbox": [ + 167, + 626, + 444, + 640 + ], + "spans": [ + { + "bbox": [ + 167, + 626, + 444, + 640 + ], + "score": 0.88, + "content": "f ( x _ { 1 } , \\dots , x _ { m } , y , i , c ) : = ( x _ { 1 } , \\dots , x _ { i - 1 } , x _ { i } ^ { \\prime } , x _ { i + 1 } , \\dots x _ { m } , y , i - 1 , c ^ { \\prime } )", + "type": "interline_equation", + "image_path": "c085adfc232e49a513a8125d73fe9e36d2f14ee9a0c3e77cc78f34d773eda324.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 167, + 626, + 444, + 640 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 650, + 502, + 674 + ], + "lines": [ + { + "bbox": [ + 105, + 649, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 134, + 664 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 650, + 211, + 663 + ], + "score": 0.88, + "content": "x _ { i } ^ { \\prime } : = ( x _ { i } \\cdot y + c )", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 649, + 270, + 664 + ], + "score": 1.0, + "content": "mod 10 and", + "type": "text" + }, + { + "bbox": [ + 270, + 650, + 368, + 663 + ], + "score": 0.91, + "content": "c ^ { \\prime } : = \\lfloor ( x _ { i } \\cdot y + c ) / 1 0 \\rfloor", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 649, + 416, + 664 + ], + "score": 1.0, + "content": ". Note that", + "type": "text" + }, + { + "bbox": [ + 416, + 650, + 460, + 663 + ], + "score": 0.93, + "content": "x _ { i } ^ { \\prime } = z _ { i + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 649, + 486, + 664 + ], + "score": 1.0, + "content": "since", + "type": "text" + }, + { + "bbox": [ + 487, + 651, + 494, + 662 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 649, + 506, + 664 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 661, + 360, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 661, + 360, + 675 + ], + "score": 1.0, + "content": "performing one step of the long-form multiplication algorithm.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5 + }, + { + "type": "text", + "bbox": [ + 106, + 677, + 505, + 723 + ], + "lines": [ + { + "bbox": [ + 104, + 676, + 507, + 691 + ], + "spans": [ + { + "bbox": [ + 104, + 676, + 214, + 691 + ], + "score": 1.0, + "content": "Let the initial input be", + "type": "text" + }, + { + "bbox": [ + 214, + 678, + 335, + 690 + ], + "score": 0.87, + "content": "\\textbf { x } : = \\ ( x _ { 1 } , \\dots , x _ { m } , y , m , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 676, + 507, + 691 + ], + "score": 1.0, + "content": ". 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Since", + "type": "text" + }, + { + "bbox": [ + 298, + 691, + 305, + 699 + ], + "score": 0.72, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 685, + 507, + 704 + ], + "score": 1.0, + "content": "is the left-most carry, it is the leading digit", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 119, + 712 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 120, + 702, + 126, + 710 + ], + "score": 0.76, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 699, + 155, + 712 + ], + "score": 1.0, + "content": ", i.e.", + "type": "text" + }, + { + "bbox": [ + 155, + 702, + 192, + 711 + ], + "score": 0.85, + "content": "c \\ = \\ z _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 699, + 361, + 712 + ], + "score": 1.0, + "content": "(possibly zero) . 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\\epsilon ) + c =", + "type": "inline_equation" + } + ], + "index": 0 + }, + { + "bbox": [ + 142, + 78, + 426, + 105 + ], + "spans": [ + { + "bbox": [ + 142, + 84, + 244, + 99 + ], + "score": 0.9, + "content": "\\begin{array} { r } { b ^ { 2 - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { 2 - 2 } b ^ { i } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 78, + 303, + 105 + ], + "score": 1.0, + "content": ", thus showing", + "type": "text" + }, + { + "bbox": [ + 303, + 84, + 426, + 99 + ], + "score": 0.89, + "content": "\\begin{array} { r } { s _ { 2 } \\leq b ^ { 2 - 1 } ( 1 - \\epsilon ) + c \\sum _ { i = 0 } ^ { 2 - 2 } b ^ { i } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 132, + 71, + 505, + 105 + ] + }, + { + "type": "text", + "bbox": [ + 134, + 104, + 353, + 116 + ], + "lines": [ + { + "bbox": [ + 133, + 102, + 353, + 118 + ], + "spans": [ + { + "bbox": [ + 133, + 102, + 353, + 118 + ], + "score": 1.0, + "content": "• The inductive step yields directly using Equation 4,", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 133, + 102, + 353, + 118 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 140, + 121, + 525, + 171 + ], + "lines": [ + { + "bbox": [ + 140, + 121, + 525, + 171 + ], + "spans": [ + { + "bbox": [ + 140, + 121, + 525, + 171 + ], + "score": 0.91, + "content": "\\begin{array} { l } { { s _ { n } \\leq b \\cdot s _ { n - 1 } + c } } \\\\ { { \\mathrm { } \\quad \\leq b \\cdot \\left( b ^ { n - 2 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 0 } ^ { n - 3 } b ^ { i } \\right) + c \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 1 } ^ { n - 2 } b ^ { i } + c \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\displaystyle \\sum _ { i = 0 } ^ { n - 2 } b ^ { i } } } \\end{array}", + "type": "interline_equation", + "image_path": "e2c512b6f3caa2990a018eb887e6ee0b7e95d52b10186879a349358eb48823ed.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 140, + 121, + 525, + 137.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 140, + 137.66666666666666, + 525, + 154.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 140, + 154.33333333333331, + 525, + 170.99999999999997 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 181, + 506, + 197 + ], + "lines": [ + { + "bbox": [ + 101, + 176, + 503, + 203 + ], + "spans": [ + { + "bbox": [ + 101, + 176, + 247, + 203 + ], + "score": 1.0, + "content": "We can rewrite the geometric series", + "type": "text" + }, + { + "bbox": [ + 248, + 182, + 284, + 197 + ], + "score": 0.93, + "content": "\\textstyle \\sum _ { i = 0 } ^ { n - 2 } b ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 176, + 356, + 203 + ], + "score": 1.0, + "content": "in its closed form", + "type": "text" + }, + { + "bbox": [ + 357, + 181, + 387, + 198 + ], + "score": 0.93, + "content": "\\frac { 1 - b ^ { n - 1 } } { 1 - b }", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 176, + 444, + 203 + ], + "score": 1.0, + "content": ", and recalling", + "type": "text" + }, + { + "bbox": [ + 444, + 184, + 503, + 195 + ], + "score": 0.88, + "content": "b : = 1 - \\epsilon - c", + "type": "inline_equation" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 101, + 176, + 503, + 203 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 181, + 202, + 430, + 277 + ], + "lines": [ + { + "bbox": [ + 181, + 202, + 430, + 277 + ], + "spans": [ + { + "bbox": [ + 181, + 202, + 430, + 277 + ], + "score": 0.94, + "content": "\\begin{array} { l } { { s _ { n } \\leq b ^ { n - 1 } ( 1 - \\epsilon ) + c \\frac { 1 - b ^ { n - 1 } } { 1 - b } = b ^ { n - 1 } ( 1 - \\epsilon ) + c \\frac { 1 - b ^ { n - 1 } } { c + \\epsilon } } } \\\\ { { \\ = b ^ { n - 1 } ( 1 - \\epsilon ) + \\frac { c } { c + \\epsilon } - b ^ { n - 1 } \\frac { c } { c + \\epsilon } } } \\\\ { { \\ = b ^ { n - 1 } \\Big ( 1 - \\epsilon - \\frac { c } { c + \\epsilon } \\Big ) + \\frac { c } { c + \\epsilon } } } \\end{array}", + "type": "interline_equation", + "image_path": "fd050831d4887b4d9666730100a496c8fa3751fc96cdbec02db0d40c9ffb6b47.jpg" + } + ] + } + ], + "index": 8, + "virtual_lines": [ + { + "bbox": [ + 181, + 202, + 430, + 227.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 181, + 227.0, + 430, + 252.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 181, + 252.0, + 430, + 277.0 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 285, + 506, + 313 + ], + "lines": [ + { + "bbox": [ + 104, + 283, + 505, + 305 + ], + "spans": [ + { + "bbox": [ + 104, + 283, + 167, + 305 + ], + "score": 1.0, + "content": "Recalling that", + "type": "text" + }, + { + "bbox": [ + 168, + 286, + 248, + 300 + ], + "score": 0.9, + "content": "s _ { n } = \\mathbb { P } ( f _ { n } = { \\widehat { f } } _ { n } )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 283, + 392, + 305 + ], + "score": 1.0, + "content": ", we compute the limit inferior of", + "type": "text" + }, + { + "bbox": [ + 392, + 286, + 505, + 301 + ], + "score": 0.9, + "content": "\\mathbb { P } ( f _ { n } \\neq { \\widehat { f } } _ { n } ) = 1 - s _ { n } \\geq", + "type": "inline_equation" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 297, + 234, + 316 + ], + "spans": [ + { + "bbox": [ + 104, + 297, + 234, + 316 + ], + "score": 1.0, + "content": "1 − b n − 1 (1 − ϵ − cc +ϵ ) − cc +ϵ .", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 104, + 283, + 505, + 316 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 146, + 318, + 465, + 342 + ], + "lines": [ + { + "bbox": [ + 146, + 318, + 465, + 342 + ], + "spans": [ + { + "bbox": [ + 146, + 318, + 465, + 342 + ], + "score": 0.92, + "content": "\\operatorname* { l i m i n f } _ { n \\to + \\infty } \\mathbb { P } ( f _ { n } \\neq \\widehat { f } _ { n } ) \\geq \\operatorname* { l i m } _ { n \\to + \\infty } 1 - b ^ { n - 1 } \\bigg ( 1 - \\epsilon - \\frac { c } { c + \\epsilon } \\bigg ) - \\frac { c } { c + \\epsilon } = 1 - \\frac { c } { c + \\epsilon }", + "type": "interline_equation", + "image_path": "1d051f4e61b2c40fdec3a80eb9720cc0b6f09d04328df57d9b6c69370da6a55c.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 146, + 318, + 465, + 342 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 351, + 208, + 363 + ], + "lines": [ + { + "bbox": [ + 106, + 349, + 209, + 365 + ], + "spans": [ + { + "bbox": [ + 106, + 349, + 209, + 365 + ], + "score": 1.0, + "content": "that concludes our proof.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13, + "bbox_fs": [ + 106, + 349, + 209, + 365 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 375, + 506, + 398 + ], + "lines": [ + { + "bbox": [ + 105, + 374, + 506, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 506, + 390 + ], + "score": 1.0, + "content": "We can generalize the proof in Lemma 4.2 to tasks where there are potentially many valid reasoning", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 385, + 352, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 352, + 399 + ], + "score": 1.0, + "content": "chains with the following alternative state-transition framing.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 374, + 506, + 399 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 401, + 506, + 462 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 506, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 181, + 414 + ], + "score": 1.0, + "content": "Lemma D.2. Let", + "type": "text" + }, + { + "bbox": [ + 182, + 402, + 190, + 411 + ], + "score": 0.61, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 401, + 506, + 414 + ], + "score": 1.0, + "content": "denote the set of all possible states a language model can generate, and let", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 107, + 412, + 506, + 424 + ], + "spans": [ + { + "bbox": [ + 107, + 412, + 167, + 424 + ], + "score": 0.92, + "content": "z : S \\{ 0 , 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 412, + 266, + 424 + ], + "score": 1.0, + "content": "defines if a state is valid (", + "type": "text" + }, + { + "bbox": [ + 266, + 413, + 281, + 423 + ], + "score": 0.8, + "content": "O =", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 412, + 331, + 424 + ], + "score": 1.0, + "content": "invalid). Let", + "type": "text" + }, + { + "bbox": [ + 332, + 412, + 389, + 424 + ], + "score": 0.93, + "content": "{ \\widehat { g } } : S \\to \\Pi ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 412, + 506, + 424 + ], + "score": 1.0, + "content": "be a state-transition function", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 423, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 506, + 435 + ], + "score": 1.0, + "content": "representing a language model’s probability distribution of generating each possible next state when", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 434, + 506, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 339, + 447 + ], + "score": 1.0, + "content": "attempting to perform a single reasoning step. Assume", + "type": "text" + }, + { + "bbox": [ + 339, + 434, + 485, + 446 + ], + "score": 0.79, + "content": "\\mathbb { P } ( z ( \\widehat { g } ( X ) ) = 1 \\mid z ( X ) = 0 ) \\le c", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 434, + 506, + 447 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 444, + 507, + 463 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 259, + 457 + ], + "score": 0.91, + "content": "\\mathbb { P } ( z ( \\bar { g } ( X ) ) = \\bar { 0 } \\mid \\bar { z } ( X ) = 1 ) \\bar { = } \\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 260, + 444, + 279, + 458 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 280, + 446, + 319, + 456 + ], + "score": 0.89, + "content": "c + \\epsilon < 1", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 444, + 367, + 458 + ], + "score": 1.0, + "content": ". Then, lim i", + "type": "text" + }, + { + "bbox": [ + 348, + 454, + 367, + 463 + ], + "score": 1.0, + "content": "n→+", + "type": "text" + }, + { + "bbox": [ + 368, + 446, + 502, + 462 + ], + "score": 0.79, + "content": "\\underset { \\infty } { \\mathrm { n f } } \\mathbb { P } ( z ( \\widehat { g } ^ { n } ) = 0 ) = 1 - c / ( c + \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 444, + 507, + 458 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 401, + 507, + 463 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 470, + 505, + 504 + ], + "lines": [ + { + "bbox": [ + 105, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 148, + 482 + ], + "score": 1.0, + "content": "If for task", + "type": "text" + }, + { + "bbox": [ + 149, + 471, + 157, + 480 + ], + "score": 0.79, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 470, + 505, + 482 + ], + "score": 1.0, + "content": "we know that all valid reasoning chains to arrive at a correct result have at least length", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 481, + 504, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 483, + 114, + 491 + ], + "score": 0.73, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 114, + 481, + 244, + 493 + ], + "score": 1.0, + "content": "(i.e., the equivalent of defining", + "type": "text" + }, + { + "bbox": [ + 245, + 481, + 281, + 493 + ], + "score": 0.92, + "content": "f _ { n } = g ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 481, + 495, + 493 + ], + "score": 1.0, + "content": "in Lemma D.1) then the probability of solving task", + "type": "text" + }, + { + "bbox": [ + 495, + 482, + 504, + 491 + ], + "score": 0.79, + "content": "T", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 492, + 253, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 209, + 505 + ], + "score": 1.0, + "content": "correctly tends to at most", + "type": "text" + }, + { + "bbox": [ + 210, + 492, + 248, + 505 + ], + "score": 0.93, + "content": "c / ( c + \\epsilon )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 492, + 253, + 505 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 470, + 505, + 505 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 507, + 504, + 541 + ], + "lines": [ + { + "bbox": [ + 105, + 506, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 506, + 521 + ], + "score": 1.0, + "content": "Corollary D.3. The recursions for dynamic programming tasks, the m-by-1 digit multiplication, and", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 505, + 531 + ], + "score": 1.0, + "content": "the puzzle’s elimination function are all tasks where there is a fixed reasoning step g being repeatedly", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 529, + 395, + 541 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 395, + 541 + ], + "score": 1.0, + "content": "applied. Therefore, we can directly apply Proposition 4.2 to these tasks.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 506, + 506, + 541 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 552, + 322, + 565 + ], + "lines": [ + { + "bbox": [ + 106, + 552, + 322, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 322, + 567 + ], + "score": 1.0, + "content": "Proof. Let’s analyze the three tasks separately below.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27, + "bbox_fs": [ + 106, + 552, + 322, + 567 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 575, + 506, + 621 + ], + "lines": [ + { + "bbox": [ + 106, + 575, + 506, + 590 + ], + "spans": [ + { + "bbox": [ + 106, + 578, + 116, + 587 + ], + "score": 0.75, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 575, + 309, + 590 + ], + "score": 1.0, + "content": "-by-1 digit multiplication may be viewed as", + "type": "text" + }, + { + "bbox": [ + 310, + 576, + 338, + 588 + ], + "score": 0.9, + "content": "f ^ { m } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 575, + 364, + 590 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 364, + 576, + 441, + 588 + ], + "score": 0.9, + "content": "\\boldsymbol { x } = ( x _ { 1 } , \\dots , x _ { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 575, + 471, + 590 + ], + "score": 1.0, + "content": "be the", + "type": "text" + }, + { + "bbox": [ + 472, + 578, + 482, + 586 + ], + "score": 0.78, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 575, + 506, + 590 + ], + "score": 1.0, + "content": "-digit", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 587, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 303, + 600 + ], + "score": 1.0, + "content": "number that we multiply by the 1-digit number", + "type": "text" + }, + { + "bbox": [ + 303, + 589, + 310, + 599 + ], + "score": 0.77, + "content": "y", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 587, + 315, + 600 + ], + "score": 1.0, + "content": "(", + "type": "text" + }, + { + "bbox": [ + 315, + 588, + 367, + 599 + ], + "score": 0.88, + "content": "0 \\leq y < 1 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 587, + 391, + 600 + ], + "score": 1.0, + "content": ". 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Let", + "type": "text" + }, + { + "bbox": [ + 199, + 95, + 365, + 107 + ], + "score": 0.9, + "content": "\\textbf { x } = ~ ( a _ { 1 } , \\dots , a _ { m - 2 } , a _ { m - 1 } ^ { \\prime } , a _ { m } ^ { \\prime } , m - 2 )", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 93, + 400, + 110 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 401, + 94, + 485, + 106 + ], + "score": 0.91, + "content": "a _ { m } ^ { \\prime } : = \\operatorname* { m a x } ( a _ { m } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 93, + 507, + 110 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 107, + 104, + 507, + 121 + ], + "spans": [ + { + "bbox": [ + 107, + 105, + 226, + 118 + ], + "score": 0.92, + "content": "a _ { m - 1 } ^ { \\prime } : = \\operatorname* { m a x } ( a _ { m - 1 } , a _ { m } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 104, + 507, + 121 + ], + "score": 1.0, + "content": ". 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In this latter literature, the focus is usually on the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 139, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 153 + ], + "score": 1.0, + "content": "contractive regime in which accrued errors can be kept under control, and the subsequent convergence", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 151, + 505, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 151, + 225, + 163 + ], + "score": 1.0, + "content": "guarantees (e.g., [23]). When", + "type": "text" + }, + { + "bbox": [ + 225, + 151, + 232, + 162 + ], + "score": 0.85, + "content": "f", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 151, + 505, + 163 + ], + "score": 1.0, + "content": "is an affine transformation, the process falls simultaneously between", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 161, + 505, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 505, + 173 + ], + "score": 1.0, + "content": "two perspectives: time series [31] and dynamic programming and control [6]. We leverage the former", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 171, + 275, + 185 + ], + "spans": [ + { + "bbox": [ + 105, + 171, + 260, + 185 + ], + "score": 1.0, + "content": "to discuss the often explosive errors of", + "type": "text" + }, + { + "bbox": [ + 260, + 173, + 272, + 184 + ], + "score": 0.89, + "content": "f ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 171, + 275, + 185 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 117, + 506, + 185 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 196, + 246, + 208 + ], + "lines": [ + { + "bbox": [ + 105, + 194, + 247, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 194, + 247, + 211 + ], + "score": 1.0, + "content": "E.2 Societal Impact Discussion", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 107, + 216, + 505, + 271 + ], + "lines": [ + { + "bbox": [ + 106, + 216, + 506, + 229 + ], + "spans": [ + { + "bbox": [ + 106, + 216, + 506, + 229 + ], + "score": 1.0, + "content": "Our work on analyzing the limitations of current transformers in compositional tasks can have a", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 227, + 506, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 227, + 506, + 240 + ], + "score": 1.0, + "content": "positive societal impact in several ways. 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To address this weakness, we introduce PartialFormer, a parameter-efficient Transformer architecture for machine translation. Compared to previous parameter-efficient Transformer architecture, PartialFormer modifies the modeling strategy of the feed-forward network to allow it to spare tremendous parameters while maintaining large hidden dimension. Additionally, PartialFormer applies two efficient scaling strategies, namely depth scaling and width scaling, to improve performance within a given parameter budget. To efficiently benefit from these scaling strategies, PartialFormer is further enhanced by two costeffective modifications: 1) a head scaling strategy for efficient width scaling and 2) a residuallike attention calculation for better depth scaling. Extensive experiments on 9 translation tasks validate the effectiveness of our PartialFormer approach. + +![](images/87577d14d81bfcc2eba8bcf72cc758b909e4169ed43a7f8857f2625ad2502291.jpg) +Figure 1: Illustration of our idea. + +# 1 Introduction + +The Transformer model (Vaswani et al., 2017) has emerged as a cornerstone in the natural language processing (NLP) domain, overshadowing convolutional neural networks (Gehring et al., 2017) and recurrent neural networks (Sutskever et al., 2014) by virtue of its minimal inductive bias, superior scalability, and proficiency in modeling extended sequences. Nonetheless, its substantial computational and parametric requisites pose significant challenges to its deployment and training, warranting an ongoing trend in the research community toward eliminating redundant parameters and computations in the Transformer model (Dehghani et al., 2019; Lan et al., 2020; Reid et al., 2021; Li et al., 2022; Ahmed et al., 2017; Yan et al., 2020; Wu et al., 2020; Mehta et al., 2019, 2021). + +it is noteworthy that these approaches ignore the importance of feed-forward networks (FFN). Feedforward networks consume significant parametric and computational overhead due to the inherent large feature space and hidden dimension. To cut down FFNs’ overhead, previous studies (Mehta et al., 2021; Wu et al., 2020; Ge et al., 2022) just adopt smaller hidden dimension, e.g., equal to or even lower than the size of feature space. That leads to a question: Are current lightweight FFNs optimal? + +Despite their success in improving the parametric and computational efficiency of the Transformer, + +To address this concern, we turn to the insights provided by Geva et al. (2021), who depicted FFNs as a collection of key-value memories, where the number of memories is equal to the number of hidden dimensions in FFNs. This finding underscores the significance of hidden dimension in FFNs. Drawing inspiration from this finding and the successful application of large hidden sizes in FFNs as evidenced by Meta’s 4B model (Tran et al., 2021)1, we postulate that a truly efficient lightweight FFN should maintain, if not enlarge, the hidden dimension while reducing parameters. + +To this end, we propose PartialFormer, an innovative approach to Transformer architecture. The central design of PartialFormer is the Partial-Level Gated Feed-Forward Networks (PG-FFN). We designed the PG-FFN as a set of smaller FFNs in unison, each producing lower-dimensional hidden features, yet collectively matching or exceeding the hidden dimension of a conventional larger FFN. Moreover, we further equipped PartialFormer with two cost-effective operations: a head scaling strategy for efficient width scaling, and a residual-like attention calculation for stable optimization. These techniques empower PartialFormer to achieve deeper layer stacking or increased width within the same parameter budget. + +The strength of PartialFormer has been affirmed through rigorous empirical evaluations on $9 \ \mathrm { m a }$ chine translation tasks. Remarkably, even while maintaining similar parameter consumption, our PartialFormer consistently surpasses the vanilla Transformer, employing the same layer depth and embedding width, by an average of 1.29 BLEU points across all 6 WMT’17 machine translations. Furthermore, it achieved a BLEU score of 29.56 on the challenging WMT’14 En-De task with only 68 million parameters, showcasing its effectiveness and efficiency. Our work with PartialFormer thus marks an important step towards the goal of optimized Transformer architectures, marrying performance with efficiency in a manner that has potential for broad impact in NLP applications. + +# 2 Preliminary: Transformer + +In this section, we present some prior knowledge about the Transformer. Typically, Transformer block always consists of a multi-head self-attention and a feed-forward network. Let $X \in \mathbb { R } ^ { T \times d }$ be a $T \times d$ input matrix of $T$ tokens. Each multi-head self-attention component owns $H$ heads. For simplicity, we ignore the layer-normalization operation and residual connection. + +Multi-Head Self-Attention MHSA aims to model the global dependency among tokens. MHSA computes as follows: + +$$ +\begin{array} { r c l } { { { \cal A } ^ { i } } } & { { = } } & { { \mathrm { S o f t m a x } ( \displaystyle \frac { Q ^ { i } ( K ^ { i } ) ^ { \top } } { \sqrt { d _ { k } } } ) , } } \\ { { \mathrm { h e a d } _ { i } } } & { { = } } & { { { \cal A } ^ { i } V ^ { i } , } } \\ { { X } } & { { = } } & { { \displaystyle \sum _ { i = 1 } ^ { H } \mathrm { h e a d } _ { i } W _ { i } ^ { O } , } } \end{array} +$$ + +where $Q ^ { i } , K ^ { i } , V ^ { i }$ denote the query, key and value of $i$ -th head, which are derived from input with three learnable matrics $W _ { i } ^ { Q } , W _ { i } ^ { K } , W _ { i } ^ { V } \ \in \ \mathbb { R } ^ { d \times d _ { k } }$ as follows: $Q ^ { i } \ : = \ : X W _ { i } ^ { Q } , K ^ { i } \ : = \ : X W _ { i } ^ { K } , V ^ { i } \ : =$ + +$X W _ { i } ^ { V }$ , respectively. $W _ { i } ^ { O } \in \mathbb { R } ^ { d _ { k } \times d }$ is a learnable matrix. $A ^ { i }$ and headi denote the attention matrix and representation of $i$ -th head, respectively. + +Feed-Forward Network Feed-forward network is responsible for improving the expressiveness of the whole representation space by adopting an "expansion-activation-reduction" mapping strategy. It computes as follows: + +$$ +X = \mathrm { R e L U } ( X W _ { 1 } + b _ { 1 } ) W _ { 2 } + b _ { 2 } , +$$ + +where $W _ { 1 } ~ \in ~ \mathbb { R } ^ { d \times d _ { \mathrm { f n } } } , W _ { 2 } ~ \in ~ \mathbb { R } ^ { d _ { \mathrm { f n } } \times d } , b _ { 1 } ~ \in$ $\mathbb { R } ^ { d _ { \mathrm { f f n } } } , b _ { 2 } \in \mathbb { R } ^ { d }$ as learnable matrices and $d _ { \mathrm { { f f n } } }$ denotes the hidden dimension in FFN that is usually set to $4 d$ . + +# 3 PartialFormer + +# 3.1 Overall Architecture + +Figure 2 illustrates the overall architecture of PartialFormer, encompassing both an encoder and a decoder. Although the foundational structure adheres to the design of the vanilla Transformer (Vaswani et al., 2017), there are some notable modifications. + +Encoder. Different from vanilla Transformer, each encoder layer in PartialFormer consists of a unified sub-layer that integrates the PG-FFNs into the multi-head self-attention mechanism rather than separate two sub-layers. + +Decoder. Each decoder layer is composed of two types of sub-layers, both of which integrate the multi-head attention mechanism with PG-FFNs. The sub-layers differ based on the type of multihead attention mechanisms employed, specifically whether it’s a decoder self-attention or an encoderdecoder cross-attention mechanism. + +# 3.2 Information Flow in Unified Sub-Layer + +Taking the Encoder as an instance. Each unified sub-layer first computes the multiple attention scores via Eq. (5), then obtains the multiple head features $\{ \mathrm { h e a d } ^ { i } | 1 \leq i \leq H \}$ via Eq. (2), which is the same as vanilla Transformer. Then, using multiple small FFNs, it processes these head features and ultimately combines the representations via a fusion function according to Eq. (7). That is to say, the PG-FFN is encapsulated into the multiheadattention mechanism. + +![](images/f547cefb32e903685c4ce5bcb23dff57d1f371265a2596bde12acbe0dee13f9d.jpg) +Figure 2: (a) Architecture of Transformer. (b) Architecture of PartialFormer. (c) Details of Self-AFFN Block. All architecture are based on pre-normalization strategy. We omit the layer normalization operation, residual connection, softmax operation and scale coefficient for simplicity. + +$$ +\begin{array} { l l l } { { A ^ { i } } } & { { = } } & { { \displaystyle \mathrm { S o f t m a x } ( \frac { Q ^ { i } ( K ^ { i } ) ^ { \top } } { \sqrt { d _ { k } } } + A _ { G } ^ { i } ) , } } \\ { { O ^ { i } } } & { { = } } & { { \displaystyle \mathrm { P G } \mathrm { - } \mathrm { F F N } ( \mathrm { h e a d } ^ { i } ) , } } \\ { { X } } & { { = } } & { { \displaystyle \sum _ { i = 1 } ^ { H } O ^ { i } W _ { i } ^ { O } } } \end{array} +$$ + +# 3.3 Partial-Level Gated FFN + +Intuition Previous studies (Wu et al., 2020; Mehta et al., 2021; Ge et al., 2022) have commonly reduced the parameters in feed-forward networks by decreasing the hidden dimension (e.g., 2048 to 256). In contrast, we tackle this issue through a matrix factorization approach. Our key idea involves utilizing a collection of small FFNs to model smaller input features, rather than relying on a single large FFN. + +Assume a FFN with mappings of $1 0 2 4 \mathrm { - } { > } 4 0 9 6 \mathrm { - }$ ${ > } 1 0 2 4$ , which consumes around 8.4 million parameters. By decomposing this into 8 smaller FFNs with mappings of $1 2 8 \mathrm { - } > 5 1 2 \mathrm { - } > 1 2 8$ , we can retain the same hidden dimension, such as $8 ^ { * } 5 1 2$ , while using only 1.05 million parameters. This approach significantly reduces parameters while maintaining the crucial desired hidden dimension, as emphasized in previous studies (Geva et al., 2021; Tran et al., 2021). + +Furthermore, we have observed that the Transformer architecture inherently consists of multiple smaller subspaces, namely “heads” within the multi-head attention (MHA) mechanism. These heads act as sub-components of the original inputs and retain substantial information from the original data. As a result, PG-FFNs should naturally be constructed based on the MHA mechanism. + +Calculation of PG-FFNs While group transformation operations could be used to instantiate our idea, they are not optimal on GPUs due to their low I/O efficiency (Ma et al., 2018), causing significant inference latency. To address this, we propose sharing parameters across each FFN within different heads, thereby eliminating the need for group transformation operations. + +However, directly sharing weights may result in homogeneous representations across different heads, which may potentially hinder the performance (Li et al., 2018). To mitigate this, we further introduce a head-specific gated mechanism. The core idea is to use a set of diverse masks to filter the information of different heads so that the head representation will be more diverse. Formally, given a set of smaller features $\{ \mathrm { h e a d } ^ { i } | 1 \leq i \leq H \}$ and diverse masks $\{ G ^ { i } | 1 \leq i \leq H \}$ , the Eq. (6) can rewritten as: + +$$ +O ^ { i } = G ^ { i } \odot \mathrm { F F N } ( \mathrm { h e a d } ^ { i } ) , +$$ + +where $\mathrm { F F N } ( \cdot )$ is the same as Eq. (4). + +Generating $\{ G ^ { i } | 1 \le i \le H \}$ In our preliminary experiments, we observed significant diversity in the features generated by different parameters from sub-layer inputs, e.g., $\{ V ^ { 1 } , \ldots , V ^ { H } \}$ . Motivated by this finding, we generate diverse masks in the following manner: + +$$ +G ^ { i } = \sigma ( X W _ { i } ^ { G } ) , +$$ + +where $W _ { i } ^ { G }$ is a learnable matrix and $\sigma$ denotes the activation function, e.g., ReLU, Sigmoid and Tanh. We compare them in Table 8. + +# 3.4 Efficient Scaling Strategy + +Though PG-FFN offers the advantage of reducing lots of parameters when applied directly to the transformer, it also leads to performance degradation. Thus, a crucial aspect of this study is to determine how to effectively utilize the spared parameters. In this work, we adopt a hybrid scaling strategy, combining both width scaling and depth scaling, which has been validated in computer vision, e.g., EfficientNet (Tan and Le, 2019). + +# 3.4.1 Enabling Efficient Depth Scaling for PartialFormer + +Wang et al. (2019); Dong et al. (2021); Wang et al. (2022) have shown that the original location of FFNs plays an essential role in optimizing transformers, e.g., alleviating Token Uniformity. Thus, we need to consider the impact brought by the change of FFNs. While the densely residual connection is an efficient way to alleviate it, they are typically either based on feature level (e.g., DLCL (Wang et al., 2019)) or coupled with the network structure (e.g., Realformer (He et al., 2021)). + +To this end, we design a new variant of the residual connection integrated into the attention calculation, while also decoupling from the network architecture. Specifically, the calculation of attention maps consists of two parts: 1) $A _ { G }$ , the global part, and 2) $A _ { L }$ , the local part. The calculation of $A _ { L }$ remains the same as in the vanilla Transformer, while $A _ { G }$ is computed once by using the original embedding as input through Eq. (1). Inspired by He et al. (2021), to efficiently fuse these components, we add them together and apply a Softmax function, as shown in Eq. (5). + +In addition to the benefit of efficient depth scaling (See Appendix F), this approach provides remarkable flexibility in combining different attention mechanisms, specifically tailored to address specific conditions. For instance, it allows for the utilization of local attention to calculate $A _ { G }$ when dealing with small datasets (see Appendix D). + +# 3.4.2 Head Scaling: An Efficient Width Scaling for PartialFormer + +Existing approach to width scaling, which is based on the embedding size, necessitates the simultaneous scaling of both the encoder and decoder for machine translation tasks. This is primarily because researchers commonly employ shared encoder and decoder embedding. However, taking cues from the achievements of depth scaling, it may be more advantageous to adopt a distinct method for scaling width, similar to the approach used for scaling depth. Here we show how PartialFormer has inherent superiority to achieve so. + +The width of a Transformer model typically refers to the widest part of the Transformer. In this context, both the vanilla Transformer and previous lightweight Transformer models have widths that are related to the embedding dimension, such as $4 d$ or $d$ . Therefore, by increasing the embedding size, we can effectively enlarge their width. However, the width definition in PartialFormer is different and can be expressed as $w = H \times d _ { \mathrm { f f n } }$ , where $w$ denotes the width of model and $d _ { \mathrm { { f f n } } }$ is associated with the head dimension $d _ { k }$ . Consequently, we can expand the width by either increasing the number of heads or enlarging $d _ { k }$ . A comparison between these approaches is presented in Table 7. Notably, if the head dimension and number of heads are independent of the embedding dimension, PartialFormer allows for easy scaling of width in different ways within the encoder and decoder components. + +![](images/dcc02863d4f889023bf37de14a7d7d957b53cd0fca0d0347221602cad1538aa8.jpg) +Figure 3: Comparison of ways to generate subspaces in Transformer and PartialFormer. + +To this end, we propose a new scaling mechanism, namely head scaling, that scales the width of PartialFormer by directly adding more heads and increasing head dimension, as illustrated in Figure 3. Given the head dimension $d _ { k }$ , the embedding dimension $d$ , and the number of heads $H$ , we consider two strategies to generate $H$ attention heads: + +(a) Simple strategy: We employ three learnable matrices, each with a shape of $d \times ( d _ { k } \times H )$ , to directly obtain the expected number of $Q$ , $K$ , and $V$ . + +(b) Complex strategy: we employ a two-step process. First, we generate an intermediate quantity of $Q$ and $K$ , and then use a powerful MLP network to expand the attention maps to the desired number. This innovative design draws inspiration from the inherent redundancy found within the attention map (Michel et al., 2019; Clark et al., 2019; Voita et al., 2019), allowing for more heads in PartialFormer under the same parameter budget. We show the comparisons in Table 6. + +![](images/5bd9198300e5fd500b403dbe34b7b2366bd59237b2fedae9ea0ef1a734622101.jpg) + +![](images/fa37f7a5a3a2beb8d9f67b378d00f636a4c0fffb083e25cf799ff2241f27f30b.jpg) + +
TypeModelN-MddkH MACs ParamBLEUCOMET-22
Multi-Branch ArchitectureWeighted Transformer (Ahmed et al.,2017)6-61024211M28.90
Multi-Unit Transformer (Yan et al.,2020)6-6130M29.30
MAT (Fan et al., 2020)6-6206M29.90
Multi-Path Transformer (Lin et al., 2022)6-6193M29.68
Lightweight ArchitectureEvolved Transformer (So et al., 2019) Delight (Mehta et al., 2021)64M28.20
Weight Sharing64054M28.00
Universal Transformer (Dehghani et al.,2019)1024=65M28.90
SubFormer (Reid et al., 2021)-=63M28.50
SubFormer-big (Reid et al., 2021)197M29.30
ODE Transformer (RK4) (Li et al., 2022) ODE Transformer (RK4) (Li et al., 2022)6-6 24-6512 512=62M 118M29.03 29.80
Other Comparisons64
RealFormer (He et al., 2021) DMAN (Fan et al., 2021)18-18512 5128 8151M29.35
Mega-Softmax (Ma et al.,2022)6-6 6-651263M 67M29.10 29.01
Our SystemTransformer641
PartialFormer (w/o Head Scaling)24-65128-811.1B118M29.0583.60
PartialFormer24-651264 24-168-88.8B66M28.86 30.0983.35 84.17
24-65126412.2B115M
Transformer6-651264 458-89.9B62M27.4382.19
Transformer PartialFormer (w/o Head Scaling)24-6 24-6360 360458-8 8-86.3B 5.2B62M 36M28.00 27.8882.72 82.49
3604524-166.8B61M29.23
PartialFormer PartialFormer24-6 24-636045 30-166.9B68M29.5683.74 83.94
+ +Table 1: Results on the WMT’14 En-De task. MACs denote the multiplication-addition operations. We compute them via 20 source and target tokens following Mehta et al. (2021). + +# 4 Experimental Setups + +In our evaluation, we assess the performance of PartialFormer across 9 machine translation tasks2. More details are given in Appendix A + +Dataset. We evaluate our approach on three widely-used datasets: WMT’14 English-German (En-De), WMT’14 English-French (En-Fr), and WMT’16 English-Romanian (En-Ro). Besides, to further validate the effectiveness of PartialFormer, we also evaluate PartialFormer on six translation tasks from WMT’17 benchmark. We preprocess the raw data following the standard strategy. + +Architectures and Selected Baselines. We use a 24-6 encoder-decoder PartialFormer architecture for its strong performance, on all 9 machine translation tasks. Detailed configurations are provided in the results tables. We compare our approach with various baselines, including vanilla Transformer models, multi-branch architecture, lightweight architecture, weight-sharing methods, and other strong baselines. + +Training & Evaluation. We train all the models on GeForce RTX 3090 cards via Fairseq (Ott et al., 2019) toolkit. For evaluation, we utilized multi-BLEU (Papineni et al., 2002) and COMET22 (Rei et al., 2022) scores. Beam sizes were 4, 4, and 5 for En-De, En-Fr, and En-Ro tasks respectively. Length_penalty of 0.6, 0.8, and 1.3 were applied to En-De, En-Fr, and En-Ro tasks respectively. For the WMT’17 benchmark, beam size and Length_penalty were set to 4 and 1, respectively. We used an ensemble of the last ten checkpoints. + +# 5 Experiments + +Results of WMT’14 En-De Table 1 presents the results for the WMT’14 En-De task. Note that we also provide a “strong” baseline which also benefits from deep model stacking. Even though the performance of PartialFormer (w/o Head Scaling) is slightly inferior to that of the Transformer model (27.88 vs. 28.00 and 28.86 vs. 29.05), it outshines the latter in terms of parameter efficiency, consuming significantly fewer parameters (36M vs. 62M, 66M vs. 118M). We attribute this phenomenon to our PG-FFN, which leverages a group of compact FFNs. This approach enables PG-FFN to maintain high hidden dimension, while drastically reducing parameter consumption. + +Upon utilizing our head scaling technique to amplify the capacity, our Partialformer delivers a BLEU score 29.56 and 30.09 on two configurations, respectively. This surpasses the standard Transformer by 1.56 BLEU points (29.56 vs. 28.00) and + +Table 2: Results on the WMT’14 En-Fr task. + +
ModelNddkHParam BLEU
Weighted Transformer (2017)6- 211M 41.40
Evolved Transformer (2019)=64M 40.60
Delight (2021)-64054M 40.50
ODE Transformer (2022)6=69M 42.56
ODE Transformer (2022)24123M 43.28
Multi-Path Transformer (2022)=168M 42.44
Transformer24 512 648-8120M 42.33
PartialFormer (w/o Head Scaling) 24 512 648-868M 41.68
PartialFormer24 512 64 24-18119M 43.10
PartialFormer24 512 64 24-24127M 43.29
Transformer6 512 648-863M 40.79
Transformer24 360 458-864M 40.96
PartialFormer(w/o Head Scaling) 24 360 458-838M 40.44
PartialFormer24 360 45 24-1863M 42.16
PartialFormer24 360 45 24-2467M 42.39
+ +1.04 BLEU points (30.09 vs. 29.05) within a similar model capacity. The enhancement here can be attributed to the head scaling method, which allows PartialFormer to possess a larger hidden dimension, thereby bolstering its capacity for memory storage (Geva et al., 2021). These observations are further confirmed by the COMET-22 scores. + +Moreover, PartialFormer can even surpass all selected multi-branch Transformers while using fewer parameters. Notably, PartialFormer $N =$ $2 4 , d \ = \ 5 1 2 )$ outperforms the latest multi-path Transformer (Lin et al., 2022) by 0.41 BLEU points with 78M fewer parameters. This highlights the efficiency of building a multi-branch network based on inherent subspaces. Additionally, PartialFormer excels over previous lightweight approaches and outperforms state-of-the-art weight-sharing methods, e.g., ODE Transformer (Li et al., 2022), and other strong baselines, e.g., Mega (Ma et al., 2022). Notably, both ODE Transformer and Mega utilize relative position encoding (Shaw et al., 2018). + +Results of WMT’14 En-Fr Table 2 presents the results of PartialFormer on the WMT’14 En-Fr task. Similar to the findings in the En-De task, PartialFormer demonstrates a similar phenomenon. Notably, PartialFormer achieves comparable results to Transformer $( N = 2 4 , d = 5 1 2 )$ (42.39 vs. 42.33) while utilizing 53M fewer parameters (67M vs. 120M). This highlights the remarkable parameter efficiency of PartialFormer. + +Results of WMT’16 En-Ro Table 3 presents the results on the test set of the WMT’16 En-Ro task. Notably, PartialFormer achieves the highest BLEU points among all selected baselines. It is particularly remarkable that PartialFormer achieves similar results to ODE Transformer while utilizing 178M fewer parameters. This highlights the exceptional efficiency of PartialFormer. + +Table 3: Results on the WMT’16 En-Ro task. + +
ModelNddkH Param BLEU
Delight (Mehta et al., 2021)- 640-■53M 34.70
Subformer (Reid et al.,2021)■- ■ -48M 34.70
ODE Transformer (Li et al.,2022)6 1024 64 16-16226M 35.28
Transformer24 512 648-8111M 35.00
PartialFormer (w/o Head Scaling)24 51264 8-859M 35.07
PartialFormer24320 4024-2448M 35.30
+ +Table 4: Results on the WMT’17 benchmark. PartialFormer has the same depth and $d$ as the Transformer but consumes 1M fewer parameters on average. + +
ModelFi←→EnDe←→EnLv← →EnAvg.
Fi→En En→FiDe→En En-→DeLv-→En En→Lv
Transformer26.0722.1435.0428.5917.5916.2324.27
PartialFormer27.4823.3535.6029.9119.6517.3725.56
+ +Results of WMT’17 Benchmark Table 4 presents the WMT’17 benchmark results, showing that PartialFormer consistently outperforms Transformer by an average of 1.29 BLEU points in all six translation tasks. This finding is consistent with the observed performance in the En-De task. + +# 6 Analysis + +# 6.1 Ablation Studies + +Table 5 presents an ablation study of PartialFormer on the WMT’14 En-De task, demonstrating the critical role of each component. Omitting any element causes performance decline, underscoring the holistic design. The PG-FFN removal (#3 vs. #4) results in a large performance drop of 2.05 BLEU points, despite a mere 16 million parameters reduction. This evidence corroborates previous findings (Dong et al., 2021) on the subpar performance of pure attention networks sans FFN, highlighting the essential role of PG-FFN in PartialFormer. + +Besides, Table 5 shows the results of different PartialFormer configurations on the WMT’14 En-De task. The encoder-decoder PartialFormer achieves the highest performance, reaching 29.56 BLEU points, indicating the effectiveness of our approach in enhancing both the encoder and the decoder. Employing our concept to either the encoder or the decoder individually also improves performance, yet the encoder-decoder configuration persistently surpasses others, marking the greatest performance improvement. + +Table 5: Ablation studies on WMT’14 En-De task. + +
# ModelParam BLEU
1 Transformer (N = 24,d = 360)62M 28.00
2 Pure Attention (N= 24,d = 360)31M 25.70
3 PartialFormer68M 29.56
4 w/o Partial-level Gated FFN52M 27.51
5 w/o Residual-like Attention Calculation66M 29.26
6 w/o Head Scaling36M 27.88
7 PartialFormer (encoder only)67M 29.15
8 PartialFormer (decoder only)63M 28.80
+ +Table 7: Comparison of different width scaling strategy on the En-De task. + +
ModelParam BLEU
PartialFormer (w/o Head Scaling)36M 27.88
+ Simple Head Scaling68M 29.33
+ Complex Head Scaling68M 29.56
+ +Table 6: Comparison of head scaling strategy on WMT’14 En-De task. + +# 6.2 Comparison of Head Scaling Strategy + +Table 6 presents the results of PartialFormer on the En-De task test set with varying head scaling techniques. Both simple and complex strategies effectively utilize additional parameters to enhance PartialFormer’s performance. Notably, the complex head scaling technique, allowing for more parameters allocated to additional heads, demonstrates superior performance. + +# 6.3 Discussions on Width Scaling Strategies + +Table 7 presents the results of analyzing three key ways to increase the width in PartialFormer: 1) $d _ { k }$ , 2) $H$ , and 3) $d$ , on the En-De task’s test set. Notably, the findings indicate that both increasing $H$ and adding $d _ { k }$ can effectively enhance the capacity of PartialFormer. Additionally, enlarging $d$ can be beneficial for performance improvements when it is small, e.g., less than 360. However, beyond a certain threshold, further increments of $d$ become redundant and do not lead to performance gains. This aligns with previous studies (Mehta et al., 2021; Baevski and Auli, 2019) highlighting redundant information in the embedding layer. + +# 6.4 Comparison of Gating Strategy + +Table 8 presents a comparison of various activation functions used in PG-FFN. The results indicate that the default choice, ReLU activation, yields the best performance. One explanation is that the ReLU activation provides hard masks for filtering the information of different heads, compared to other activation functions. Such hard masks can make different heads more diverse. + +
ModelSetingH ddk ParamBLEU
PartialFormerBasic|30-16 36045 68M29.56
Varying Encoder H|24-16 360 45 16-16 360 4561M 51M29.23 29.02
Varying Decoder H[16-24 360 45 16-30360 4556M 60M28.85 29.20
|30-16 360 3049M28.70
Varying dh30-16 360 60 30-16 360 9086M 124M29.68
30.00
Varying d|30-16 180 45 30-16 270 45 30-16 450 4535M 51M 84M27.61 28.80 29.41
+ +# 6.5 Efficiency Analysis + +Table 9 exhibits the inference efficiency on the test set of En-De task. It is evident that PartialFormer incurs a reasonable increase in inference cost, which remains within acceptable limits. + +# 6.6 Analysis on Behaviours of FFN + +Metric. Following Zhang et al. (2022), we examine FFN behaviors across four aspects: activation neuron count (namely $n _ { \mathrm { a c t . } } )$ ), FFNs’ hidden dimension, activation-neuron ratio (activations divided by hidden dimension, namely $R _ { \mathrm { a c t . } }$ ), and FFN efficiency (activations divided by parameters, namely $\eta _ { \mathrm { { f f i n } } } )$ . Notably, for PartialFormer, the hidden dimension represents the concatenation of hidden dimensions from all smaller FFNs. + +Results. Figure 4(a-c) exhibits the results on the En-De test set. It is evident that PartialFormer has a lower activation ratio than the vanilla Transformer, as shown in Figure 4(b). This indicates that PGFFNs based on matrix factorization present lower utilization of the hidden dimension compared to the vanilla FFNs. However, our PG-FFN is parameter consumption friendly, enabling larger hidden layer dimensions with the same parameter budget (e.g., 5400 vs. 1440). Despite lower utilization of hidden dimension, it can still own more activated neurons, as depicted in Figure 4(a). Additionally, our PGFFN exhibits higher efficiency compared to vanilla FFNs, as shown in Figure 4(c). Multiple small FFNs, like “Swarm Intelligence” (Bonabeau et al., 1999), outperform large FFNs by leveraging the collective strength of weak individuals. + +Table 8: Comparison of activation functions in PGFFNs. + +
ModelParam BLEU
PG-FFNs68M 29.56
PG-FFNs with Sigmoid activation68M 29.21
PG-FFNs with Tanh activation68M 29.03
+ +Table 9: Efficiency comparison between Transformer and PartialFormer in inference. + +
ModelParam Speed (Tok./s)Memory BLEU
Transformer62M43253.0G28.00
PartialFormer (w/o head scaling)66M36343.2G28.86
PartialFormer68M30233.3G29.56
+ +# 6.7 Analysis on Head Diversity + +Metric. We select the same metric, namely $D _ { o u t p u t }$ , as that in Li et al. (2018) to measure the diversity among head features. In this metric, a larger value indicates a higher level of diversity. + +Results. From Figure 4(d), we can observe that PartialFormer exhibits more diverse head features compared to the vanilla Transformer, even though the vanilla Transformer already demonstrates diverse features. This aligns with previous study (Li et al., 2018), which demonstrates the positive impact of head feature diversity on the Transformer model’s performance. Thus, we conclude that the insertion of FFNs into attention mechanism may be a more optimal design. + +# 7 Related Work + +Lightweight Transformers Many methods have been proposed to improve the parameter efficiency of Transformer architecture. The first line is to directly cut down redundant computations and parameters via a more efficient design such as adopting more efficient transformation operations (Mehta et al., 2019, 2021), integrating different but complementary patterns (Wu et al., 2020) and neural architecture search (So et al., 2019). Another research direction for improving parameter efficiency in the Transformer is weight sharing. The popular cross-layer sharing method is utilized by the Universal Transformer (Dehghani et al., 2019). Reid et al. (2021) propose better performance by freeing the first and last encoder layers and widening the intermediate layers. Li et al. (2022) introduce an ordinary differential equation-inspired weightsharing method for more precise results. Different from these work, our study focus on the design of efficient lightweight FFN. + +![](images/5cec8e8c7564f86b66a2a3fde975639ff37eeaac9506bd16cdd39ff8be563e0f.jpg) +Figure 4: Analysis on behaviours of FFNs and head diversity in Transformer and PartialFormer. + +Multi-Branch Transformer The multi-branch strategy is widely used in Transformer design. Weighted Transformer (Ahmed et al., 2017) employs a multi-branch FFN, while Multi-attentive Transformer (Fan et al., 2020), Multi-units Transformer (Yan et al., 2020), and Multi-Path Transformer (Lin et al., 2022) extend this concept to different components of the Transformer. Our work introduces a pure multi-branch architecture based on natural subspaces. + +Scaling Strategy in Transformer Deepening (Bapna et al., 2018; Wang et al., 2019) and widening (Vaswani et al., 2017; Wu et al., 2021) Transformer have been well-acknowledged as two strategies to improve the capacity of Transformer in literature. In this work, PartialFormer adopts two alternative strategies to improve capacity, adding a number of heads and head dimensions. + +# 8 Conclusion + +In this paper, we present PartialFormer, a new parameter-efficient Transformer architecture that offers an alternative approach to the design of the lightweight FFN. By employing multiple small FFNs and leveraging matrix factorization techniques, PartialFormer effectively reduces the number of parameters in the FFN. Moreover, we propose two innovative operations to further efficiently enhance the model capabilities. 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Association for Computational Linguistics. + +# A Detailed Setups of Experiments + +# A.1 Dataset + +Table 10 displays the statistics of all the 9 translation task. + +# A.2 Training Details + +Table 11 and 12 exhibits the training details on all translation tasks. + +# B Metric Definition + +# B.1 Measurement of Head Diversity + +Following Li et al. (2018), we measure the head diversity as follows: + +$$ +D _ { \mathrm { o u t p u t } } = \exp ( - \frac { 1 } { H ^ { 2 } } \sum _ { i = 1 } ^ { H } \sum _ { j = 1 } ^ { H } \frac { | O ^ { i } \cdot O ^ { j } | } { \| O ^ { i } \| \| O ^ { j } \| } ) +$$ + +During evaluation, we calculate the metric on all samples and average the values to obtain the final result. + +# C More Comparison with Previous Lightweight Transformer + +Table 13 presents a comprehensive comparison of previous lightweight Transformer models on the En-De task’s test set, with a specific focus on operating within a smaller parameter budget. The results prominently showcase the outstanding performance of PartialFormer, even when faced with constraints on model capacity. This outcome further emphasizes the superior capabilities of PartialFormer in scenarios with limited resources. + +# D PartialFormer with Different $A _ { G }$ for Small Dataset + +Table 14 showcases the results of PartialFormer on the WMT’16 En-Ro task, a small-scale translation dataset, specifically when $A _ { G }$ is calculated using local attention (Shaw et al., 2018). Notably, these results reveal that by adopting such an approach, PartialFormer achieves an impressive BLEU score of 35.76. We hope this can shed lights on the area of model integration. + +# E PartialFormer with GLU and Weight Sharing + +In this section, we investigate the integration of PartialFormer with two prominent techniques to enhance parameter efficiency: 1) the weight sharing method (Lan et al., 2020), and 2) gated linear units (Dauphin et al., 2017). To ensure the utilization of the latest advancements, we employ a state-of-the-art weight sharing method called ODE Transformer (Li et al., 2022), known for its effectiveness in promoting parameter efficiency in Transformer architectures. Additionally, we incorporate Swi-GLU (Shazeer, 2020), a widely adopted GLUvariant that has served as a foundational component in numerous expressive Transformer architectures. + +Table 10: The details of datasets of 9 translation tasks. + +
DatasetSentenceBPEVocab
TrainDevTest
WMT'14 En-De4.5M2999 26815300332K 32K34040 37288
WMT'14 En-Fr WMT'16 En-Ro36M 0.6M19993003 199920K19064
WMT'17 En-De5.9M7998300432K35488
WMT'17 De-En5.9M7998300432K35448
WMT'17 En-Fi2.7M4225300232K32584
WMT'17Fi-En2.7M4225300232K32584
WMT'17 En-Lv WMT'17Lv-En4.5M 4.5M2003 20032001 200120K 20K32368 32368
+ +Table 11: The training setups of WMT’14 En-De, WMT’16 En-Ro and WMT’14 En-Fr tasks. + +
Hyper-parameter WMT'14 En-De WMT'16En-Ro WMT'14 En-Fr
GPUs848
Batch Size409640964096
Update Frequency218
OptimerAdamAdamAdam
Adamβ(0.9,0.997)(0.9, 0.997)(0.9, 0.997)
LR0.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrt
InitialLR1e-71e-7le-7
Total updates50K25K100K
Warmup updates16000800016000
Weight decay0.00000.00000.0000
Label smoothing0.10.10.1
Dropout0.10.10.1
Attention dropout0.10.10.1
ReLU dropout0.10.10.1
+ +Table 12: The training setups of WMT’17 benchmark. + +
Hyper-parameterI En-{De,Lv} {De,Lv}-EnEn-FiFi-En
GPUs8888
Batch Size4096409640964096
Update Frequency2114
OptimerAdamAdamAdamAdam
Adamβ(0.9, 0.997)(0.9, 0.997)(0.9,0.997) (0.9,0.997)
LR0.00200.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrtinverse sqrt
Initial LR1e-71e-71e-7le-7
Total updates50K/17K50K/17K40K10K
Warmup updates16000160001600016000
Weight decay0.00000.00000.00000.0000
Label smoothing0.10.10.10.1
Dropout0.10.10.10.1
Attention dropout0.10.10.10.1
ReLU dropout0.10.10.10.1
+ +Table 15 displays the results of combining PartialFormer with weight sharing and gated linear units. Despite the integration of these two techniques, the performance gains are marginal. This could be attributed to the fact that PartialFormer already possesses high parameter efficiency, leaving little room for additional enhancements from other technologies. In other words, PartialFormer is inherently a high parameter efficiency architecture. + +Table 13: Comparison with state-of-the-art models of smaller capacities on the En-De task. + +
ModelParam BLEU
DELIGHT (Mehta et al., 2021) EdgeFormer (Ge et al., 2022) Lite Transformer (Wu et al.,2020) PartialFormer23M 26.70 - 26.90 - 26.50 27M 27.50
Evolved Transformer (So et al., 2019) DELIGHT (Mehta et al., 2021) ODE Transformer (Li et al., 2022) PartialFormer48M 27.70 37M 27.60 37M 28.24 36M 28.35
+ +Table 14: Results of several PartialFormer variants on the En-De task. + +
AGALParamBLEU
RPRMHSA62M35.76
+ +Table 15: Results of PartialFormer variants on the EnDe task. + +
ModelParamBLEU
PartialFormer67M29.56
PartialFormer + Weight Sharing67M29.71
GLU-based PartialFormer67M29.67
+ +# F Analysis on Token Uniformity + +Following (Dong et al., 2021; Wang et al., 2022), we measure the token uniformity among token representations. We use pearson correlation to compute it. + +From Figure 5, we can observe that PartialFormer owns a lower token uniformity among token representations than the vanilla Transformer, revealing that PartialFormer can benefit from depth scaling efficiently (Dong et al., 2021; Wang et al., 2022). + +# G Preliminary Experiments on Language Modeling + +We also evaluate the effectiveness of PartialFormer on the language modeling task. We can see that + +![](images/517907196c26506a55372a37e562c0ab840c57819add59a61bb59d3cc5f52ae6.jpg) +Figure 5: Comparison of token uniformity (lower is better) in Transformer and PartialFormer. + +PartialFormer can also show better results compared to strong baseline, e.g., Adaptive Input Transformer (Baevski and Auli, 2019). We will present more comprehensive experiments in the future. + +
ModelDepth 0 (M) Test PPL
Adaptive Input8 147M 21.11
PartialFormer16 143M 19.87
+ +Table 16: Results on the WikiText-103 dataset. \ No newline at end of file diff --git a/parse/dev/NHeAUKlTO8/NHeAUKlTO8_content_list.json b/parse/dev/NHeAUKlTO8/NHeAUKlTO8_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..89dc6bf1bc134debea1fa74b66c51e8e6aad8ab3 --- /dev/null +++ b/parse/dev/NHeAUKlTO8/NHeAUKlTO8_content_list.json @@ -0,0 +1,2243 @@ +[ + { + "type": "text", + "text": "PartialFormer: Modeling Part Instead of Whole for Machine Translation ", + "text_level": 1, + "bbox": [ + 121, + 89, + 877, + 110 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous EMNLP submission ", + "bbox": [ + 361, + 153, + 643, + 170 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 263, + 252, + 339, + 268 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The parameter redundancy problem in Transformer models has been widely acknowledged in the literature. To address this weakness, we introduce PartialFormer, a parameter-efficient Transformer architecture for machine translation. Compared to previous parameter-efficient Transformer architecture, PartialFormer modifies the modeling strategy of the feed-forward network to allow it to spare tremendous parameters while maintaining large hidden dimension. Additionally, PartialFormer applies two efficient scaling strategies, namely depth scaling and width scaling, to improve performance within a given parameter budget. To efficiently benefit from these scaling strategies, PartialFormer is further enhanced by two costeffective modifications: 1) a head scaling strategy for efficient width scaling and 2) a residuallike attention calculation for better depth scaling. Extensive experiments on 9 translation tasks validate the effectiveness of our PartialFormer approach. ", + "bbox": [ + 144, + 279, + 458, + 592 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/87577d14d81bfcc2eba8bcf72cc758b909e4169ed43a7f8857f2625ad2502291.jpg", + "image_caption": [ + "Figure 1: Illustration of our idea. " + ], + "image_footnote": [], + "bbox": [ + 521, + 249, + 872, + 373 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 117, + 605, + 258, + 620 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The Transformer model (Vaswani et al., 2017) has emerged as a cornerstone in the natural language processing (NLP) domain, overshadowing convolutional neural networks (Gehring et al., 2017) and recurrent neural networks (Sutskever et al., 2014) by virtue of its minimal inductive bias, superior scalability, and proficiency in modeling extended sequences. Nonetheless, its substantial computational and parametric requisites pose significant challenges to its deployment and training, warranting an ongoing trend in the research community toward eliminating redundant parameters and computations in the Transformer model (Dehghani et al., 2019; Lan et al., 2020; Reid et al., 2021; Li et al., 2022; Ahmed et al., 2017; Yan et al., 2020; Wu et al., 2020; Mehta et al., 2019, 2021). ", + "bbox": [ + 115, + 631, + 487, + 887 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "it is noteworthy that these approaches ignore the importance of feed-forward networks (FFN). Feedforward networks consume significant parametric and computational overhead due to the inherent large feature space and hidden dimension. To cut down FFNs’ overhead, previous studies (Mehta et al., 2021; Wu et al., 2020; Ge et al., 2022) just adopt smaller hidden dimension, e.g., equal to or even lower than the size of feature space. That leads to a question: Are current lightweight FFNs optimal? ", + "bbox": [ + 512, + 425, + 882, + 601 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Despite their success in improving the parametric and computational efficiency of the Transformer, ", + "bbox": [ + 115, + 889, + 487, + 919 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "To address this concern, we turn to the insights provided by Geva et al. (2021), who depicted FFNs as a collection of key-value memories, where the number of memories is equal to the number of hidden dimensions in FFNs. This finding underscores the significance of hidden dimension in FFNs. Drawing inspiration from this finding and the successful application of large hidden sizes in FFNs as evidenced by Meta’s 4B model (Tran et al., 2021)1, we postulate that a truly efficient lightweight FFN should maintain, if not enlarge, the hidden dimension while reducing parameters. ", + "bbox": [ + 512, + 605, + 882, + 797 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "To this end, we propose PartialFormer, an innovative approach to Transformer architecture. The central design of PartialFormer is the Partial-Level Gated Feed-Forward Networks (PG-FFN). We designed the PG-FFN as a set of smaller FFNs in unison, each producing lower-dimensional hidden features, yet collectively matching or exceeding the hidden dimension of a conventional larger FFN. Moreover, we further equipped PartialFormer with two cost-effective operations: a head scaling strategy for efficient width scaling, and a residual-like attention calculation for stable optimization. These techniques empower PartialFormer to achieve deeper layer stacking or increased width within the same parameter budget. ", + "bbox": [ + 512, + 800, + 882, + 878 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 84, + 487, + 244 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The strength of PartialFormer has been affirmed through rigorous empirical evaluations on $9 \\ \\mathrm { m a }$ chine translation tasks. Remarkably, even while maintaining similar parameter consumption, our PartialFormer consistently surpasses the vanilla Transformer, employing the same layer depth and embedding width, by an average of 1.29 BLEU points across all 6 WMT’17 machine translations. Furthermore, it achieved a BLEU score of 29.56 on the challenging WMT’14 En-De task with only 68 million parameters, showcasing its effectiveness and efficiency. Our work with PartialFormer thus marks an important step towards the goal of optimized Transformer architectures, marrying performance with efficiency in a manner that has potential for broad impact in NLP applications. ", + "bbox": [ + 115, + 246, + 487, + 504 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Preliminary: Transformer ", + "text_level": 1, + "bbox": [ + 117, + 516, + 374, + 532 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this section, we present some prior knowledge about the Transformer. Typically, Transformer block always consists of a multi-head self-attention and a feed-forward network. Let $X \\in \\mathbb { R } ^ { T \\times d }$ be a $T \\times d$ input matrix of $T$ tokens. Each multi-head self-attention component owns $H$ heads. For simplicity, we ignore the layer-normalization operation and residual connection. ", + "bbox": [ + 115, + 542, + 485, + 670 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Multi-Head Self-Attention MHSA aims to model the global dependency among tokens. MHSA computes as follows: ", + "bbox": [ + 115, + 681, + 487, + 728 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/7c441977fe83d11be8c5f52b13101ae5a5b225910c133ee20c093ad3cc23298c.jpg", + "text": "$$\n\\begin{array} { r c l } { { { \\cal A } ^ { i } } } & { { = } } & { { \\mathrm { S o f t m a x } ( \\displaystyle \\frac { Q ^ { i } ( K ^ { i } ) ^ { \\top } } { \\sqrt { d _ { k } } } ) , } } \\\\ { { \\mathrm { h e a d } _ { i } } } & { { = } } & { { { \\cal A } ^ { i } V ^ { i } , } } \\\\ { { X } } & { { = } } & { { \\displaystyle \\sum _ { i = 1 } ^ { H } \\mathrm { h e a d } _ { i } W _ { i } ^ { O } , } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 171, + 740, + 426, + 843 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $Q ^ { i } , K ^ { i } , V ^ { i }$ denote the query, key and value of $i$ -th head, which are derived from input with three learnable matrics $W _ { i } ^ { Q } , W _ { i } ^ { K } , W _ { i } ^ { V } \\ \\in \\ \\mathbb { R } ^ { d \\times d _ { k } }$ as follows: $Q ^ { i } \\ : = \\ : X W _ { i } ^ { Q } , K ^ { i } \\ : = \\ : X W _ { i } ^ { K } , V ^ { i } \\ : =$ ", + "bbox": [ + 115, + 853, + 485, + 921 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "$X W _ { i } ^ { V }$ , respectively. $W _ { i } ^ { O } \\in \\mathbb { R } ^ { d _ { k } \\times d }$ is a learnable matrix. $A ^ { i }$ and headi denote the attention matrix and representation of $i$ -th head, respectively. ", + "bbox": [ + 512, + 83, + 882, + 131 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Feed-Forward Network Feed-forward network is responsible for improving the expressiveness of the whole representation space by adopting an \"expansion-activation-reduction\" mapping strategy. It computes as follows: ", + "bbox": [ + 510, + 147, + 882, + 227 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/cf5e95409afb2a05ddc65b05d7b7309f126f4b470121703ae326a2c3e4c441a0.jpg", + "text": "$$\nX = \\mathrm { R e L U } ( X W _ { 1 } + b _ { 1 } ) W _ { 2 } + b _ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 568, + 244, + 823, + 263 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $W _ { 1 } ~ \\in ~ \\mathbb { R } ^ { d \\times d _ { \\mathrm { f n } } } , W _ { 2 } ~ \\in ~ \\mathbb { R } ^ { d _ { \\mathrm { f n } } \\times d } , b _ { 1 } ~ \\in$ $\\mathbb { R } ^ { d _ { \\mathrm { f f n } } } , b _ { 2 } \\in \\mathbb { R } ^ { d }$ as learnable matrices and $d _ { \\mathrm { { f f n } } }$ denotes the hidden dimension in FFN that is usually set to $4 d$ . ", + "bbox": [ + 510, + 278, + 882, + 343 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3 PartialFormer ", + "text_level": 1, + "bbox": [ + 512, + 361, + 668, + 378 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3.1 Overall Architecture ", + "text_level": 1, + "bbox": [ + 514, + 392, + 719, + 407 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Figure 2 illustrates the overall architecture of PartialFormer, encompassing both an encoder and a decoder. Although the foundational structure adheres to the design of the vanilla Transformer (Vaswani et al., 2017), there are some notable modifications. ", + "bbox": [ + 510, + 416, + 882, + 495 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Encoder. Different from vanilla Transformer, each encoder layer in PartialFormer consists of a unified sub-layer that integrates the PG-FFNs into the multi-head self-attention mechanism rather than separate two sub-layers. ", + "bbox": [ + 512, + 511, + 882, + 590 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Decoder. Each decoder layer is composed of two types of sub-layers, both of which integrate the multi-head attention mechanism with PG-FFNs. The sub-layers differ based on the type of multihead attention mechanisms employed, specifically whether it’s a decoder self-attention or an encoderdecoder cross-attention mechanism. ", + "bbox": [ + 510, + 606, + 884, + 718 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3.2 Information Flow in Unified Sub-Layer ", + "text_level": 1, + "bbox": [ + 510, + 734, + 863, + 750 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Taking the Encoder as an instance. Each unified sub-layer first computes the multiple attention scores via Eq. (5), then obtains the multiple head features $\\{ \\mathrm { h e a d } ^ { i } | 1 \\leq i \\leq H \\}$ via Eq. (2), which is the same as vanilla Transformer. Then, using multiple small FFNs, it processes these head features and ultimately combines the representations via a fusion function according to Eq. (7). That is to say, the PG-FFN is encapsulated into the multiheadattention mechanism. ", + "bbox": [ + 510, + 759, + 884, + 919 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/f547cefb32e903685c4ce5bcb23dff57d1f371265a2596bde12acbe0dee13f9d.jpg", + "image_caption": [ + "Figure 2: (a) Architecture of Transformer. (b) Architecture of PartialFormer. (c) Details of Self-AFFN Block. All architecture are based on pre-normalization strategy. We omit the layer normalization operation, residual connection, softmax operation and scale coefficient for simplicity. " + ], + "image_footnote": [], + "bbox": [ + 146, + 80, + 855, + 231 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/211d625e8544aca492ddda9a58f15d486d9de4fcfe10d50f6677ae909151a31c.jpg", + "text": "$$\n\\begin{array} { l l l } { { A ^ { i } } } & { { = } } & { { \\displaystyle \\mathrm { S o f t m a x } ( \\frac { Q ^ { i } ( K ^ { i } ) ^ { \\top } } { \\sqrt { d _ { k } } } + A _ { G } ^ { i } ) , } } \\\\ { { O ^ { i } } } & { { = } } & { { \\displaystyle \\mathrm { P G } \\mathrm { - } \\mathrm { F F N } ( \\mathrm { h e a d } ^ { i } ) , } } \\\\ { { X } } & { { = } } & { { \\displaystyle \\sum _ { i = 1 } ^ { H } O ^ { i } W _ { i } ^ { O } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 159, + 341, + 436, + 444 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.3 Partial-Level Gated FFN ", + "text_level": 1, + "bbox": [ + 117, + 458, + 356, + 474 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Intuition Previous studies (Wu et al., 2020; Mehta et al., 2021; Ge et al., 2022) have commonly reduced the parameters in feed-forward networks by decreasing the hidden dimension (e.g., 2048 to 256). In contrast, we tackle this issue through a matrix factorization approach. Our key idea involves utilizing a collection of small FFNs to model smaller input features, rather than relying on a single large FFN. ", + "bbox": [ + 115, + 482, + 487, + 626 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Assume a FFN with mappings of $1 0 2 4 \\mathrm { - } { > } 4 0 9 6 \\mathrm { - }$ ${ > } 1 0 2 4$ , which consumes around 8.4 million parameters. By decomposing this into 8 smaller FFNs with mappings of $1 2 8 \\mathrm { - } > 5 1 2 \\mathrm { - } > 1 2 8$ , we can retain the same hidden dimension, such as $8 ^ { * } 5 1 2$ , while using only 1.05 million parameters. This approach significantly reduces parameters while maintaining the crucial desired hidden dimension, as emphasized in previous studies (Geva et al., 2021; Tran et al., 2021). ", + "bbox": [ + 115, + 629, + 487, + 788 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Furthermore, we have observed that the Transformer architecture inherently consists of multiple smaller subspaces, namely “heads” within the multi-head attention (MHA) mechanism. These heads act as sub-components of the original inputs and retain substantial information from the original data. As a result, PG-FFNs should naturally be constructed based on the MHA mechanism. ", + "bbox": [ + 115, + 791, + 487, + 919 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Calculation of PG-FFNs While group transformation operations could be used to instantiate our idea, they are not optimal on GPUs due to their low I/O efficiency (Ma et al., 2018), causing significant inference latency. To address this, we propose sharing parameters across each FFN within different heads, thereby eliminating the need for group transformation operations. ", + "bbox": [ + 510, + 312, + 884, + 441 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "However, directly sharing weights may result in homogeneous representations across different heads, which may potentially hinder the performance (Li et al., 2018). To mitigate this, we further introduce a head-specific gated mechanism. The core idea is to use a set of diverse masks to filter the information of different heads so that the head representation will be more diverse. Formally, given a set of smaller features $\\{ \\mathrm { h e a d } ^ { i } | 1 \\leq i \\leq H \\}$ and diverse masks $\\{ G ^ { i } | 1 \\leq i \\leq H \\}$ , the Eq. (6) can rewritten as: ", + "bbox": [ + 512, + 443, + 882, + 618 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/3e9fcb327568b67be70a66f5b6b558aefe5f7f80109bbfe14475d1b82301b3ce.jpg", + "text": "$$\nO ^ { i } = G ^ { i } \\odot \\mathrm { F F N } ( \\mathrm { h e a d } ^ { i } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 588, + 624, + 803, + 644 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $\\mathrm { F F N } ( \\cdot )$ is the same as Eq. (4). ", + "bbox": [ + 512, + 651, + 786, + 667 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Generating $\\{ G ^ { i } | 1 \\le i \\le H \\}$ In our preliminary experiments, we observed significant diversity in the features generated by different parameters from sub-layer inputs, e.g., $\\{ V ^ { 1 } , \\ldots , V ^ { H } \\}$ . Motivated by this finding, we generate diverse masks in the following manner: ", + "bbox": [ + 510, + 674, + 882, + 771 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/15f3089edac678e7a70aca209000c82f48faffe36ed7df3c40b5bd0095a3bec7.jpg", + "text": "$$\nG ^ { i } = \\sigma ( X W _ { i } ^ { G } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 631, + 784, + 759, + 804 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $W _ { i } ^ { G }$ is a learnable matrix and $\\sigma$ denotes the activation function, e.g., ReLU, Sigmoid and Tanh. We compare them in Table 8. ", + "bbox": [ + 510, + 808, + 882, + 857 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.4 Efficient Scaling Strategy ", + "text_level": 1, + "bbox": [ + 512, + 868, + 756, + 883 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Though PG-FFN offers the advantage of reducing lots of parameters when applied directly to the transformer, it also leads to performance degradation. Thus, a crucial aspect of this study is to determine how to effectively utilize the spared parameters. In this work, we adopt a hybrid scaling strategy, combining both width scaling and depth scaling, which has been validated in computer vision, e.g., EfficientNet (Tan and Le, 2019). ", + "bbox": [ + 510, + 888, + 882, + 920 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 85, + 487, + 197 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.4.1 Enabling Efficient Depth Scaling for PartialFormer ", + "text_level": 1, + "bbox": [ + 115, + 209, + 457, + 239 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Wang et al. (2019); Dong et al. (2021); Wang et al. (2022) have shown that the original location of FFNs plays an essential role in optimizing transformers, e.g., alleviating Token Uniformity. Thus, we need to consider the impact brought by the change of FFNs. While the densely residual connection is an efficient way to alleviate it, they are typically either based on feature level (e.g., DLCL (Wang et al., 2019)) or coupled with the network structure (e.g., Realformer (He et al., 2021)). ", + "bbox": [ + 115, + 244, + 487, + 404 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To this end, we design a new variant of the residual connection integrated into the attention calculation, while also decoupling from the network architecture. Specifically, the calculation of attention maps consists of two parts: 1) $A _ { G }$ , the global part, and 2) $A _ { L }$ , the local part. The calculation of $A _ { L }$ remains the same as in the vanilla Transformer, while $A _ { G }$ is computed once by using the original embedding as input through Eq. (1). Inspired by He et al. (2021), to efficiently fuse these components, we add them together and apply a Softmax function, as shown in Eq. (5). ", + "bbox": [ + 115, + 406, + 487, + 599 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In addition to the benefit of efficient depth scaling (See Appendix F), this approach provides remarkable flexibility in combining different attention mechanisms, specifically tailored to address specific conditions. For instance, it allows for the utilization of local attention to calculate $A _ { G }$ when dealing with small datasets (see Appendix D). ", + "bbox": [ + 115, + 600, + 487, + 712 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.4.2 Head Scaling: An Efficient Width Scaling for PartialFormer ", + "text_level": 1, + "bbox": [ + 115, + 722, + 438, + 755 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Existing approach to width scaling, which is based on the embedding size, necessitates the simultaneous scaling of both the encoder and decoder for machine translation tasks. This is primarily because researchers commonly employ shared encoder and decoder embedding. However, taking cues from the achievements of depth scaling, it may be more advantageous to adopt a distinct method for scaling width, similar to the approach used for scaling depth. Here we show how PartialFormer has inherent superiority to achieve so. ", + "bbox": [ + 115, + 759, + 487, + 919 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 510, + 85, + 724, + 99 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The width of a Transformer model typically refers to the widest part of the Transformer. In this context, both the vanilla Transformer and previous lightweight Transformer models have widths that are related to the embedding dimension, such as $4 d$ or $d$ . Therefore, by increasing the embedding size, we can effectively enlarge their width. However, the width definition in PartialFormer is different and can be expressed as $w = H \\times d _ { \\mathrm { f f n } }$ , where $w$ denotes the width of model and $d _ { \\mathrm { { f f n } } }$ is associated with the head dimension $d _ { k }$ . Consequently, we can expand the width by either increasing the number of heads or enlarging $d _ { k }$ . A comparison between these approaches is presented in Table 7. Notably, if the head dimension and number of heads are independent of the embedding dimension, PartialFormer allows for easy scaling of width in different ways within the encoder and decoder components. ", + "bbox": [ + 512, + 102, + 882, + 390 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/dcc02863d4f889023bf37de14a7d7d957b53cd0fca0d0347221602cad1538aa8.jpg", + "image_caption": [ + "Figure 3: Comparison of ways to generate subspaces in Transformer and PartialFormer. " + ], + "image_footnote": [], + "bbox": [ + 554, + 401, + 845, + 489 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To this end, we propose a new scaling mechanism, namely head scaling, that scales the width of PartialFormer by directly adding more heads and increasing head dimension, as illustrated in Figure 3. Given the head dimension $d _ { k }$ , the embedding dimension $d$ , and the number of heads $H$ , we consider two strategies to generate $H$ attention heads: ", + "bbox": [ + 512, + 548, + 884, + 659 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "(a) Simple strategy: We employ three learnable matrices, each with a shape of $d \\times ( d _ { k } \\times H )$ , to directly obtain the expected number of $Q$ , $K$ , and $V$ . ", + "bbox": [ + 519, + 669, + 884, + 732 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "(b) Complex strategy: we employ a two-step process. First, we generate an intermediate quantity of $Q$ and $K$ , and then use a powerful MLP network to expand the attention maps to the desired number. This innovative design draws inspiration from the inherent redundancy found within the attention map (Michel et al., 2019; Clark et al., 2019; Voita et al., 2019), allowing for more heads in PartialFormer under the same parameter budget. We show the comparisons in Table 6. ", + "bbox": [ + 519, + 744, + 884, + 919 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/5bd9198300e5fd500b403dbe34b7b2366bd59237b2fedae9ea0ef1a734622101.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 942, + 546, + 996, + 921 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/fa37f7a5a3a2beb8d9f67b378d00f636a4c0fffb083e25cf799ff2241f27f30b.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 941, + 84, + 1000, + 393 + ], + "page_idx": 3 + }, + { + "type": "table", + "img_path": "images/9aa275f7ace2c79b5c2c5a7dc70d49149ab74115c6153312184c088c3919ccca.jpg", + "table_caption": [], + "table_footnote": [ + "Table 1: Results on the WMT’14 En-De task. MACs denote the multiplication-addition operations. We compute them via 20 source and target tokens following Mehta et al. (2021). " + ], + "table_body": "
TypeModelN-MddkH MACs ParamBLEUCOMET-22
Multi-Branch ArchitectureWeighted Transformer (Ahmed et al.,2017)6-61024211M28.90
Multi-Unit Transformer (Yan et al.,2020)6-6130M29.30
MAT (Fan et al., 2020)6-6206M29.90
Multi-Path Transformer (Lin et al., 2022)6-6193M29.68
Lightweight ArchitectureEvolved Transformer (So et al., 2019) Delight (Mehta et al., 2021)64M28.20
Weight Sharing64054M28.00
Universal Transformer (Dehghani et al.,2019)1024=65M28.90
SubFormer (Reid et al., 2021)-=63M28.50
SubFormer-big (Reid et al., 2021)197M29.30
ODE Transformer (RK4) (Li et al., 2022) ODE Transformer (RK4) (Li et al., 2022)6-6 24-6512 512=62M 118M29.03 29.80
Other Comparisons64
RealFormer (He et al., 2021) DMAN (Fan et al., 2021)18-18512 5128 8151M29.35
Mega-Softmax (Ma et al.,2022)6-6 6-651263M 67M29.10 29.01
Our SystemTransformer641
PartialFormer (w/o Head Scaling)24-65128-811.1B118M29.0583.60
PartialFormer24-651264 24-168-88.8B66M28.86 30.0983.35 84.17
24-65126412.2B115M
Transformer6-651264 458-89.9B62M27.4382.19
Transformer PartialFormer (w/o Head Scaling)24-6 24-6360 360458-8 8-86.3B 5.2B62M 36M28.00 27.8882.72 82.49
3604524-166.8B61M29.23
PartialFormer PartialFormer24-6 24-636045 30-166.9B68M29.5683.74 83.94
", + "bbox": [ + 134, + 82, + 865, + 379 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 Experimental Setups ", + "text_level": 1, + "bbox": [ + 117, + 442, + 329, + 458 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In our evaluation, we assess the performance of PartialFormer across 9 machine translation tasks2. More details are given in Appendix A ", + "bbox": [ + 115, + 472, + 487, + 519 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Dataset. We evaluate our approach on three widely-used datasets: WMT’14 English-German (En-De), WMT’14 English-French (En-Fr), and WMT’16 English-Romanian (En-Ro). Besides, to further validate the effectiveness of PartialFormer, we also evaluate PartialFormer on six translation tasks from WMT’17 benchmark. We preprocess the raw data following the standard strategy. ", + "bbox": [ + 115, + 532, + 485, + 661 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Architectures and Selected Baselines. We use a 24-6 encoder-decoder PartialFormer architecture for its strong performance, on all 9 machine translation tasks. Detailed configurations are provided in the results tables. We compare our approach with various baselines, including vanilla Transformer models, multi-branch architecture, lightweight architecture, weight-sharing methods, and other strong baselines. ", + "bbox": [ + 115, + 675, + 487, + 819 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Training & Evaluation. We train all the models on GeForce RTX 3090 cards via Fairseq (Ott et al., 2019) toolkit. For evaluation, we utilized multi-BLEU (Papineni et al., 2002) and COMET22 (Rei et al., 2022) scores. Beam sizes were 4, 4, and 5 for En-De, En-Fr, and En-Ro tasks respectively. Length_penalty of 0.6, 0.8, and 1.3 were applied to En-De, En-Fr, and En-Ro tasks respectively. For the WMT’17 benchmark, beam size and Length_penalty were set to 4 and 1, respectively. We used an ensemble of the last ten checkpoints. ", + "bbox": [ + 115, + 833, + 487, + 879 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 512, + 443, + 884, + 570 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "5 Experiments ", + "text_level": 1, + "bbox": [ + 512, + 586, + 653, + 602 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Results of WMT’14 En-De Table 1 presents the results for the WMT’14 En-De task. Note that we also provide a “strong” baseline which also benefits from deep model stacking. Even though the performance of PartialFormer (w/o Head Scaling) is slightly inferior to that of the Transformer model (27.88 vs. 28.00 and 28.86 vs. 29.05), it outshines the latter in terms of parameter efficiency, consuming significantly fewer parameters (36M vs. 62M, 66M vs. 118M). We attribute this phenomenon to our PG-FFN, which leverages a group of compact FFNs. This approach enables PG-FFN to maintain high hidden dimension, while drastically reducing parameter consumption. ", + "bbox": [ + 512, + 613, + 882, + 838 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Upon utilizing our head scaling technique to amplify the capacity, our Partialformer delivers a BLEU score 29.56 and 30.09 on two configurations, respectively. This surpasses the standard Transformer by 1.56 BLEU points (29.56 vs. 28.00) and ", + "bbox": [ + 512, + 840, + 884, + 919 + ], + "page_idx": 4 + }, + { + "type": "table", + "img_path": "images/ef516f59f7c37f70affe22e5042b2981e8a0fb1ac32cdfc198f823be48f5f15f.jpg", + "table_caption": [ + "Table 2: Results on the WMT’14 En-Fr task. " + ], + "table_footnote": [], + "table_body": "
ModelNddkHParam BLEU
Weighted Transformer (2017)6- 211M 41.40
Evolved Transformer (2019)=64M 40.60
Delight (2021)-64054M 40.50
ODE Transformer (2022)6=69M 42.56
ODE Transformer (2022)24123M 43.28
Multi-Path Transformer (2022)=168M 42.44
Transformer24 512 648-8120M 42.33
PartialFormer (w/o Head Scaling) 24 512 648-868M 41.68
PartialFormer24 512 64 24-18119M 43.10
PartialFormer24 512 64 24-24127M 43.29
Transformer6 512 648-863M 40.79
Transformer24 360 458-864M 40.96
PartialFormer(w/o Head Scaling) 24 360 458-838M 40.44
PartialFormer24 360 45 24-1863M 42.16
PartialFormer24 360 45 24-2467M 42.39
", + "bbox": [ + 115, + 83, + 485, + 281 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "1.04 BLEU points (30.09 vs. 29.05) within a similar model capacity. The enhancement here can be attributed to the head scaling method, which allows PartialFormer to possess a larger hidden dimension, thereby bolstering its capacity for memory storage (Geva et al., 2021). These observations are further confirmed by the COMET-22 scores. ", + "bbox": [ + 115, + 334, + 487, + 445 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Moreover, PartialFormer can even surpass all selected multi-branch Transformers while using fewer parameters. Notably, PartialFormer $N =$ $2 4 , d \\ = \\ 5 1 2 )$ outperforms the latest multi-path Transformer (Lin et al., 2022) by 0.41 BLEU points with 78M fewer parameters. This highlights the efficiency of building a multi-branch network based on inherent subspaces. Additionally, PartialFormer excels over previous lightweight approaches and outperforms state-of-the-art weight-sharing methods, e.g., ODE Transformer (Li et al., 2022), and other strong baselines, e.g., Mega (Ma et al., 2022). Notably, both ODE Transformer and Mega utilize relative position encoding (Shaw et al., 2018). ", + "bbox": [ + 115, + 448, + 487, + 673 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Results of WMT’14 En-Fr Table 2 presents the results of PartialFormer on the WMT’14 En-Fr task. Similar to the findings in the En-De task, PartialFormer demonstrates a similar phenomenon. Notably, PartialFormer achieves comparable results to Transformer $( N = 2 4 , d = 5 1 2 )$ (42.39 vs. 42.33) while utilizing 53M fewer parameters (67M vs. 120M). This highlights the remarkable parameter efficiency of PartialFormer. ", + "bbox": [ + 115, + 683, + 487, + 827 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Results of WMT’16 En-Ro Table 3 presents the results on the test set of the WMT’16 En-Ro task. Notably, PartialFormer achieves the highest BLEU points among all selected baselines. It is particularly remarkable that PartialFormer achieves similar results to ODE Transformer while utilizing 178M fewer parameters. This highlights the exceptional efficiency of PartialFormer. ", + "bbox": [ + 115, + 840, + 487, + 919 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/5c2a5805346b018b4ec5d09819b07940be90ae7ad6d9c59587516b038884b09a.jpg", + "table_caption": [ + "Table 3: Results on the WMT’16 En-Ro task. " + ], + "table_footnote": [], + "table_body": "
ModelNddkH Param BLEU
Delight (Mehta et al., 2021)- 640-■53M 34.70
Subformer (Reid et al.,2021)■- ■ -48M 34.70
ODE Transformer (Li et al.,2022)6 1024 64 16-16226M 35.28
Transformer24 512 648-8111M 35.00
PartialFormer (w/o Head Scaling)24 51264 8-859M 35.07
PartialFormer24320 4024-2448M 35.30
", + "bbox": [ + 510, + 82, + 882, + 177 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/c52c5b24d0a72f2aa7681da7be04aec21454d96e68ecced2e642021a4b12f7aa.jpg", + "table_caption": [ + "Table 4: Results on the WMT’17 benchmark. PartialFormer has the same depth and $d$ as the Transformer but consumes 1M fewer parameters on average. " + ], + "table_footnote": [], + "table_body": "
ModelFi←→EnDe←→EnLv← →EnAvg.
Fi→En En→FiDe→En En-→DeLv-→En En→Lv
Transformer26.0722.1435.0428.5917.5916.2324.27
PartialFormer27.4823.3535.6029.9119.6517.3725.56
", + "bbox": [ + 510, + 215, + 880, + 272 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 512, + 351, + 882, + 398 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Results of WMT’17 Benchmark Table 4 presents the WMT’17 benchmark results, showing that PartialFormer consistently outperforms Transformer by an average of 1.29 BLEU points in all six translation tasks. This finding is consistent with the observed performance in the En-De task. ", + "bbox": [ + 512, + 410, + 882, + 505 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "6 Analysis ", + "text_level": 1, + "bbox": [ + 512, + 518, + 616, + 535 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "6.1 Ablation Studies ", + "text_level": 1, + "bbox": [ + 514, + 544, + 685, + 558 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Table 5 presents an ablation study of PartialFormer on the WMT’14 En-De task, demonstrating the critical role of each component. Omitting any element causes performance decline, underscoring the holistic design. The PG-FFN removal (#3 vs. #4) results in a large performance drop of 2.05 BLEU points, despite a mere 16 million parameters reduction. This evidence corroborates previous findings (Dong et al., 2021) on the subpar performance of pure attention networks sans FFN, highlighting the essential role of PG-FFN in PartialFormer. ", + "bbox": [ + 512, + 565, + 882, + 740 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Besides, Table 5 shows the results of different PartialFormer configurations on the WMT’14 En-De task. The encoder-decoder PartialFormer achieves the highest performance, reaching 29.56 BLEU points, indicating the effectiveness of our approach in enhancing both the encoder and the decoder. Employing our concept to either the encoder or the decoder individually also improves performance, yet the encoder-decoder configuration persistently surpasses others, marking the greatest performance improvement. ", + "bbox": [ + 512, + 744, + 884, + 919 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/93cfd48be6417dc2e3c597283972c9a8475ef9781923e69061999bcfa23a2631.jpg", + "table_caption": [ + "Table 5: Ablation studies on WMT’14 En-De task. " + ], + "table_footnote": [], + "table_body": "
# ModelParam BLEU
1 Transformer (N = 24,d = 360)62M 28.00
2 Pure Attention (N= 24,d = 360)31M 25.70
3 PartialFormer68M 29.56
4 w/o Partial-level Gated FFN52M 27.51
5 w/o Residual-like Attention Calculation66M 29.26
6 w/o Head Scaling36M 27.88
7 PartialFormer (encoder only)67M 29.15
8 PartialFormer (decoder only)63M 28.80
", + "bbox": [ + 115, + 83, + 487, + 216 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/712ef1cb5dac6390e41e477ea9889f0995225bd2494b259ec69c56436e46a23e.jpg", + "table_caption": [ + "Table 7: Comparison of different width scaling strategy on the En-De task. " + ], + "table_footnote": [ + "Table 6: Comparison of head scaling strategy on WMT’14 En-De task. " + ], + "table_body": "
ModelParam BLEU
PartialFormer (w/o Head Scaling)36M 27.88
+ Simple Head Scaling68M 29.33
+ Complex Head Scaling68M 29.56
", + "bbox": [ + 131, + 255, + 470, + 326 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.2 Comparison of Head Scaling Strategy ", + "text_level": 1, + "bbox": [ + 117, + 391, + 455, + 407 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 6 presents the results of PartialFormer on the En-De task test set with varying head scaling techniques. Both simple and complex strategies effectively utilize additional parameters to enhance PartialFormer’s performance. Notably, the complex head scaling technique, allowing for more parameters allocated to additional heads, demonstrates superior performance. ", + "bbox": [ + 115, + 413, + 487, + 542 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.3 Discussions on Width Scaling Strategies ", + "text_level": 1, + "bbox": [ + 115, + 556, + 472, + 571 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 7 presents the results of analyzing three key ways to increase the width in PartialFormer: 1) $d _ { k }$ , 2) $H$ , and 3) $d$ , on the En-De task’s test set. Notably, the findings indicate that both increasing $H$ and adding $d _ { k }$ can effectively enhance the capacity of PartialFormer. Additionally, enlarging $d$ can be beneficial for performance improvements when it is small, e.g., less than 360. However, beyond a certain threshold, further increments of $d$ become redundant and do not lead to performance gains. This aligns with previous studies (Mehta et al., 2021; Baevski and Auli, 2019) highlighting redundant information in the embedding layer. ", + "bbox": [ + 115, + 579, + 487, + 788 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.4 Comparison of Gating Strategy ", + "text_level": 1, + "bbox": [ + 117, + 801, + 405, + 816 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 8 presents a comparison of various activation functions used in PG-FFN. The results indicate that the default choice, ReLU activation, yields the best performance. One explanation is that the ReLU activation provides hard masks for filtering the information of different heads, compared to other activation functions. Such hard masks can make different heads more diverse. ", + "bbox": [ + 115, + 824, + 485, + 919 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/85fa36cc0ecfc2175111c8fe8e4148f293588ade13da0ca4226fc522fef358b9.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
ModelSetingH ddk ParamBLEU
PartialFormerBasic|30-16 36045 68M29.56
Varying Encoder H|24-16 360 45 16-16 360 4561M 51M29.23 29.02
Varying Decoder H[16-24 360 45 16-30360 4556M 60M28.85 29.20
|30-16 360 3049M28.70
Varying dh30-16 360 60 30-16 360 9086M 124M29.68
30.00
Varying d|30-16 180 45 30-16 270 45 30-16 450 4535M 51M 84M27.61 28.80 29.41
", + "bbox": [ + 512, + 83, + 880, + 271 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 512, + 334, + 880, + 365 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.5 Efficiency Analysis ", + "text_level": 1, + "bbox": [ + 512, + 376, + 704, + 392 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Table 9 exhibits the inference efficiency on the test set of En-De task. It is evident that PartialFormer incurs a reasonable increase in inference cost, which remains within acceptable limits. ", + "bbox": [ + 510, + 398, + 882, + 461 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.6 Analysis on Behaviours of FFN ", + "text_level": 1, + "bbox": [ + 514, + 473, + 798, + 487 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Metric. Following Zhang et al. (2022), we examine FFN behaviors across four aspects: activation neuron count (namely $n _ { \\mathrm { a c t . } } )$ ), FFNs’ hidden dimension, activation-neuron ratio (activations divided by hidden dimension, namely $R _ { \\mathrm { a c t . } }$ ), and FFN efficiency (activations divided by parameters, namely $\\eta _ { \\mathrm { { f f i n } } } )$ . Notably, for PartialFormer, the hidden dimension represents the concatenation of hidden dimensions from all smaller FFNs. ", + "bbox": [ + 512, + 493, + 884, + 637 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results. Figure 4(a-c) exhibits the results on the En-De test set. It is evident that PartialFormer has a lower activation ratio than the vanilla Transformer, as shown in Figure 4(b). This indicates that PGFFNs based on matrix factorization present lower utilization of the hidden dimension compared to the vanilla FFNs. However, our PG-FFN is parameter consumption friendly, enabling larger hidden layer dimensions with the same parameter budget (e.g., 5400 vs. 1440). Despite lower utilization of hidden dimension, it can still own more activated neurons, as depicted in Figure 4(a). Additionally, our PGFFN exhibits higher efficiency compared to vanilla FFNs, as shown in Figure 4(c). Multiple small FFNs, like “Swarm Intelligence” (Bonabeau et al., 1999), outperform large FFNs by leveraging the collective strength of weak individuals. ", + "bbox": [ + 512, + 646, + 884, + 919 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/64231890cc92e8206071cce0994a9dc5a1ced39e9ca288d638c13f00cf8d0e3c.jpg", + "table_caption": [ + "Table 8: Comparison of activation functions in PGFFNs. " + ], + "table_footnote": [], + "table_body": "
ModelParam BLEU
PG-FFNs68M 29.56
PG-FFNs with Sigmoid activation68M 29.21
PG-FFNs with Tanh activation68M 29.03
", + "bbox": [ + 132, + 82, + 468, + 151 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/f484f41b5e7157659d69c191f5181c13967d2b5917e9ceae879ee48e43dbbdc8.jpg", + "table_caption": [ + "Table 9: Efficiency comparison between Transformer and PartialFormer in inference. " + ], + "table_footnote": [], + "table_body": "
ModelParam Speed (Tok./s)Memory BLEU
Transformer62M43253.0G28.00
PartialFormer (w/o head scaling)66M36343.2G28.86
PartialFormer68M30233.3G29.56
", + "bbox": [ + 115, + 203, + 485, + 256 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6.7 Analysis on Head Diversity ", + "text_level": 1, + "bbox": [ + 117, + 322, + 371, + 336 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Metric. We select the same metric, namely $D _ { o u t p u t }$ , as that in Li et al. (2018) to measure the diversity among head features. In this metric, a larger value indicates a higher level of diversity. ", + "bbox": [ + 117, + 343, + 485, + 406 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Results. From Figure 4(d), we can observe that PartialFormer exhibits more diverse head features compared to the vanilla Transformer, even though the vanilla Transformer already demonstrates diverse features. This aligns with previous study (Li et al., 2018), which demonstrates the positive impact of head feature diversity on the Transformer model’s performance. Thus, we conclude that the insertion of FFNs into attention mechanism may be a more optimal design. ", + "bbox": [ + 115, + 416, + 487, + 575 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "7 Related Work ", + "text_level": 1, + "bbox": [ + 115, + 588, + 268, + 605 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Lightweight Transformers Many methods have been proposed to improve the parameter efficiency of Transformer architecture. The first line is to directly cut down redundant computations and parameters via a more efficient design such as adopting more efficient transformation operations (Mehta et al., 2019, 2021), integrating different but complementary patterns (Wu et al., 2020) and neural architecture search (So et al., 2019). Another research direction for improving parameter efficiency in the Transformer is weight sharing. The popular cross-layer sharing method is utilized by the Universal Transformer (Dehghani et al., 2019). Reid et al. (2021) propose better performance by freeing the first and last encoder layers and widening the intermediate layers. Li et al. (2022) introduce an ordinary differential equation-inspired weightsharing method for more precise results. Different from these work, our study focus on the design of efficient lightweight FFN. ", + "bbox": [ + 115, + 614, + 487, + 920 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/5cec8e8c7564f86b66a2a3fde975639ff37eeaac9506bd16cdd39ff8be563e0f.jpg", + "image_caption": [ + "Figure 4: Analysis on behaviours of FFNs and head diversity in Transformer and PartialFormer. " + ], + "image_footnote": [], + "bbox": [ + 515, + 83, + 882, + 293 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 514, + 351, + 704, + 367 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Multi-Branch Transformer The multi-branch strategy is widely used in Transformer design. Weighted Transformer (Ahmed et al., 2017) employs a multi-branch FFN, while Multi-attentive Transformer (Fan et al., 2020), Multi-units Transformer (Yan et al., 2020), and Multi-Path Transformer (Lin et al., 2022) extend this concept to different components of the Transformer. Our work introduces a pure multi-branch architecture based on natural subspaces. ", + "bbox": [ + 512, + 376, + 884, + 537 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Scaling Strategy in Transformer Deepening (Bapna et al., 2018; Wang et al., 2019) and widening (Vaswani et al., 2017; Wu et al., 2021) Transformer have been well-acknowledged as two strategies to improve the capacity of Transformer in literature. In this work, PartialFormer adopts two alternative strategies to improve capacity, adding a number of heads and head dimensions. ", + "bbox": [ + 512, + 546, + 882, + 674 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "8 Conclusion ", + "text_level": 1, + "bbox": [ + 512, + 686, + 640, + 701 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In this paper, we present PartialFormer, a new parameter-efficient Transformer architecture that offers an alternative approach to the design of the lightweight FFN. By employing multiple small FFNs and leveraging matrix factorization techniques, PartialFormer effectively reduces the number of parameters in the FFN. Moreover, we propose two innovative operations to further efficiently enhance the model capabilities. Experimental results across various machine translation tasks showcase the significant performance improvements achieved by PartialFormer, while maintaining comparable parameter consumption. 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", + "bbox": [ + 115, + 517, + 487, + 608 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "A Detailed Setups of Experiments ", + "text_level": 1, + "bbox": [ + 517, + 84, + 818, + 99 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "A.1 Dataset ", + "text_level": 1, + "bbox": [ + 514, + 109, + 618, + 123 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Table 10 displays the statistics of all the 9 translation task. ", + "bbox": [ + 512, + 130, + 884, + 160 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "A.2 Training Details ", + "text_level": 1, + "bbox": [ + 514, + 172, + 685, + 187 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Table 11 and 12 exhibits the training details on all translation tasks. ", + "bbox": [ + 512, + 193, + 882, + 223 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "B Metric Definition ", + "text_level": 1, + "bbox": [ + 512, + 236, + 695, + 252 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "B.1 Measurement of Head Diversity ", + "text_level": 1, + "bbox": [ + 514, + 261, + 808, + 277 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Following Li et al. (2018), we measure the head diversity as follows: ", + "bbox": [ + 512, + 282, + 880, + 312 + ], + "page_idx": 10 + }, + { + "type": "equation", + "img_path": "images/e222b99ceca223295a3da64f749200283b4812c732beb947906765473d54c715.jpg", + "text": "$$\nD _ { \\mathrm { o u t p u t } } = \\exp ( - \\frac { 1 } { H ^ { 2 } } \\sum _ { i = 1 } ^ { H } \\sum _ { j = 1 } ^ { H } \\frac { | O ^ { i } \\cdot O ^ { j } | } { \\| O ^ { i } \\| \\| O ^ { j } \\| } )\n$$", + "text_format": "latex", + "bbox": [ + 522, + 321, + 842, + 368 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "During evaluation, we calculate the metric on all samples and average the values to obtain the final result. ", + "bbox": [ + 512, + 375, + 882, + 422 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "C More Comparison with Previous Lightweight Transformer ", + "text_level": 1, + "bbox": [ + 512, + 435, + 828, + 468 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Table 13 presents a comprehensive comparison of previous lightweight Transformer models on the En-De task’s test set, with a specific focus on operating within a smaller parameter budget. The results prominently showcase the outstanding performance of PartialFormer, even when faced with constraints on model capacity. This outcome further emphasizes the superior capabilities of PartialFormer in scenarios with limited resources. ", + "bbox": [ + 512, + 476, + 884, + 620 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "D PartialFormer with Different $A _ { G }$ for Small Dataset ", + "text_level": 1, + "bbox": [ + 512, + 632, + 860, + 664 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Table 14 showcases the results of PartialFormer on the WMT’16 En-Ro task, a small-scale translation dataset, specifically when $A _ { G }$ is calculated using local attention (Shaw et al., 2018). Notably, these results reveal that by adopting such an approach, PartialFormer achieves an impressive BLEU score of 35.76. We hope this can shed lights on the area of model integration. ", + "bbox": [ + 512, + 674, + 882, + 802 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "E PartialFormer with GLU and Weight Sharing ", + "text_level": 1, + "bbox": [ + 512, + 814, + 867, + 846 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "In this section, we investigate the integration of PartialFormer with two prominent techniques to enhance parameter efficiency: 1) the weight sharing method (Lan et al., 2020), and 2) gated linear units (Dauphin et al., 2017). To ensure the utilization of the latest advancements, we employ a state-of-the-art weight sharing method called ODE Transformer (Li et al., 2022), known for its effectiveness in promoting parameter efficiency in Transformer architectures. Additionally, we incorporate Swi-GLU (Shazeer, 2020), a widely adopted GLUvariant that has served as a foundational component in numerous expressive Transformer architectures. ", + "bbox": [ + 510, + 856, + 882, + 920 + ], + "page_idx": 10 + }, + { + "type": "table", + "img_path": "images/113f3f1b820b4ee921dbc6d655ef8a8f572da675afe495bb5f849e2dfa52ee3c.jpg", + "table_caption": [ + "Table 10: The details of datasets of 9 translation tasks. " + ], + "table_footnote": [], + "table_body": "
DatasetSentenceBPEVocab
TrainDevTest
WMT'14 En-De4.5M2999 26815300332K 32K34040 37288
WMT'14 En-Fr WMT'16 En-Ro36M 0.6M19993003 199920K19064
WMT'17 En-De5.9M7998300432K35488
WMT'17 De-En5.9M7998300432K35448
WMT'17 En-Fi2.7M4225300232K32584
WMT'17Fi-En2.7M4225300232K32584
WMT'17 En-Lv WMT'17Lv-En4.5M 4.5M2003 20032001 200120K 20K32368 32368
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Hyper-parameter WMT'14 En-De WMT'16En-Ro WMT'14 En-Fr
GPUs848
Batch Size409640964096
Update Frequency218
OptimerAdamAdamAdam
Adamβ(0.9,0.997)(0.9, 0.997)(0.9, 0.997)
LR0.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrt
InitialLR1e-71e-7le-7
Total updates50K25K100K
Warmup updates16000800016000
Weight decay0.00000.00000.0000
Label smoothing0.10.10.1
Dropout0.10.10.1
Attention dropout0.10.10.1
ReLU dropout0.10.10.1
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Hyper-parameterI En-{De,Lv} {De,Lv}-EnEn-FiFi-En
GPUs8888
Batch Size4096409640964096
Update Frequency2114
OptimerAdamAdamAdamAdam
Adamβ(0.9, 0.997)(0.9, 0.997)(0.9,0.997) (0.9,0.997)
LR0.00200.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrtinverse sqrt
Initial LR1e-71e-71e-7le-7
Total updates50K/17K50K/17K40K10K
Warmup updates16000160001600016000
Weight decay0.00000.00000.00000.0000
Label smoothing0.10.10.10.1
Dropout0.10.10.10.1
Attention dropout0.10.10.10.1
ReLU dropout0.10.10.10.1
", + "bbox": [ + 275, + 568, + 722, + 772 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 827, + 487, + 907 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 510, + 827, + 884, + 890 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Table 15 displays the results of combining PartialFormer with weight sharing and gated linear units. Despite the integration of these two techniques, the performance gains are marginal. This could be attributed to the fact that PartialFormer already possesses high parameter efficiency, leaving little room for additional enhancements from other technologies. In other words, PartialFormer is inherently a high parameter efficiency architecture. ", + "bbox": [ + 531, + 904, + 882, + 920 + ], + "page_idx": 11 + }, + { + "type": "table", + "img_path": "images/20f8901306c77dfdd0156c6e08bb1cfe5d49a122fae8f772b0c6c5ceb92e3e1f.jpg", + "table_caption": [ + "Table 13: Comparison with state-of-the-art models of smaller capacities on the En-De task. " + ], + "table_footnote": [], + "table_body": "
ModelParam BLEU
DELIGHT (Mehta et al., 2021) EdgeFormer (Ge et al., 2022) Lite Transformer (Wu et al.,2020) PartialFormer23M 26.70 - 26.90 - 26.50 27M 27.50
Evolved Transformer (So et al., 2019) DELIGHT (Mehta et al., 2021) ODE Transformer (Li et al., 2022) PartialFormer48M 27.70 37M 27.60 37M 28.24 36M 28.35
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AGALParamBLEU
RPRMHSA62M35.76
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ModelParamBLEU
PartialFormer67M29.56
PartialFormer + Weight Sharing67M29.71
GLU-based PartialFormer67M29.67
", + "bbox": [ + 132, + 361, + 470, + 434 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "", + "bbox": [ + 115, + 499, + 487, + 626 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "F Analysis on Token Uniformity ", + "text_level": 1, + "bbox": [ + 119, + 642, + 408, + 658 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Following (Dong et al., 2021; Wang et al., 2022), we measure the token uniformity among token representations. We use pearson correlation to compute it. ", + "bbox": [ + 115, + 669, + 489, + 732 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "From Figure 5, we can observe that PartialFormer owns a lower token uniformity among token representations than the vanilla Transformer, revealing that PartialFormer can benefit from depth scaling efficiently (Dong et al., 2021; Wang et al., 2022). ", + "bbox": [ + 115, + 734, + 487, + 828 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "G Preliminary Experiments on Language Modeling ", + "text_level": 1, + "bbox": [ + 115, + 845, + 485, + 877 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We also evaluate the effectiveness of PartialFormer on the language modeling task. We can see that ", + "bbox": [ + 115, + 888, + 485, + 919 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/517907196c26506a55372a37e562c0ab840c57819add59a61bb59d3cc5f52ae6.jpg", + "image_caption": [ + "Figure 5: Comparison of token uniformity (lower is better) in Transformer and PartialFormer. " + ], + "image_footnote": [], + "bbox": [ + 554, + 85, + 840, + 180 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "PartialFormer can also show better results compared to strong baseline, e.g., Adaptive Input Transformer (Baevski and Auli, 2019). We will present more comprehensive experiments in the future. ", + "bbox": [ + 510, + 241, + 882, + 305 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/d601769096e53a656e68d57198707e235b70b3bfa767a168c0bd57e1d5018116.jpg", + "table_caption": [], + "table_footnote": [ + "Table 16: Results on the WikiText-103 dataset. " + ], + "table_body": "
ModelDepth 0 (M) Test PPL
Adaptive Input8 147M 21.11
PartialFormer16 143M 19.87
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In contrast, we tackle this issue through", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 68, + 475, + 291, + 487 + ], + "spans": [ + { + "bbox": [ + 68, + 475, + 291, + 487 + ], + "score": 1.0, + "content": "a matrix factorization approach. 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To address this, we propose", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 304, + 332, + 527, + 345 + ], + "spans": [ + { + "bbox": [ + 304, + 332, + 527, + 345 + ], + "score": 1.0, + "content": "sharing parameters across each FFN within differ-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 304, + 344, + 525, + 360 + ], + "spans": [ + { + "bbox": [ + 304, + 344, + 525, + 360 + ], + "score": 1.0, + "content": "ent heads, thereby eliminating the need for group", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 305, + 360, + 422, + 372 + ], + "spans": [ + { + "bbox": [ + 305, + 360, + 422, + 372 + ], + "score": 1.0, + "content": "transformation operations.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 43.5 + }, + { + "type": "text", + "bbox": [ + 305, + 373, + 525, + 520 + ], + "lines": [ + { + "bbox": [ + 315, + 372, + 525, + 386 + ], + "spans": [ + { + "bbox": [ + 315, + 372, + 525, + 386 + ], + "score": 1.0, + "content": "However, directly sharing weights may result", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 304, + 386, + 526, + 399 + ], + "spans": [ + { + "bbox": [ + 304, + 386, + 526, + 399 + ], + "score": 1.0, + "content": "in homogeneous representations across different", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 304, + 400, + 527, + 412 + ], + "spans": [ + { + "bbox": [ + 304, + 400, + 527, + 412 + ], + "score": 1.0, + "content": "heads, which may potentially hinder the perfor-", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 304, + 414, + 526, + 426 + ], + "spans": [ + { + "bbox": [ + 304, + 414, + 526, + 426 + ], + "score": 1.0, + "content": "mance (Li et al., 2018). To mitigate this, we further", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 304, + 427, + 525, + 439 + ], + "spans": [ + { + "bbox": [ + 304, + 427, + 525, + 439 + ], + "score": 1.0, + "content": "introduce a head-specific gated mechanism. The", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 304, + 441, + 525, + 452 + ], + "spans": [ + { + "bbox": [ + 304, + 441, + 525, + 452 + ], + "score": 1.0, + "content": "core idea is to use a set of diverse masks to filter the", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 304, + 452, + 527, + 468 + ], + "spans": [ + { + "bbox": [ + 304, + 452, + 527, + 468 + ], + "score": 1.0, + "content": "information of different heads so that the head rep-", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 303, + 468, + 525, + 480 + ], + "spans": [ + { + "bbox": [ + 303, + 468, + 525, + 480 + ], + "score": 1.0, + "content": "resentation will be more diverse. 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(6) can", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 304, + 509, + 361, + 520 + ], + "spans": [ + { + "bbox": [ + 304, + 509, + 361, + 520 + ], + "score": 1.0, + "content": "rewritten as:", + "type": "text" + } + ], + "index": 58 + } + ], + "index": 53 + }, + { + "type": "interline_equation", + "bbox": [ + 350, + 525, + 478, + 542 + ], + "lines": [ + { + "bbox": [ + 350, + 525, + 478, + 542 + ], + "spans": [ + { + "bbox": [ + 350, + 525, + 478, + 542 + ], + "score": 0.89, + "content": "O ^ { i } = G ^ { i } \\odot \\mathrm { F F N } ( \\mathrm { h e a d } ^ { i } ) ,", + "type": "interline_equation", + "image_path": "3e9fcb327568b67be70a66f5b6b558aefe5f7f80109bbfe14475d1b82301b3ce.jpg" + } + ] + } + ], + "index": 59, + "virtual_lines": [ + { + "bbox": [ + 350, + 525, + 478, + 542 + ], + "spans": [], + "index": 59 + } + ] + }, + { + "type": "text", + "bbox": [ + 305, + 548, + 468, + 561 + ], + "lines": [ + { + "bbox": [ + 304, + 547, + 469, + 563 + ], + "spans": [ + { + "bbox": [ + 304, + 547, + 333, + 563 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 334, + 548, + 369, + 561 + ], + "score": 0.73, + "content": "\\mathrm { F F N } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 369, + 547, + 469, + 563 + ], + "score": 1.0, + "content": "is the same as Eq. 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To address this, we propose", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 304, + 332, + 527, + 345 + ], + "spans": [ + { + "bbox": [ + 304, + 332, + 527, + 345 + ], + "score": 1.0, + "content": "sharing parameters across each FFN within differ-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 304, + 344, + 525, + 360 + ], + "spans": [ + { + "bbox": [ + 304, + 344, + 525, + 360 + ], + "score": 1.0, + "content": "ent heads, thereby eliminating the need for group", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 305, + 360, + 422, + 372 + ], + "spans": [ + { + "bbox": [ + 305, + 360, + 422, + 372 + ], + "score": 1.0, + "content": "transformation operations.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 43.5, + "bbox_fs": [ + 303, + 262, + 527, + 372 + ] + }, + { + "type": "text", + "bbox": [ + 305, + 373, + 525, + 520 + ], + "lines": [ + { + "bbox": [ + 315, + 372, + 525, + 386 + ], + "spans": [ + { + "bbox": [ + 315, + 372, + 525, + 386 + ], + "score": 1.0, + "content": "However, directly sharing weights may result", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 304, + 386, + 526, + 399 + ], + "spans": [ + { + "bbox": [ + 304, + 386, + 526, + 399 + ], + "score": 1.0, + "content": "in homogeneous representations across different", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 304, + 400, + 527, + 412 + ], + "spans": [ + { + "bbox": [ + 304, + 400, + 527, + 412 + ], + "score": 1.0, + "content": "heads, which may potentially hinder the perfor-", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 304, + 414, + 526, + 426 + ], + "spans": [ + { + "bbox": [ + 304, + 414, + 526, + 426 + ], + "score": 1.0, + "content": "mance (Li et al., 2018). 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TypeModelN-MddkH MACs ParamBLEUCOMET-22
Multi-Branch ArchitectureWeighted Transformer (Ahmed et al.,2017)6-61024211M28.90
Multi-Unit Transformer (Yan et al.,2020)6-6130M29.30
MAT (Fan et al., 2020)6-6206M29.90
Multi-Path Transformer (Lin et al., 2022)6-6193M29.68
Lightweight ArchitectureEvolved Transformer (So et al., 2019) Delight (Mehta et al., 2021)64M28.20
Weight Sharing64054M28.00
Universal Transformer (Dehghani et al.,2019)1024=65M28.90
SubFormer (Reid et al., 2021)-=63M28.50
SubFormer-big (Reid et al., 2021)197M29.30
ODE Transformer (RK4) (Li et al., 2022) ODE Transformer (RK4) (Li et al., 2022)6-6 24-6512 512=62M 118M29.03 29.80
Other Comparisons64
RealFormer (He et al., 2021) DMAN (Fan et al., 2021)18-18512 5128 8151M29.35
Mega-Softmax (Ma et al.,2022)6-6 6-651263M 67M29.10 29.01
Our SystemTransformer641
PartialFormer (w/o Head Scaling)24-65128-811.1B118M29.0583.60
PartialFormer24-651264 24-168-88.8B66M28.86 30.0983.35 84.17
24-65126412.2B115M
Transformer6-651264 458-89.9B62M27.4382.19
Transformer PartialFormer (w/o Head Scaling)24-6 24-6360 360458-8 8-86.3B 5.2B62M 36M28.00 27.8882.72 82.49
3604524-166.8B61M29.23
PartialFormer PartialFormer24-6 24-636045 30-166.9B68M29.5683.74 83.94
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Besides, to", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 69, + 503, + 291, + 515 + ], + "spans": [ + { + "bbox": [ + 69, + 503, + 291, + 515 + ], + "score": 1.0, + "content": "further validate the effectiveness of PartialFormer,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 69, + 517, + 290, + 529 + ], + "spans": [ + { + "bbox": [ + 69, + 517, + 290, + 529 + ], + "score": 1.0, + "content": "we also evaluate PartialFormer on six translation", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 68, + 528, + 290, + 545 + ], + "spans": [ + { + "bbox": [ + 68, + 528, + 290, + 545 + ], + "score": 1.0, + "content": "tasks from WMT’17 benchmark. 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We train all the mod-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 69, + 714, + 291, + 727 + ], + "spans": [ + { + "bbox": [ + 69, + 714, + 291, + 727 + ], + "score": 1.0, + "content": "els on GeForce RTX 3090 cards via Fairseq (Ott", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 68, + 728, + 290, + 740 + ], + "spans": [ + { + "bbox": [ + 68, + 728, + 290, + 740 + ], + "score": 1.0, + "content": "et al., 2019) toolkit. 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For the WMT’17 benchmark, beam size and", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 304, + 454, + 527, + 468 + ], + "spans": [ + { + "bbox": [ + 304, + 454, + 527, + 468 + ], + "score": 1.0, + "content": "Length_penalty were set to 4 and 1, respectively.", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 304, + 468, + 520, + 482 + ], + "spans": [ + { + "bbox": [ + 304, + 468, + 520, + 482 + ], + "score": 1.0, + "content": "We used an ensemble of the last ten checkpoints.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33.5 + }, + { + "type": "title", + "bbox": [ + 305, + 493, + 389, + 507 + ], + "lines": [ + { + "bbox": [ + 302, + 491, + 392, + 511 + ], + "spans": [ + { + "bbox": [ + 302, + 491, + 392, + 511 + ], + "score": 1.0, + "content": "5 Experiments", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 305, + 516, + 525, + 705 + ], + "lines": [ + { + "bbox": [ + 304, + 515, + 525, + 530 + ], + "spans": [ + { + "bbox": [ + 304, + 515, + 525, + 530 + ], + "score": 1.0, + "content": "Results of WMT’14 En-De Table 1 presents the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 304, + 530, + 526, + 543 + ], + "spans": [ + { + "bbox": [ + 304, + 530, + 526, + 543 + ], + "score": 1.0, + "content": "results for the WMT’14 En-De task. Note that we", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 304, + 543, + 527, + 556 + ], + "spans": [ + { + "bbox": [ + 304, + 543, + 527, + 556 + ], + "score": 1.0, + "content": "also provide a “strong” baseline which also ben-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 304, + 558, + 526, + 570 + ], + "spans": [ + { + "bbox": [ + 304, + 558, + 526, + 570 + ], + "score": 1.0, + "content": "efits from deep model stacking. 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TypeModelN-MddkH MACs ParamBLEUCOMET-22
Multi-Branch ArchitectureWeighted Transformer (Ahmed et al.,2017)6-61024211M28.90
Multi-Unit Transformer (Yan et al.,2020)6-6130M29.30
MAT (Fan et al., 2020)6-6206M29.90
Multi-Path Transformer (Lin et al., 2022)6-6193M29.68
Lightweight ArchitectureEvolved Transformer (So et al., 2019) Delight (Mehta et al., 2021)64M28.20
Weight Sharing64054M28.00
Universal Transformer (Dehghani et al.,2019)1024=65M28.90
SubFormer (Reid et al., 2021)-=63M28.50
SubFormer-big (Reid et al., 2021)197M29.30
ODE Transformer (RK4) (Li et al., 2022) ODE Transformer (RK4) (Li et al., 2022)6-6 24-6512 512=62M 118M29.03 29.80
Other Comparisons64
RealFormer (He et al., 2021) DMAN (Fan et al., 2021)18-18512 5128 8151M29.35
Mega-Softmax (Ma et al.,2022)6-6 6-651263M 67M29.10 29.01
Our SystemTransformer641
PartialFormer (w/o Head Scaling)24-65128-811.1B118M29.0583.60
PartialFormer24-651264 24-168-88.8B66M28.86 30.0983.35 84.17
24-65126412.2B115M
Transformer6-651264 458-89.9B62M27.4382.19
Transformer PartialFormer (w/o Head Scaling)24-6 24-6360 360458-8 8-86.3B 5.2B62M 36M28.00 27.8882.72 82.49
3604524-166.8B61M29.23
PartialFormer PartialFormer24-6 24-636045 30-166.9B68M29.5683.74 83.94
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We attribute this phenomenon to", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 304, + 652, + 526, + 665 + ], + "spans": [ + { + "bbox": [ + 304, + 652, + 526, + 665 + ], + "score": 1.0, + "content": "our PG-FFN, which leverages a group of compact", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 304, + 666, + 525, + 679 + ], + "spans": [ + { + "bbox": [ + 304, + 666, + 525, + 679 + ], + "score": 1.0, + "content": "FFNs. This approach enables PG-FFN to maintain", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 304, + 679, + 525, + 693 + ], + "spans": [ + { + "bbox": [ + 304, + 679, + 525, + 693 + ], + "score": 1.0, + "content": "high hidden dimension, while drastically reducing", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 303, + 694, + 412, + 706 + ], + "spans": [ + { + "bbox": [ + 303, + 694, + 412, + 706 + ], + "score": 1.0, + "content": "parameter consumption.", + "type": "text" + } + ], + "index": 52 + } + ], + "index": 45.5, + "bbox_fs": [ + 303, + 515, + 527, + 706 + ] + }, + { + "type": "text", + "bbox": [ + 305, + 707, + 526, + 773 + ], + "lines": [ + { + "bbox": [ + 315, + 705, + 525, + 722 + ], + "spans": [ + { + "bbox": [ + 315, + 705, + 525, + 722 + ], + "score": 1.0, + "content": "Upon utilizing our head scaling technique to", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 305, + 721, + 525, + 732 + ], + "spans": [ + { + "bbox": [ + 305, + 721, + 525, + 732 + ], + "score": 1.0, + "content": "amplify the capacity, our Partialformer delivers a", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 304, + 734, + 527, + 747 + ], + "spans": [ + { + "bbox": [ + 304, + 734, + 527, + 747 + ], + "score": 1.0, + "content": "BLEU score 29.56 and 30.09 on two configurations,", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 303, + 748, + 527, + 761 + ], + "spans": [ + { + "bbox": [ + 303, + 748, + 527, + 761 + ], + "score": 1.0, + "content": "respectively. This surpasses the standard Trans-", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 304, + 761, + 526, + 775 + ], + "spans": [ + { + "bbox": [ + 304, + 761, + 526, + 775 + ], + "score": 1.0, + "content": "former by 1.56 BLEU points (29.56 vs. 28.00) and", + "type": "text" + } + ], + "index": 57 + } + ], + "index": 55, + "bbox_fs": [ + 303, + 705, + 527, + 775 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 69, + 70, + 289, + 237 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 69, + 70, + 289, + 237 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 69, + 70, + 289, + 237 + ], + "spans": [ + { + "bbox": [ + 69, + 70, + 289, + 237 + ], + "score": 0.979, + "html": "
ModelNddkHParam BLEU
Weighted Transformer (2017)6- 211M 41.40
Evolved Transformer (2019)=64M 40.60
Delight (2021)-64054M 40.50
ODE Transformer (2022)6=69M 42.56
ODE Transformer (2022)24123M 43.28
Multi-Path Transformer (2022)=168M 42.44
Transformer24 512 648-8120M 42.33
PartialFormer (w/o Head Scaling) 24 512 648-868M 41.68
PartialFormer24 512 64 24-18119M 43.10
PartialFormer24 512 64 24-24127M 43.29
Transformer6 512 648-863M 40.79
Transformer24 360 458-864M 40.96
PartialFormer(w/o Head Scaling) 24 360 458-838M 40.44
PartialFormer24 360 45 24-1863M 42.16
PartialFormer24 360 45 24-2467M 42.39
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The enhancement here can be", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 69, + 309, + 290, + 321 + ], + "spans": [ + { + "bbox": [ + 69, + 309, + 290, + 321 + ], + "score": 1.0, + "content": "attributed to the head scaling method, which allows", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 68, + 322, + 291, + 335 + ], + "spans": [ + { + "bbox": [ + 68, + 322, + 291, + 335 + ], + "score": 1.0, + "content": "PartialFormer to possess a larger hidden dimen-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 69, + 335, + 290, + 349 + ], + "spans": [ + { + "bbox": [ + 69, + 335, + 290, + 349 + ], + "score": 1.0, + "content": "sion, thereby bolstering its capacity for memory", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 69, + 349, + 290, + 362 + ], + "spans": [ + { + "bbox": [ + 69, + 349, + 290, + 362 + ], + "score": 1.0, + "content": "storage (Geva et al., 2021). 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It is particu-", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 69, + 761, + 291, + 774 + ], + "spans": [ + { + "bbox": [ + 69, + 761, + 291, + 774 + ], + "score": 1.0, + "content": "larly remarkable that PartialFormer achieves sim-", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 45 + }, + { + "type": "table", + "bbox": [ + 304, + 69, + 525, + 149 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 304, + 69, + 525, + 149 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 304, + 69, + 525, + 149 + ], + "spans": [ + { + "bbox": [ + 304, + 69, + 525, + 149 + ], + "score": 0.977, + "html": "
ModelNddkH Param BLEU
Delight (Mehta et al., 2021)- 640-■53M 34.70
Subformer (Reid et al.,2021)■- ■ -48M 34.70
ODE Transformer (Li et al.,2022)6 1024 64 16-16226M 35.28
Transformer24 512 648-8111M 35.00
PartialFormer (w/o Head Scaling)24 51264 8-859M 35.07
PartialFormer24320 4024-2448M 35.30
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ModelFi←→EnDe←→EnLv← →EnAvg.
Fi→En En→FiDe→En En-→DeLv-→En En→Lv
Transformer26.0722.1435.0428.5917.5916.2324.27
PartialFormer27.4823.3535.6029.9119.6517.3725.56
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ModelNddkHParam BLEU
Weighted Transformer (2017)6- 211M 41.40
Evolved Transformer (2019)=64M 40.60
Delight (2021)-64054M 40.50
ODE Transformer (2022)6=69M 42.56
ODE Transformer (2022)24123M 43.28
Multi-Path Transformer (2022)=168M 42.44
Transformer24 512 648-8120M 42.33
PartialFormer (w/o Head Scaling) 24 512 648-868M 41.68
PartialFormer24 512 64 24-18119M 43.10
PartialFormer24 512 64 24-24127M 43.29
Transformer6 512 648-863M 40.79
Transformer24 360 458-864M 40.96
PartialFormer(w/o Head Scaling) 24 360 458-838M 40.44
PartialFormer24 360 45 24-1863M 42.16
PartialFormer24 360 45 24-2467M 42.39
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ModelNddkH Param BLEU
Delight (Mehta et al., 2021)- 640-■53M 34.70
Subformer (Reid et al.,2021)■- ■ -48M 34.70
ODE Transformer (Li et al.,2022)6 1024 64 16-16226M 35.28
Transformer24 512 648-8111M 35.00
PartialFormer (w/o Head Scaling)24 51264 8-859M 35.07
PartialFormer24320 4024-2448M 35.30
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ModelFi←→EnDe←→EnLv← →EnAvg.
Fi→En En→FiDe→En En-→DeLv-→En En→Lv
Transformer26.0722.1435.0428.5917.5916.2324.27
PartialFormer27.4823.3535.6029.9119.6517.3725.56
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# ModelParam BLEU
1 Transformer (N = 24,d = 360)62M 28.00
2 Pure Attention (N= 24,d = 360)31M 25.70
3 PartialFormer68M 29.56
4 w/o Partial-level Gated FFN52M 27.51
5 w/o Residual-like Attention Calculation66M 29.26
6 w/o Head Scaling36M 27.88
7 PartialFormer (encoder only)67M 29.15
8 PartialFormer (decoder only)63M 28.80
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ModelParam BLEU
PartialFormer (w/o Head Scaling)36M 27.88
+ Simple Head Scaling68M 29.33
+ Complex Head Scaling68M 29.56
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ModelSetingH ddk ParamBLEU
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# ModelParam BLEU
1 Transformer (N = 24,d = 360)62M 28.00
2 Pure Attention (N= 24,d = 360)31M 25.70
3 PartialFormer68M 29.56
4 w/o Partial-level Gated FFN52M 27.51
5 w/o Residual-like Attention Calculation66M 29.26
6 w/o Head Scaling36M 27.88
7 PartialFormer (encoder only)67M 29.15
8 PartialFormer (decoder only)63M 28.80
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ModelParam BLEU
PartialFormer (w/o Head Scaling)36M 27.88
+ Simple Head Scaling68M 29.33
+ Complex Head Scaling68M 29.56
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This aligns with previous studies (Mehta", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 68, + 635, + 290, + 650 + ], + "spans": [ + { + "bbox": [ + 68, + 635, + 290, + 650 + ], + "score": 1.0, + "content": "et al., 2021; Baevski and Auli, 2019) highlighting", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 69, + 649, + 275, + 663 + ], + "spans": [ + { + "bbox": [ + 69, + 649, + 275, + 663 + ], + "score": 1.0, + "content": "redundant information in the embedding layer.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 31, + "bbox_fs": [ + 68, + 485, + 292, + 663 + ] + }, + { + "type": "title", + "bbox": [ + 70, + 674, + 241, + 687 + ], + "lines": [ + { + "bbox": [ + 67, + 672, + 243, + 691 + ], + "spans": [ + { + "bbox": [ + 67, + 672, + 243, + 691 + ], + "score": 1.0, + "content": "6.4 Comparison of Gating Strategy", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 69, + 693, + 289, + 773 + ], + "lines": [ + { + "bbox": [ + 68, + 693, + 290, + 706 + ], + "spans": [ + { + "bbox": [ + 68, + 693, + 290, + 706 + ], + "score": 1.0, + "content": "Table 8 presents a comparison of various activation", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 69, + 707, + 290, + 720 + ], + "spans": [ + { + "bbox": [ + 69, + 707, + 290, + 720 + ], + "score": 1.0, + "content": "functions used in PG-FFN. The results indicate", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 68, + 720, + 290, + 732 + ], + "spans": [ + { + "bbox": [ + 68, + 720, + 290, + 732 + ], + "score": 1.0, + "content": "that the default choice, ReLU activation, yields", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 69, + 734, + 290, + 747 + ], + "spans": [ + { + "bbox": [ + 69, + 734, + 290, + 747 + ], + "score": 1.0, + "content": "the best performance. One explanation is that the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 68, + 746, + 290, + 761 + ], + "spans": [ + { + "bbox": [ + 68, + 746, + 290, + 761 + ], + "score": 1.0, + "content": "ReLU activation provides hard masks for filtering", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 69, + 760, + 290, + 774 + ], + "spans": [ + { + "bbox": [ + 69, + 760, + 290, + 774 + ], + "score": 1.0, + "content": "the information of different heads, compared to", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 304, + 281, + 525, + 294 + ], + "spans": [ + { + "bbox": [ + 304, + 281, + 525, + 294 + ], + "score": 1.0, + "content": "other activation functions. Such hard masks can", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 304, + 295, + 460, + 308 + ], + "spans": [ + { + "bbox": [ + 304, + 295, + 460, + 308 + ], + "score": 1.0, + "content": "make different heads more diverse.", + "type": "text" + } + ], + "index": 60 + } + ], + "index": 41.5, + "bbox_fs": [ + 68, + 693, + 290, + 774 + ] + }, + { + "type": "table", + "bbox": [ + 305, + 70, + 524, + 228 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 305, + 70, + 524, + 228 + ], + "group_id": 2, + "lines": [ + { + "bbox": [ + 305, + 70, + 524, + 228 + ], + "spans": [ + { + "bbox": [ + 305, + 70, + 524, + 228 + ], + "score": 0.98, + "html": "
ModelSetingH ddk ParamBLEU
PartialFormerBasic|30-16 36045 68M29.56
Varying Encoder H|24-16 360 45 16-16 360 4561M 51M29.23 29.02
Varying Decoder H[16-24 360 45 16-30360 4556M 60M28.85 29.20
|30-16 360 3049M28.70
Varying dh30-16 360 60 30-16 360 9086M 124M29.68
30.00
Varying d|30-16 180 45 30-16 270 45 30-16 450 4535M 51M 84M27.61 28.80 29.41
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It is evident that Partial-", + "type": "text" + } + ], + "index": 63 + }, + { + "bbox": [ + 304, + 362, + 525, + 374 + ], + "spans": [ + { + "bbox": [ + 304, + 362, + 525, + 374 + ], + "score": 1.0, + "content": "Former incurs a reasonable increase in inference", + "type": "text" + } + ], + "index": 64 + }, + { + "bbox": [ + 304, + 376, + 504, + 388 + ], + "spans": [ + { + "bbox": [ + 304, + 376, + 504, + 388 + ], + "score": 1.0, + "content": "cost, which remains within acceptable limits.", + "type": "text" + } + ], + "index": 65 + } + ], + "index": 63.5, + "bbox_fs": [ + 303, + 334, + 527, + 388 + ] + }, + { + "type": "title", + "bbox": [ + 306, + 398, + 475, + 410 + ], + "lines": [ + { + "bbox": [ + 303, + 397, + 477, + 411 + ], + "spans": [ + { + "bbox": [ + 303, + 397, + 477, + 411 + ], + "score": 1.0, + "content": "6.6 Analysis on Behaviours of FFN", + "type": "text" + } + ], + "index": 66 + } + ], + "index": 66 + }, + { + "type": "text", + "bbox": [ + 305, + 415, + 526, + 536 + ], + "lines": [ + { + "bbox": [ + 304, + 414, + 527, + 428 + ], + "spans": [ + { + "bbox": [ + 304, + 414, + 527, + 428 + ], + "score": 1.0, + "content": "Metric. 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Notably, for PartialFormer, the hidden di-", + "type": "text" + } + ], + "index": 73 + }, + { + "bbox": [ + 304, + 511, + 525, + 523 + ], + "spans": [ + { + "bbox": [ + 304, + 511, + 525, + 523 + ], + "score": 1.0, + "content": "mension represents the concatenation of hidden", + "type": "text" + } + ], + "index": 74 + }, + { + "bbox": [ + 305, + 524, + 459, + 535 + ], + "spans": [ + { + "bbox": [ + 305, + 524, + 459, + 535 + ], + "score": 1.0, + "content": "dimensions from all smaller FFNs.", + "type": "text" + } + ], + "index": 75 + } + ], + "index": 71, + "bbox_fs": [ + 304, + 414, + 527, + 535 + ] + }, + { + "type": "text", + "bbox": [ + 305, + 544, + 526, + 773 + ], + "lines": [ + { + "bbox": [ + 305, + 544, + 525, + 557 + ], + "spans": [ + { + "bbox": [ + 305, + 544, + 525, + 557 + ], + "score": 1.0, + "content": "Results. Figure 4(a-c) exhibits the results on the", + "type": "text" + } + ], + "index": 76 + }, + { + "bbox": [ + 304, + 557, + 526, + 570 + ], + "spans": [ + { + "bbox": [ + 304, + 557, + 526, + 570 + ], + "score": 1.0, + "content": "En-De test set. It is evident that PartialFormer has a", + "type": "text" + } + ], + "index": 77 + }, + { + "bbox": [ + 304, + 572, + 527, + 583 + ], + "spans": [ + { + "bbox": [ + 304, + 572, + 527, + 583 + ], + "score": 1.0, + "content": "lower activation ratio than the vanilla Transformer,", + "type": "text" + } + ], + "index": 78 + }, + { + "bbox": [ + 304, + 585, + 527, + 597 + ], + "spans": [ + { + "bbox": [ + 304, + 585, + 527, + 597 + ], + "score": 1.0, + "content": "as shown in Figure 4(b). This indicates that PG-", + "type": "text" + } + ], + "index": 79 + }, + { + "bbox": [ + 303, + 597, + 526, + 612 + ], + "spans": [ + { + "bbox": [ + 303, + 597, + 526, + 612 + ], + "score": 1.0, + "content": "FFNs based on matrix factorization present lower", + "type": "text" + } + ], + "index": 80 + }, + { + "bbox": [ + 304, + 612, + 525, + 625 + ], + "spans": [ + { + "bbox": [ + 304, + 612, + 525, + 625 + ], + "score": 1.0, + "content": "utilization of the hidden dimension compared to the", + "type": "text" + } + ], + "index": 81 + }, + { + "bbox": [ + 304, + 624, + 526, + 639 + ], + "spans": [ + { + "bbox": [ + 304, + 624, + 526, + 639 + ], + "score": 1.0, + "content": "vanilla FFNs. 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Multiple small", + "type": "text" + } + ], + "index": 89 + }, + { + "bbox": [ + 303, + 734, + 526, + 748 + ], + "spans": [ + { + "bbox": [ + 303, + 734, + 526, + 748 + ], + "score": 1.0, + "content": "FFNs, like “Swarm Intelligence” (Bonabeau et al.,", + "type": "text" + } + ], + "index": 90 + }, + { + "bbox": [ + 303, + 747, + 525, + 761 + ], + "spans": [ + { + "bbox": [ + 303, + 747, + 525, + 761 + ], + "score": 1.0, + "content": "1999), outperform large FFNs by leveraging the", + "type": "text" + } + ], + "index": 91 + }, + { + "bbox": [ + 305, + 762, + 478, + 774 + ], + "spans": [ + { + "bbox": [ + 305, + 762, + 478, + 774 + ], + "score": 1.0, + "content": "collective strength of weak individuals.", + "type": "text" + } + ], + "index": 92 + } + ], + "index": 84, + "bbox_fs": [ + 303, + 544, + 527, + 774 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 79, + 69, + 279, + 127 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 79, + 69, + 279, + 127 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 79, + 69, + 279, + 127 + ], + "spans": [ + { + "bbox": [ + 79, + 69, + 279, + 127 + ], + "score": 0.971, + "html": "
ModelParam BLEU
PG-FFNs68M 29.56
PG-FFNs with Sigmoid activation68M 29.21
PG-FFNs with Tanh activation68M 29.03
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ModelParam Speed (Tok./s)Memory BLEU
Transformer62M43253.0G28.00
PartialFormer (w/o head scaling)66M36343.2G28.86
PartialFormer68M30233.3G29.56
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ModelParam BLEU
PG-FFNs68M 29.56
PG-FFNs with Sigmoid activation68M 29.21
PG-FFNs with Tanh activation68M 29.03
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ModelParam Speed (Tok./s)Memory BLEU
Transformer62M43253.0G28.00
PartialFormer (w/o head scaling)66M36343.2G28.86
PartialFormer68M30233.3G29.56
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We select the same metric, namely", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 69, + 302, + 290, + 315 + ], + "spans": [ + { + "bbox": [ + 69, + 302, + 104, + 315 + ], + "score": 0.9, + "content": "D _ { o u t p u t }", + "type": "inline_equation" + }, + { + "bbox": [ + 105, + 302, + 290, + 315 + ], + "score": 1.0, + "content": ", as that in Li et al. (2018) to measure the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 68, + 315, + 291, + 329 + ], + "spans": [ + { + "bbox": [ + 68, + 315, + 291, + 329 + ], + "score": 1.0, + "content": "diversity among head features. In this metric, a", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 68, + 328, + 280, + 343 + ], + "spans": [ + { + "bbox": [ + 68, + 328, + 280, + 343 + ], + "score": 1.0, + "content": "larger value indicates a higher level of diversity.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13.5, + "bbox_fs": [ + 68, + 286, + 291, + 343 + ] + }, + { + "type": "text", + "bbox": [ + 69, + 350, + 290, + 484 + ], + "lines": [ + { + "bbox": [ + 69, + 350, + 290, + 363 + ], + "spans": [ + { + "bbox": [ + 69, + 350, + 290, + 363 + ], + "score": 1.0, + "content": "Results. From Figure 4(d), we can observe that", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 69, + 364, + 290, + 376 + ], + "spans": [ + { + "bbox": [ + 69, + 364, + 290, + 376 + ], + "score": 1.0, + "content": "PartialFormer exhibits more diverse head features", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 69, + 378, + 290, + 390 + ], + "spans": [ + { + "bbox": [ + 69, + 378, + 290, + 390 + ], + "score": 1.0, + "content": "compared to the vanilla Transformer, even though", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 69, + 390, + 291, + 403 + ], + "spans": [ + { + "bbox": [ + 69, + 390, + 291, + 403 + ], + "score": 1.0, + "content": "the vanilla Transformer already demonstrates di-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 68, + 404, + 290, + 417 + ], + "spans": [ + { + "bbox": [ + 68, + 404, + 290, + 417 + ], + "score": 1.0, + "content": "verse features. 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Thus, we conclude that the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 69, + 458, + 290, + 472 + ], + "spans": [ + { + "bbox": [ + 69, + 458, + 290, + 472 + ], + "score": 1.0, + "content": "insertion of FFNs into attention mechanism may", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 68, + 471, + 184, + 486 + ], + "spans": [ + { + "bbox": [ + 68, + 471, + 184, + 486 + ], + "score": 1.0, + "content": "be a more optimal design.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 20.5, + "bbox_fs": [ + 68, + 350, + 291, + 486 + ] + }, + { + "type": "title", + "bbox": [ + 69, + 495, + 160, + 509 + ], + "lines": [ + { + "bbox": [ + 68, + 494, + 161, + 510 + ], + "spans": [ + { + "bbox": [ + 68, + 494, + 161, + 510 + ], + "score": 1.0, + "content": "7 Related Work", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 69, + 517, + 290, + 774 + ], + "lines": [ + { + "bbox": [ + 69, + 518, + 290, + 530 + ], + "spans": [ + { + "bbox": [ + 69, + 518, + 290, + 530 + ], + "score": 1.0, + "content": "Lightweight Transformers Many methods have", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 69, + 531, + 290, + 544 + ], + "spans": [ + { + "bbox": [ + 69, + 531, + 290, + 544 + ], + "score": 1.0, + "content": "been proposed to improve the parameter efficiency", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 69, + 545, + 291, + 556 + ], + "spans": [ + { + "bbox": [ + 69, + 545, + 291, + 556 + ], + "score": 1.0, + "content": "of Transformer architecture. 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DatasetSentenceBPEVocab
TrainDevTest
WMT'14 En-De4.5M2999 26815300332K 32K34040 37288
WMT'14 En-Fr WMT'16 En-Ro36M 0.6M19993003 199920K19064
WMT'17 En-De5.9M7998300432K35488
WMT'17 De-En5.9M7998300432K35448
WMT'17 En-Fi2.7M4225300232K32584
WMT'17Fi-En2.7M4225300232K32584
WMT'17 En-Lv WMT'17Lv-En4.5M 4.5M2003 20032001 200120K 20K32368 32368
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Hyper-parameter WMT'14 En-De WMT'16En-Ro WMT'14 En-Fr
GPUs848
Batch Size409640964096
Update Frequency218
OptimerAdamAdamAdam
Adamβ(0.9,0.997)(0.9, 0.997)(0.9, 0.997)
LR0.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrt
InitialLR1e-71e-7le-7
Total updates50K25K100K
Warmup updates16000800016000
Weight decay0.00000.00000.0000
Label smoothing0.10.10.1
Dropout0.10.10.1
Attention dropout0.10.10.1
ReLU dropout0.10.10.1
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Hyper-parameterI En-{De,Lv} {De,Lv}-EnEn-FiFi-En
GPUs8888
Batch Size4096409640964096
Update Frequency2114
OptimerAdamAdamAdamAdam
Adamβ(0.9, 0.997)(0.9, 0.997)(0.9,0.997) (0.9,0.997)
LR0.00200.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrtinverse sqrt
Initial LR1e-71e-71e-7le-7
Total updates50K/17K50K/17K40K10K
Warmup updates16000160001600016000
Weight decay0.00000.00000.00000.0000
Label smoothing0.10.10.10.1
Dropout0.10.10.10.1
Attention dropout0.10.10.10.1
ReLU dropout0.10.10.10.1
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DatasetSentenceBPEVocab
TrainDevTest
WMT'14 En-De4.5M2999 26815300332K 32K34040 37288
WMT'14 En-Fr WMT'16 En-Ro36M 0.6M19993003 199920K19064
WMT'17 En-De5.9M7998300432K35488
WMT'17 De-En5.9M7998300432K35448
WMT'17 En-Fi2.7M4225300232K32584
WMT'17Fi-En2.7M4225300232K32584
WMT'17 En-Lv WMT'17Lv-En4.5M 4.5M2003 20032001 200120K 20K32368 32368
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Hyper-parameter WMT'14 En-De WMT'16En-Ro WMT'14 En-Fr
GPUs848
Batch Size409640964096
Update Frequency218
OptimerAdamAdamAdam
Adamβ(0.9,0.997)(0.9, 0.997)(0.9, 0.997)
LR0.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrt
InitialLR1e-71e-7le-7
Total updates50K25K100K
Warmup updates16000800016000
Weight decay0.00000.00000.0000
Label smoothing0.10.10.1
Dropout0.10.10.1
Attention dropout0.10.10.1
ReLU dropout0.10.10.1
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Hyper-parameterI En-{De,Lv} {De,Lv}-EnEn-FiFi-En
GPUs8888
Batch Size4096409640964096
Update Frequency2114
OptimerAdamAdamAdamAdam
Adamβ(0.9, 0.997)(0.9, 0.997)(0.9,0.997) (0.9,0.997)
LR0.00200.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrtinverse sqrt
Initial LR1e-71e-71e-7le-7
Total updates50K/17K50K/17K40K10K
Warmup updates16000160001600016000
Weight decay0.00000.00000.00000.0000
Label smoothing0.10.10.10.1
Dropout0.10.10.10.1
Attention dropout0.10.10.10.1
ReLU dropout0.10.10.10.1
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ModelParam BLEU
DELIGHT (Mehta et al., 2021) EdgeFormer (Ge et al., 2022) Lite Transformer (Wu et al.,2020) PartialFormer23M 26.70 - 26.90 - 26.50 27M 27.50
Evolved Transformer (So et al., 2019) DELIGHT (Mehta et al., 2021) ODE Transformer (Li et al., 2022) PartialFormer48M 27.70 37M 27.60 37M 28.24 36M 28.35
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AGALParamBLEU
RPRMHSA62M35.76
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ModelParamBLEU
PartialFormer67M29.56
PartialFormer + Weight Sharing67M29.71
GLU-based PartialFormer67M29.67
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ModelDepth 0 (M) Test PPL
Adaptive Input8 147M 21.11
PartialFormer16 143M 19.87
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ModelParam BLEU
DELIGHT (Mehta et al., 2021) EdgeFormer (Ge et al., 2022) Lite Transformer (Wu et al.,2020) PartialFormer23M 26.70 - 26.90 - 26.50 27M 27.50
Evolved Transformer (So et al., 2019) DELIGHT (Mehta et al., 2021) ODE Transformer (Li et al., 2022) PartialFormer48M 27.70 37M 27.60 37M 28.24 36M 28.35
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AGALParamBLEU
RPRMHSA62M35.76
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ModelParamBLEU
PartialFormer67M29.56
PartialFormer + Weight Sharing67M29.71
GLU-based PartialFormer67M29.67
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ModelDepth 0 (M) Test PPL
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TypeModelN-MddkH MACs ParamBLEUCOMET-22
Multi-Branch ArchitectureWeighted Transformer (Ahmed et al.,2017)6-61024211M28.90
Multi-Unit Transformer (Yan et al.,2020)6-6130M29.30
MAT (Fan et al., 2020)6-6206M29.90
Multi-Path Transformer (Lin et al., 2022)6-6193M29.68
Lightweight ArchitectureEvolved Transformer (So et al., 2019) Delight (Mehta et al., 2021)64M28.20
Weight Sharing64054M28.00
Universal Transformer (Dehghani et al.,2019)1024=65M28.90
SubFormer (Reid et al., 2021)-=63M28.50
SubFormer-big (Reid et al., 2021)197M29.30
ODE Transformer (RK4) (Li et al., 2022) ODE Transformer (RK4) (Li et al., 2022)6-6 24-6512 512=62M 118M29.03 29.80
Other Comparisons64
RealFormer (He et al., 2021) DMAN (Fan et al., 2021)18-18512 5128 8151M29.35
Mega-Softmax (Ma et al.,2022)6-6 6-651263M 67M29.10 29.01
Our SystemTransformer641
PartialFormer (w/o Head Scaling)24-65128-811.1B118M29.0583.60
PartialFormer24-651264 24-168-88.8B66M28.86 30.0983.35 84.17
24-65126412.2B115M
Transformer6-651264 458-89.9B62M27.4382.19
Transformer PartialFormer (w/o Head Scaling)24-6 24-6360 360458-8 8-86.3B 5.2B62M 36M28.00 27.8882.72 82.49
3604524-166.8B61M29.23
PartialFormer PartialFormer24-6 24-636045 30-166.9B68M29.5683.74 83.94
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ModelNddkHParam BLEU
Weighted Transformer (2017)6- 211M 41.40
Evolved Transformer (2019)=64M 40.60
Delight (2021)-64054M 40.50
ODE Transformer (2022)6=69M 42.56
ODE Transformer (2022)24123M 43.28
Multi-Path Transformer (2022)=168M 42.44
Transformer24 512 648-8120M 42.33
PartialFormer (w/o Head Scaling) 24 512 648-868M 41.68
PartialFormer24 512 64 24-18119M 43.10
PartialFormer24 512 64 24-24127M 43.29
Transformer6 512 648-863M 40.79
Transformer24 360 458-864M 40.96
PartialFormer(w/o Head Scaling) 24 360 458-838M 40.44
PartialFormer24 360 45 24-1863M 42.16
PartialFormer24 360 45 24-2467M 42.39
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ModelNddkH Param BLEU
Delight (Mehta et al., 2021)- 640-■53M 34.70
Subformer (Reid et al.,2021)■- ■ -48M 34.70
ODE Transformer (Li et al.,2022)6 1024 64 16-16226M 35.28
Transformer24 512 648-8111M 35.00
PartialFormer (w/o Head Scaling)24 51264 8-859M 35.07
PartialFormer24320 4024-2448M 35.30
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ModelFi←→EnDe←→EnLv← →EnAvg.
Fi→En En→FiDe→En En-→DeLv-→En En→Lv
Transformer26.0722.1435.0428.5917.5916.2324.27
PartialFormer27.4823.3535.6029.9119.6517.3725.56
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ModelSetingH ddk ParamBLEU
PartialFormerBasic|30-16 36045 68M29.56
Varying Encoder H|24-16 360 45 16-16 360 4561M 51M29.23 29.02
Varying Decoder H[16-24 360 45 16-30360 4556M 60M28.85 29.20
|30-16 360 3049M28.70
Varying dh30-16 360 60 30-16 360 9086M 124M29.68
30.00
Varying d|30-16 180 45 30-16 270 45 30-16 450 4535M 51M 84M27.61 28.80 29.41
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# ModelParam BLEU
1 Transformer (N = 24,d = 360)62M 28.00
2 Pure Attention (N= 24,d = 360)31M 25.70
3 PartialFormer68M 29.56
4 w/o Partial-level Gated FFN52M 27.51
5 w/o Residual-like Attention Calculation66M 29.26
6 w/o Head Scaling36M 27.88
7 PartialFormer (encoder only)67M 29.15
8 PartialFormer (decoder only)63M 28.80
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ModelParam BLEU
PartialFormer (w/o Head Scaling)36M 27.88
+ Simple Head Scaling68M 29.33
+ Complex Head Scaling68M 29.56
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ModelParam BLEU
PG-FFNs68M 29.56
PG-FFNs with Sigmoid activation68M 29.21
PG-FFNs with Tanh activation68M 29.03
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ModelParam Speed (Tok./s)Memory BLEU
Transformer62M43253.0G28.00
PartialFormer (w/o head scaling)66M36343.2G28.86
PartialFormer68M30233.3G29.56
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DatasetSentenceBPEVocab
TrainDevTest
WMT'14 En-De4.5M2999 26815300332K 32K34040 37288
WMT'14 En-Fr WMT'16 En-Ro36M 0.6M19993003 199920K19064
WMT'17 En-De5.9M7998300432K35488
WMT'17 De-En5.9M7998300432K35448
WMT'17 En-Fi2.7M4225300232K32584
WMT'17Fi-En2.7M4225300232K32584
WMT'17 En-Lv WMT'17Lv-En4.5M 4.5M2003 20032001 200120K 20K32368 32368
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Hyper-parameter WMT'14 En-De WMT'16En-Ro WMT'14 En-Fr
GPUs848
Batch Size409640964096
Update Frequency218
OptimerAdamAdamAdam
Adamβ(0.9,0.997)(0.9, 0.997)(0.9, 0.997)
LR0.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrt
InitialLR1e-71e-7le-7
Total updates50K25K100K
Warmup updates16000800016000
Weight decay0.00000.00000.0000
Label smoothing0.10.10.1
Dropout0.10.10.1
Attention dropout0.10.10.1
ReLU dropout0.10.10.1
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Hyper-parameterI En-{De,Lv} {De,Lv}-EnEn-FiFi-En
GPUs8888
Batch Size4096409640964096
Update Frequency2114
OptimerAdamAdamAdamAdam
Adamβ(0.9, 0.997)(0.9, 0.997)(0.9,0.997) (0.9,0.997)
LR0.00200.00200.00200.0020
LR schedulerinverse sqrtinverse sqrtinverse sqrtinverse sqrt
Initial LR1e-71e-71e-7le-7
Total updates50K/17K50K/17K40K10K
Warmup updates16000160001600016000
Weight decay0.00000.00000.00000.0000
Label smoothing0.10.10.10.1
Dropout0.10.10.10.1
Attention dropout0.10.10.10.1
ReLU dropout0.10.10.10.1
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ModelDepth 0 (M) Test PPL
Adaptive Input8 147M 21.11
PartialFormer16 143M 19.87
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ModelParamBLEU
PartialFormer67M29.56
PartialFormer + Weight Sharing67M29.71
GLU-based PartialFormer67M29.67
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ModelParam BLEU
DELIGHT (Mehta et al., 2021) EdgeFormer (Ge et al., 2022) Lite Transformer (Wu et al.,2020) PartialFormer23M 26.70 - 26.90 - 26.50 27M 27.50
Evolved Transformer (So et al., 2019) DELIGHT (Mehta et al., 2021) ODE Transformer (Li et al., 2022) PartialFormer48M 27.70 37M 27.60 37M 28.24 36M 28.35
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AGALParamBLEU
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b/parse/dev/T8wHz4rnuGL/T8wHz4rnuGL.md new file mode 100644 index 0000000000000000000000000000000000000000..38da58315319672ab9f7301e6e5d4365f7b76eb7 --- /dev/null +++ b/parse/dev/T8wHz4rnuGL/T8wHz4rnuGL.md @@ -0,0 +1,529 @@ +# ROTOGRAD: GRADIENT HOMOGENIZATION IN MULTITASK LEARNING + +Adrián Javaloy +Department of Computer Science +Saarland University +Saarbrücken, Germany +ajavaloy@cs.uni-saarland.de +Isabel Valera +Department of Computer Science +Saarland University +Saarbrücken, Germany + +# ABSTRACT + +Multitask learning is being increasingly adopted in applications domains like computer vision and reinforcement learning. However, optimally exploiting its advantages remains a major challenge due to the effect of negative transfer. Previous works have tracked down this issue to the disparities in gradient magnitudes and directions across tasks when optimizing the shared network parameters. While recent work has acknowledged that negative transfer is a two-fold problem, existing approaches fall short. These methods only focus on either homogenizing the gradient magnitude across tasks; or greedily change the gradient directions, overlooking future conflicts. In this work, we introduce RotoGrad, an algorithm that tackles negative transfer as a whole: it jointly homogenizes gradient magnitudes and directions, while ensuring training convergence. We show that RotoGrad outperforms competing methods in complex problems, including multi-label classification in CelebA and computer vision tasks in the NYUv2 dataset. A Pytorch implementation can be found in https://github.com/adrianjav/rotograd. + +# 1 INTRODUCTION + +As neural network architectures get larger in order to solve increasingly more complex tasks, the idea of jointly learning multiple tasks (for example, depth estimation and semantic segmentation in computer vision) with a single network is becoming more and more appealing. This is precisely the idea of multitask learning (MTL) (Caruana, 1993), which promises higher performance in the individual tasks and better generalization to unseen data, while drastically reducing the number of parameters (Ruder, 2017). + +Unfortunately, sharing parameters between tasks may also lead to difficulties during training as tasks compete for shared resources, often resulting in poorer results than solving individual tasks, a phenomenon known as negative transfer (Ruder, 2017). Previous works have tracked down this issue to the two types of differences between task gradients. First, differences in magnitude across tasks can make some tasks dominate the others during the learning process. Several methods have been proposed to homogenize gradient magnitudes such as MGDA-UB (Sener & Koltun, 2018), GradNorm (Chen et al., 2018), or IMTL-G Liu et al. (2021b). However, little attention has been put towards the second source of the problem: conflicting directions of the gradients for different tasks. Due to the way gradients are added up, gradients of different tasks may cancel each other out if they point to opposite directions of the parameter space, thus leading to a poor update direction for a subset or even all tasks. Only very recently a handful of works have started to propose methods to mitigate the conflicting gradients problem, for example, by removing conflicting parts of the gradients (Yu et al., 2020), or randomly ‘dropping’ some elements of the gradient vector (Chen et al., 2020). + +In this work we propose RotoGrad, an algorithm that tackles negative transfer as a whole by homogenizing both gradient magnitudes and directions across tasks. RotoGrad addresses the gradient magnitude discrepancies by re-weighting task gradients at each step of the learning, while encouraging learning those tasks that have converged the least thus far. In that way, it makes sure that no task is overlooked during training. Additionally, instead of directly modifying gradient directions, RotoGrad smoothly rotates the shared feature space differently for each task, seamlessly aligning gradients in the long run. As shown by our theoretical insights, the cooperation between gradient magnitudeand direction-homogenization ensures the stability of the overall learning process. Finally, we run extensive experiments to empirically demonstrate that RotoGrad leads to stable (convergent) learning, scales up to complex network architectures, and outperforms competing methods in multi-label classification settings in CIFAR10 and CelebA, as well as in computer vision tasks using the NYUv2 dataset. Moreover, we provide a simple-to-use library to include RotoGrad in any Pytorch pipeline. + +![](images/640cdb7d04a01fbd95fa25a9295fe038f17737d16e03cf3a77d9950d70da4059.jpg) +Figure 1: Level plots showing the evolution of two regression MTL problems with/without RotoGrad, see $\ S 4$ . RotoGrad is able to reach the optimum $( \sum )$ for both tasks. (a) In the space of $_ z$ , RotoGrad rotates the function-spaces to align task gradients (blue/orange arrows), finding shared features $_ { z }$ (green arrow) closer to the (matched) optima. $( b )$ In the space of $\mathbfit { r } _ { k }$ , RotoGrad rotates the shared feature $_ z$ , providing per-task features $\mathbf { \nabla } r _ { k }$ that better fit each task. +Figure 2: Hard-parameter sharing architecture, including the rotation matrices $\scriptstyle { \mathbf { } } _ { R _ { k } }$ of RotoGrad. + +# 2 MULTITASK LEARNING AND NEGATIVE TRANSFER + +The goal of MTL is to simultaneously learn $K$ different tasks, that is, finding $K$ mappings from a common input dataset $\pmb { X } \in \mathbb { R } ^ { N \times D }$ to a task-specific set of labels $\boldsymbol { Y _ { k } } \in \mathbb { Y } _ { k } ^ { N }$ . Most settings consider a hard-parameter sharing architecture, which is characterized by two components: the backbone and heads networks. The backbone uses a set of shared parameters, $\pmb { \theta }$ , to transform each input $\pmb { x } \in \pmb { X }$ into a shared intermediate representation $z = f ( \pmb { x } ; \mathbf { \widetilde { \theta } } ) \in \mathbb { R } ^ { d }$ , where $d$ is the dimensionality of $_ z$ . Additionally, each task $k = 1 , 2 , \ldots , K$ has a head network $h _ { k }$ , with exclusive parameters $\phi _ { k }$ , that takes this intermediate feature $_ z$ and outputs the prediction $h _ { k } ( { \pmb x } ) = h _ { k } ( { \pmb z } ; \phi _ { k } )$ for the corresponding task. This architecture is illustrated in Figure 2, where we have added task-specific rotation matrices $\scriptstyle R _ { k }$ that will be necessary for the proposed approach, RotoGrad. Note that the general architecture described above is equivalent to the one in Figure 2 when all rotations $\scriptstyle { \mathbf { } } _ { R _ { k } }$ correspond to identity matrices, such that $r _ { k } = z$ for all $k$ . + +MTL aims to learn the architecture parameters $\theta , \phi _ { 1 } , \phi _ { 2 } , \ldots , \phi _ { K }$ by simultaneously minimizing all task losses, that is, $L _ { k } ( h _ { k } ( \dot { \pmb x } ) , \pmb y _ { k } )$ for $k = 1 , \ldots , K$ . Although this is a priori a multiobjective optimization problem (Sener & Koltun, 2018), in practice a single surrogate loss consisting of a linear combination of the task losses, $\begin{array} { r } { L { \bf \bar { \Psi } } = \sum _ { k } \omega _ { k } L _ { k } } \end{array}$ , is optimized. While this approach leads to a simpler optimization problem, + +$$ +\begin{array} { r l r } & { } & { { \bf \Phi } _ { R _ { 1 } } \stackrel { \mathrm { \bf ~ r } _ { 1 } } { \mathrm { \bf ~ r } _ { 1 } } \xrightarrow [ ] { h _ { \phi _ { 1 } } } L _ { 1 } ( h _ { 1 } ( r _ { 1 } ) , y _ { 1 } ) } \\ & { } & { \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad } \\ & { } & { \quad \quad \quad \quad \quad \quad \quad x \xrightarrow [ ] { f _ { \theta } } z \mathrm { \bf ~ \stackrel { _ { - } } { } ~ } r _ { 2 } \xrightarrow [ ] { h _ { \phi _ { 2 } } } \mathrm { \bf ~ \underline { { \Phi } } } L _ { 2 } ( h _ { 2 } ( r _ { 2 } ) , y _ { 2 } ) } \\ & { } & { \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad } \\ & { } & { \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad } \\ & { } & { \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad \quad } \end{array} +$$ + +it may also trigger negative transfer between tasks, hurting the overall MTL performance due to an imbalanced competition among tasks for the shared parameters (Ruder, 2017). + +The negative transfer problem can be studied through the updates of the shared parameters $\pmb { \theta }$ . At each training step, $\pmb { \theta }$ is updated according to a linear combination of task gradients, $\begin{array} { r } { \dot { \nabla } _ { \pmb { \theta } } L = \sum _ { k } \omega _ { k } \nabla _ { \pmb { \theta } } L _ { k } } \end{array}$ , which may suffer from two problems. First, magnitude differences of the gradients across tasks may lead to a subset of tasks dominating the total gradient, and therefore to the model prioritizing them over the others. Second, conflicting directions of the gradients across tasks may lead to update directions that do not improve any of the tasks. Figure 1 shows an example of poor direction updates (left) as well as magnitude dominance (right). + +In this work, we tackle negative transfer as a whole by homogenizing tasks gradients both in magnitude and direction. To reduce overhead, we adopt the usual practice and homogenize gradients with respect to the shared feature $_ { z }$ (rather than $\pmb { \theta }$ ), as all tasks share gradient up to that point, $\nabla _ { \pmb { \theta } } L _ { k } = \nabla _ { \pmb { \theta } } \pmb { z } \cdot \nabla _ { z } L _ { k }$ . Thus, from now on we focus on feature-level task gradients $\nabla _ { z } L _ { k }$ . + +# 3 ROTOGRAD + +In this section we introduce RotoGrad, a novel algorithm that addresses the negative transfer problem as a whole. RotoGrad consists of two building blocks which, respectively, homogenize task-gradient magnitudes and directions. Moreover, these blocks complement each other and provide convergence guarantees of the network training. Next, we detail each of these building blocks and show how they are combined towards an effective MTL learning process. + +# 3.1 GRADIENT-MAGNITUDE HOMOGENIZATION + +As discussed in $\ S 2$ , we aim to homogenize gradient magnitudes across tasks, as large magnitude disparities can lead to a subset of tasks dominating the learning process. Thus, the first goal of RotoGrad is to homogenize the magnitude of the gradients across tasks at each step of the training. + +Let us denote the feature-level task gradient of the $k$ -th task for the $n$ -th datapoint, at iteration $t$ , by $\pmb { g } _ { n , k } : = \nabla _ { z } L _ { k } ( h _ { k } ( \pmb { x } _ { n } ) , \pmb { y } _ { n , k } )$ , and its batch versions by $\pmb { G } _ { k } ^ { \top } : = [ \pmb { g } _ { 1 , k } , \pmb { g } _ { 2 , k } , \cdot \cdot \cdot , \pmb { g } _ { B , k } ]$ , where $B$ is the batch size. Then, equalizing gradient magnitudes amounts to finding weights $\omega _ { k }$ that normalize and scale each gradient $G _ { k }$ , that is, + +$$ +| | \omega _ { k } G _ { k } | | = | | \omega _ { i } G _ { i } | | \quad \forall i \ \Longleftrightarrow \ \omega _ { k } G _ { k } = { \frac { C } { | | G _ { k } | | } } G _ { k } = C U _ { k } \quad \forall k , +$$ + +where $\begin{array} { r } { U _ { k } : = \frac { G _ { k } } { | | G _ { k } | | } } \end{array}$ denotes the normalized task gradient and $C$ is the target magnitude for all tasks. +Note that, in the above expression, $C$ is a free parameter that we need to select. + +In RotoGrad, we select $C$ such that all tasks converge at a similar rate. We motivate this choice by the fact that, by scaling all gradients, we change their individual step size, interfering with the convergence guarantees provided by their Lipschitz-smoothness (for an introduction to optimization see, for example, (Nesterov, 2004)). Therefore, we seek for the value of $C$ providing the best step-size for those tasks that have converged the least up to iteration $t$ . Specifically, we set $C$ to be a convex combination of the task-wise gradient magnitudes, $\begin{array} { r } { C : = \sum _ { k } \alpha _ { k } | | G _ { k } | | } \end{array}$ , where the weights ${ \alpha } _ { 1 } , { \alpha } _ { 2 } , \ldots , { \alpha } _ { K }$ measure the relative convergence of each task and sum up to one, that is, + +$$ +\alpha _ { k } = \frac { { { | { | { { G _ { k } } } | } \mathord { | { \vphantom { { G _ { k } } } } | } \kern - delimiterspace } { | { G _ { k } ^ { 0 } } | } } \mathord { | { \vphantom { { G _ { k } ^ { 0 } } } } | } | } { { \sum _ { i } { { | { | { { G _ { i } } } | } | } \mathord { / { \vphantom { { G _ { i } ^ { 0 } } } } | } | } \mathord { / { \vphantom { { G _ { i } ^ { 0 } } } } | } } \mathord { | { \vphantom { { G _ { k } ^ { 0 } } } } | } } , +$$ + +with $G _ { k } ^ { 0 }$ being the initial gradient of the $k$ -th task, i.e., the gradient at iteration $t = 0$ of the training. + +As a result, we obtain a (hyper)parameter-free approach that equalizes the gradient magnitude across tasks to encourage learning slow-converging tasks. Note that the resulting approach resembles Normalized Gradient Descent (NGD) (Cortés, 2006) for single-task learning, which has been proved to quickly escape saddle points during optimization (Murray et al., 2019). Thus, we expect a similar behavior for RotoGrad, where slow-converging tasks will force quick-converging tasks to escape from saddle points. + +Whilst the algorithm works well in general, its simplicity also facilitates unfavorable settings. For example, in the presence of noisy tasks that do not progress; or in scenarios where, when one task improves, there is always another task that deteriorates. In Appendix A we show that, when gradients do not conflict in direction with each other (which we pursue next), following the gradient ${ \bar { C } } \sum U _ { k }$ improves all task losses for the given batch. This result, while simple, provides insights in favor of having as desideratum of an efficient MTL pipeline the absence of conflicting gradients. + +# 3.2 GRADIENT-DIRECTION HOMOGENIZATION + +In the previous subsection, we have shown that avoiding conflicting gradients may not only be necessary to avoid negative transfer, but also to ensure the stability of the training. In this section we introduce the second building block of RotoGrad, an algorithm that homogenizes task-gradient directions. The main idea of this approach is to smoothly rotate the feature-space $_ z$ in order to reduce the gradient conflict between tasks—in following iterations—of the training by bringing (local) optima for different tasks closer to each other (in the parameter space). As a result, it complements the previous magnitude-scaling approach and reduces the likelihood of the training to diverge. + +In order to homogenize gradients, for each task $k = 1 , \ldots , K$ , RotoGrad introduces a matrix $\scriptstyle { \mathbf { } } _ { R _ { k } }$ so that, instead of optimizing $L _ { k } ( z )$ with $_ z$ being the last shared representation, we optimize an equivalent (in optimization terms, as it is a bijective mapping) loss function $L _ { k } ( \pmb { R } _ { k } z )$ . As we are only interested in changing directions (not the gradient magnitudes), we choose $\pmb { R } _ { k } \in S O ( d )$ to be a rotation matrix1 leading to per-task representations $\pmb { r } _ { k } : = \pmb { R } _ { k } z$ . RotoGrad thus extends the standard MTL architecture by adding task-specific rotations before each head, as depicted in Figure 2. + +Unlike all other network parameters, matrices $\scriptstyle { \mathbf { } } _ { R _ { k } }$ do not seek to reduce their task’s loss. Instead, these additional parameters are optimized to reduce the direction conflict of the gradients across tasks. To this end, for each task we optimize $\scriptstyle { \mathbf { } } _ { R _ { k } }$ to maximize the batch-wise cosine similarity or, equivalently, to minimize + +$$ +\mathcal { L } _ { \mathrm { r o t } } ^ { k } : = - \sum _ { n } \langle \pmb { R } _ { k } ^ { \top } \widetilde { \pmb { g } } _ { n , k } , \pmb { v } _ { n } \rangle , +$$ + +where $\widetilde { \pmb { g } } _ { n , k } : = \nabla _ { \pmb { r } _ { k } } L _ { k } \big ( h _ { k } ( \pmb { x } _ { n } ) , \pmb { y } _ { n , k } \big ) \big )$ (which holds that $\pmb { g } _ { n , k } = \pmb { R } _ { k } ^ { \top } \widetilde { \pmb { g } } _ { n , k } )$ and ${ \pmb v } _ { n }$ is the target vector e ethat we want all task gradients pointing towards. We set the target vector ${ \pmb v } _ { n }$ to be the gradient we would have followed if all task gradients weighted the same, that is, $\begin{array} { r } { \pmb { v } _ { n } : = \frac { 1 } { K } \sum _ { k } \pmb { u } _ { n , k } } \end{array}$ , where $\mathbf { \Delta } \mathbf { u } _ { n , k }$ is a row vector of the normalized batch gradient matrix $U _ { k }$ , as defined before. + +As a result, in each training step of RotoGrad we simultaneously optimize the following two problems: + +$$ +{ \mathcal { N } } { \mathrm { e t w o r k : ~ } } \operatorname* { m i n i m i z e } _ { \theta , \{ \phi \} _ { k } } \sum _ { k } \omega _ { k } L _ { k } , \qquad { \mathcal { R } } { \mathrm { o t a t i o n : ~ } } \operatorname* { m i n i m i z e } _ { \{ R _ { k } \} _ { k } } \sum _ { k } { \mathcal { L } } _ { \mathrm { r o t } } ^ { k } +$$ + +The above problem can be interpreted as a Stackelberg game: a two player-game in which leader and follower alternately make moves in order to minimize their respective losses, $L _ { l }$ and $L _ { f }$ , and the leader knows what will be the follower’s response to their moves. Such an interpretation allows us to derive simple guidelines to guarantee training convergence—that is, that the network loss does not oscillate as a result of optimizing the two different objectives in Equation 4. Specifically, following Fiez et al. (2020), we can ensure that problem 4 converges as long as the rotations’ optimizer (leader) is a slow-learner compared with the network optimizer (follower). That is, as long as we make the rotations’ learning rate decrease faster than that of the network, we know that RotoGrad will converge to a local optimum for both objectives. A more extensive discussion can be found in Appendix B. + +# 3.3 ROTOGRAD: THE FULL PICTURE + +After the two main building blocks of RotoGrad, we can now summarize the overall proposed approach in Algorithm 1. At each step, RotoGrad first homogenizes the gradient magnitudes such that there is no dominant task and the step size is set by the slow-converging tasks. Additionally, RotoGrad smoothly updates the rotation matrices—using the local information given by the task gradients—to seamlessly align task gradients in the following steps, thus reducing direction conflicts. + +# 3.4 PRACTICAL CONSIDERATIONS + +In this section, we discuss the main practical considerations to account for when implementing RotoGrad and propose efficient solutions. + +Unconstrained optimization. As previously discussed, parameters $\scriptstyle { \mathbf { } } _ { R _ { k } }$ are defined as rotation matrices, and thus the Rotation optimization in problem 4 is a constrained problem. While this would typically imply using expensive algorithms like Riemannian gradient descent (Absil et al., 2008), we can leverage recent work on manifold parametrization (Casado & Martínez-Rubio, 2019) and, instead, apply unconstrained optimization methods by automatically2 parametrizing $\scriptstyle { \mathbf { } } _ { R _ { k } }$ via exponential maps on the Lie algebra of $S O ( d )$ . + +
Algorithm1Training stepwith RotoGrad.
Input input samples X,task labels {Yk}, network's (RotoGrad's) learning rate n (mroto) Output backbone (heads) parameters 0 ({Φk}), RotoGrad's parameters {Rk}
1: compute shared feature Z = f(X;0)
2: for k=1,2,...,K do
3: compute task-specific loss Lk = ∑nLk(hk(Rk Zn; Φk), yn,k)
4: compute gradient of shared feature Gk = VzLk
5: compute gradient of task-specific feature Gk = RkGk Treated as constant w.r.t. Rk .
6: compute unitary gradients Uk = Gk/llGkll
7: compute relative task convergence αk = ||Gkll/IlG |
8: end for
9: make {αk} sum up to one [α1,α2,...,αk] = [α1,α2,...,αk]/∑k αk
10: compute shared magnitude C = ∑k αkllGkll
11: update backbone parameters 0 =0"- nVθz : C∑κUk compute target vector V = k ∑k Uk
+ +Memory efficiency and time complexity. As we need one rotation matrix per task, we have to store $\mathcal { O } \hat { (} K d ^ { 2 } \hat { ) }$ additional parameters. In practice, we only need $K d ( d - 1 ) / 2$ parameters due to the aforementioned parametrization and, in most cases, this amounts to a small part of the total number of parameters. Moreover, as described by Casado & Martínez-Rubio (2019), parametrizing $\scriptstyle { R _ { k } }$ enables efficient computations compared with traditional methods, with a time complexity of $O ( d ^ { 3 } )$ independently of the batch size. In our case, the time complexity is of $O ( K d ^ { 3 } )$ , which scales better with respect to the number of tasks than existing methods (for example, $O ( K ^ { 2 } d )$ for PCGrad ( $\mathrm { T u }$ et al., 2020)). Forward-pass caching and GPU parallelization can further reduce training time. + +Scaling-up RotoGrad. Despite being able to efficiently compute and optimize the rotation matrix $\scriptstyle R _ { k }$ , in domains like computer vision, where the size $d$ of the shared representation $_ z$ is large, the time complexity for updating the rotation matrix may become comparable to the one of the network updates. In those cases, we propose to only rotate a subspace of the feature space, that is, rotate only $m < < d$ dimensions of $_ z$ . Then, we can simply apply a transformation of the form $r _ { k } = [ R _ { k } z _ { 1 : m } , z _ { m + 1 : d } ]$ , where $z _ { a : b }$ denotes the elements of $_ z$ with indexes $a , a + 1 , \ldots , b$ . While there exist other possible solutions, such as using block-diagonal rotation matrices $\scriptstyle { \cal R } _ { k }$ , we defer them to future work. + +# 4 ILLUSTRATIVE EXAMPLES + +In this section, we illustrate the behavior of RotoGrad in two synthetic scenarios, providing clean qualitative results about its effect on the optimization process. Appendix C.1 provides a detailed description of the experimental setups. + +To this end, we propose two different multitask regression problems of the form + +$$ +L ( \pmb { x } ) = L _ { 1 } ( \pmb { x } ) + L _ { 2 } ( \pmb { x } ) = \varphi ( R _ { 1 } f ( \pmb { x ; \theta } ) , 0 ) + \varphi ( R _ { 2 } f ( \pmb { x ; \theta } ) , 1 ) , +$$ + +where $\varphi$ is a test function with a single global optimum whose position is parametrized by the second argument, that is, both tasks are identical (and thus related) up to a translation. We use a single input $\pmb { x } \in \mathbb { R } ^ { 2 }$ and drop task-specific network parameters. As backbone, we take a simple network of the form $z = W _ { 2 } \bar { \operatorname* { m a x } } ( \bar { W _ { 1 } x } + b _ { 1 } , 0 ) + b _ { 2 }$ with $b _ { 1 } \in \mathbb { R } ^ { 1 0 } , b _ { 2 } \in \mathbb { R } ^ { 2 }$ , and $W _ { 1 } , W _ { 2 } ^ { \top } \in \mathbb { R } ^ { 1 0 \times 2 }$ . + +For the first experiment we choose a simple (avocado-shaped) convex objective function and, for the second one, we opt for a non-convex function with several local optima and a single global optimum. Figure 1 shows the training trajectories in the presence (and absence) of RotoGrad in both experiments, depicted as level plots in the space of $_ { z }$ and $\mathbf { \nabla } r _ { k }$ , respectively. We can observe that in the first experiment (Figure 1a), RotoGrad finds both optima by rotating the feature space and matching the (unique) local optima of the tasks. Similarly, the second experiment (Figure 1b) shows that, as we have two symmetric tasks and a non-equidistant starting point, in the vanilla case the optimization is dominated by the task with an optimum closest to the starting point. RotoGrad avoids this behavior by equalizing gradients and, by aligning gradients, is able to find the optima of both functions. + +# 5 RELATED WORK + +Understanding and improving the interaction between tasks is one of the most fundamental problems of MTL, since any improvement in this regard would translate to all MTL systems. Consequently, several approaches to address this problem have been adopted in the literature. Among the different lines of work, the one most related to the present work is gradient homogenization. + +Gradient homogenization. Since the problem is two-fold, there are two main lines of work. On the one hand, we have task-weighting approaches that focus on alleviating magnitude differences. Similar to us, GradNorm (Chen et al., 2018) attempts to learn all tasks at a similar rate, yet they propose to learn these weights as parameters. Instead, we provide a closed-form solution in Equation 1, and so does IMTL-G Liu et al. (2021b). However, IMTL-G scales all task gradients such that all projections of $G$ onto $G _ { k }$ are equal. MGDA-UB (Sener & Koltun, 2018), instead, adopts an iterative method based on the Frank-Wolfe algorithm in order to find the set of weights $\left\{ \omega _ { k } \right\}$ (with $\textstyle \sum _ { k } \omega _ { k } = 1 )$ such that $\sum _ { k } \omega _ { k } G _ { k }$ has minimum norm. On the other hand, recent works have started to put attention on the conflicting direction problem. Maninis et al. (2019) and Sinha et al. (2018) proposed to make task gradients statistically indistinguishable via adversarial training. More recently, PCGrad (Yu et al., 2020) proposed to drop the projection of one task gradient onto another if they are in conflict, whereas GradDrop (Chen et al., 2020) randomly drops elements of the task gradients based on a sign-purity score. Contemporaneously to this work, improved versions of MGDA (Désidéri, 2012) and PCGrad have been proposed by Liu et al. (2021a) and Wang et al. (2021), respectively. + +The literature also includes approaches which, while orthogonal to the gradient homogenization, are complementary to our work and thus could be used along with RotoGrad. Next, we provide a brief overview of them. A prominent approach for MTL is task clustering, that is, selecting which tasks should be learned together. This approach dates back to the original task-clustering algorithm (Thrun & O’Sullivan, 1996), but new work in this direction keeps coming out (Standley et al., 2020; Zamir et al., 2018; Shen et al., 2021; Fifty et al., 2021). Alternative approaches, for example, scale the loss of each task differently based on different criteria such as task uncertainty (Kendall et al., 2018), task prioritization (Guo et al., 2018), or similar loss magnitudes (Liu et al., 2021b). Moreover, while most models fall into the hard-parameter sharing umbrella, there exists other architectures in the literature. Soft-parameter sharing architectures (Ruder, 2017), for example, do not have shared parameters but instead impose some kind of shared restrictions to the entire set of parameters. An interesting approach consists in letting the model itself learn which parts of the architecture should be used for each of the tasks (Guo et al., 2020; Misra et al., 2016; Sun et al., 2020; Vandenhende et al., 2020). Other architectures, such as MTAN (Liu et al., 2019b), make use of task-specific attention to select relevant features for each task. Finally, similar issues have also been studied in other domains like meta-learning (Flennerhag et al., 2019) and continual learning (Lopez-Paz & Ranzato, 2017). + +# 6 EXPERIMENTS + +In this section we assess the performance of RotoGrad on a wide range of datasets and MTL architectures. First, we check the effect of the learning rates of the rotation and network updates on the stability of RotoGrad. Then, with the goal of applying RotoGrad to scenarios with large sizes of $_ { z }$ , we explore the effect of rotating only a subspace of $_ z$ . Finally, we compare our approach with competing MTL solutions in the literature, showing that RotoGrad consistently outperforms all existing methods. Refer to Appendix C for a more details on the experiments and additional results. + +Relative task improvement. Since MTL uses different metrics for different tasks, throughout this section we group results by means of the relative task improvement, first introduced by Maninis et al. (2019). Given a task $k$ , and the metrics obtained during test time by a model, $M _ { k }$ , and by a baseline model, $S _ { k }$ , which consists of $K$ networks trained on each task individually, the relative task improvement for the $k$ -th task is defined as + +$$ +\Delta _ { k } : = 1 0 0 \cdot ( - 1 ) ^ { l _ { k } } \frac { M _ { k } - S _ { k } } { S _ { k } } , +$$ + +where $l _ { k } = 1$ if $M _ { k } < S _ { k }$ means that our model performs better than the baseline in the $k \mathrm { . }$ -th task, and $l _ { k } = 0$ otherwise. We depict our results using different statistics of $\Delta _ { k }$ such as its mean $( \mathrm { a v g } _ { k } \Delta _ { k } )$ , maximum $( \operatorname* { m a x } _ { k } \Delta _ { k } )$ , and median $( { \mathrm { m e d } } _ { k } \Delta _ { k } )$ across tasks. + +Statistical significance. We highlight significant improvements according to a one-sided paired t-test $\langle \alpha = 0 . 0 5 \rangle$ ), with respect to MTL with vanilla optimization (marked with $\dagger$ in each table). + +# 6.1 TRAINING STABILITY + +At the end of $\ S$ we discussed that, by casting problem 4 as a Stackelberg game, we have convergence guarantees when the rotation optimizer is the slow-learner. Next, we empirically show this necessary condition. + +Experimental setup. Similar to (Sener & Koltun, 2018), we use a multitask version of MNIST (LeCun et al., 2010) where each image is composed of a left and right digit, and use as backbone a reduced version of LeNet (LeCun et al., 1998) with light-weight heads. Besides the leftand right-digit classification proposed in (Sener & Koltun, 2018), we consider three other quantities to predict: i) sum of digits; ii) parity of the digit product; and iii) number of active pixels. The idea here is to enforce all digit-related tasks to cooperate (positive transfer), while the (orthogonal) image-related task should not disrupt these learning dynamics. + +![](images/d57da3a13366ffe5de936b85e9d4d322b035f1dc05f72ade5a8adcbbfe5e4def.jpg) +Figure 3: Test error on the sum of digits task for different values of RotoGrad’s learning rate on multi-MNIST. + +Results. Figure 3 shows the effect—averaged over ten independent runs—of changing the rotations’ learning rate in terms of test error in the sum task, while the rest of tasks are shown in Appendix C.2. We observe that, the bigger the learning rate is, in comparison to that of the network’s parameters (1e−3), the higher and noisier the test error becomes. MSE keeps decreasing as we lower the learning rate, reaching a sweet-spot at half the network’s learning rate (5e−4). For smaller values, the rotations’ learning is too slow and results start to resemble those of the vanilla case, in which no rotations are applied (leftmost box in Figure 3). + +# 6.2 ROTOGRAD BUILDING BLOCKS + +In this section, we empirically evaluate to which extent each of the RotoGrad building blocks, that we denote Scale Only (§3.1) and Rotate Only (§3.2), contribute to the performance gain in MTL. + +Experimental setup. We test all methods on three different tasks of NYUv2 (Couprie et al., 2013): 13-class semantic segmentation; depth estimation; and normal surfaces estimation. To speed up training, all images were resized to $2 8 8 \times 3 8 4$ resolution; and data augmentation was applied to alleviate overfitting. As MTL architecture, we use SegNet (Badrinarayanan et al., 2017) where the decoder is split into three convolutional heads. This is the same setup as that of Liu et al. (2019b). + +Results. The three top rows of Table 1 show the performance of RotoGrad and its both components in isolation. All the methods with the same number of parameters. Compared to Vanilla optimization (4th row), Rotate Only improves all metrics by homogenizing gradient directions. Scale Only avoids overlooking the normal estimation task and improves on segmentation by homogenizing gradient magnitudes, at the expense of higher depth estimation error. Remarkably, RotoGrad exploits its scaling and rotation components to obtain the best results in semantic segmentation and depth estimation, while still achieving comparable performance in the normal estimation task. + +# 6.3 SUBSPACE ROTATIONS + +We now evaluate the effect of subspace rotations as described at the end of $\ S$ , assessing the trade-off between avoiding negative transfer and size of the subspace considered by RotoGrad. + +Experimental setup. We test RotoGrad on a 10-task classification problem on CIFAR10 (Krizhevsky et al., 2009), using binary cross-entropy and f1-score as loss and metric, respectively, for all tasks. We use ResNet18 (He et al., 2016) without pre-training as backbone $\acute { a } = 5 1 2$ ), and linear layers with sigmoid activation functions as task-specific heads. + +Table 1: Median (over five runs) on the NYUv2 dataset. RotoGrad obtains great performance in segmentation and depth tasks, and significantly improves the results on normal surfaces. $\Delta _ { S }$ , $\Delta _ { D }$ , and $\Delta _ { N }$ denote the relative task improvement for each task. + +
Relative improvements 个Segmentation ↑Depth↓Normal Surfaces
Angle Dist.↓Within t↑
Method△s△D△NmIoUPix AccAbs.Rel.MeanMedian11.2522.530
(0I = u)*mmSingle0.00.00.039.2164.590.700.2725.0919.1830.0157.3369.30
Rotate Only3.320.5-6.639.6366.160.530.2126.1220.9326.8553.7666.50
Scale Only-0.320.0-7.938.8965.940.540.2226.4721.2426.2453.0465.81
RotoGrad1.824.0-6.139.3266.070.530.2126.0120.8027.1854.0266.53
Vanilla-2.720.6-25.738.0564.390.540.2230.0226.1620.0243.4756.87
GradDrop PCGrad-0.914.0-25.238.7964.360.590.2429.8025.8119.8844.0857.54
-2.720.5-26.3 37.1563.440.550.2230.0626.1819.5843.5156.87
MGDA-UB-31.2-0.70.6 21.6051.600.770.2924.7418.9030.3257.9569.88
GradNorm-0.619.5-10.537.2263.610.540.22 26.6821.6725.9552.1664.95
IMTL-G-0.317.6 -7.538.3864.660.540.2226.3821.3526.5652.8465.69
WaintVanillat-0.916.8-25.037.1163.980.560.2229.9325.8920.3443.9257.39
GradDrop-0.115.7 -27.037.5163.620.590.2330.1526.3319.3243.1556.59
PCGrad-0.520.0-24.638.5163.950.550.2229.7925.7720.6144.2257.64
MGDA-UB-32.2-8.21.520.7551.440.730.2824.7018.9230.5757.9569.99
GradNorm2.220.6-10.239.2964.800.530.2226.7721.8825.3951.7864.76
IMTL-G1.921.4-6.739.9465.960.550.2126.2321.1426.7753.2566.22
+ +Results. Table 2 (top) shows that rotating the entire space provides the best results, and that these worsen as we decrease the size of $\scriptstyle { \cal R } _ { k }$ . Remarkably, rotating only 128 features already outperforms vanilla with no extra per-task parameters (1st row); and rotating 256 features already yields comparable results to vanilla optimization with extra capacity (6th row) despite its larger number of (task-specific) parameters. These results can be further explained by Figure 9 in Appendix C.2, which shows a positive correlation between the size of $\scriptstyle { \mathbf { } } R _ { k }$ and cosine similarity. + +# 6.4 METHODS COMPARISON + +Experimental setup. In order to provide fair comparisons among methods, all experiments use identical configurations and random initializations. For all methods we performed a hyperparameter search and chose the best ones based on validation error. Unless otherwise specified, all baselines use the same architecture (and thus, number of parameters) as RotoGrad, taking each rotation matrix $\scriptstyle { R _ { k } }$ as extra task-specific parameters. Further experimental details can be found in Appendix C.1, as well as extra experiments and complete results in Appendix C.2. + +NYUv2. Table 1 shows the performance of all baselines with and without the extra capacity. RotoGrad significantly improves performance on all tasks compared with vanilla optimization, and outperforms all other baselines. Remarkably, we rotate only 1024 dimensions of $_ { z }$ (out of a total of 7 millions) and, as a result, RotoGrad stays on par in training time with the baselines (around $^ { 4 \mathrm { h } }$ , Appendix C.2). We can also assert the importance of learning the matrices $\scriptstyle R _ { k }$ properly by comparing in Table 1 the different baselines with and without extra capacity. + +This comparison reveals that the extra parameters do not solve the negative transfer but instead amplifies biases (methods that overlook a subset of tasks, keep overlooking them) and, in the best case, provides trade-off solutions (also shown in Appendix C.2). Note, moreover, that RotoGrad (due to its Rotate Only component) is the only method to tackle conflicting gradient directions that manages to not overlook the normal surfaces task. + +CIFAR10. We reuse the setting from $\ S 6 . 3$ to compare different MTL baselines in terms of relative improvements (Table 2) + +![](images/60892be315f76b4e317964aff43ef9c754f31b4e081405839841d875434bfb6f.jpg) +Figure 4: Similarity between task and update gradients for different methods on CIFAR10, averaged over tasks and five runs. + +Table 2: (Top) Relative task improvement on CIFAR10 for RotoGrad with matrices $\scriptstyle { \cal R } _ { k }$ of different sizes; and (bottom) comparison with baseline methods including rotation matrices as extra task-specific parameters. Table shows median and standard deviation over five runs. + +
Methoddavgk△k↑medk △k ↑maxk△k↑
Vanillat RotoGrad RotoGrad RotoGrad
RotoGrad
R 5 =u)Vanilla GradDrop4.48 ± 0.99
3.12 ± 0.793.67 ± 1.40 15.57 ± 3.99 3.10±1.29 14.23 ± 2.86
3.54± 1.10
PCGrad 3.29 ± 0.46
0.21± 0.67
2.67 ± 0.88 13.44 ± 1.86 0.57 ± 0.62 4.78 ± 2.15
MGDA-UB GradNorm 3.21 ± 1.04 IMTL-G 3.02 ± 0.69
3.10 ± 1.01 10.88 ± 4.73 1.81 ± 0.87 12.76±1.77
+ +Table 3: F1-score statistics in CelebA for two neural network architectures. Median over five different runs. + +
Methodtask f1-scores (%)↑ mink medk avgk stdk↓
C enna (9 = 0)9Vanilla GradDrop4.59 50.28 56.03 25.65 3.18 50.07 54.43 27.21 1.44 54.72
PCGrad GradNorm IMTL-G RotoGrad53.05 27.61 2.08 52.53 56.71 24.57 0.00 37.00 42.24 33.46 4.59 55.02 57.20 24.75
Vanilla (9151=3)9 GradDrop19.71 63.56 63.23 21.16 12.33 62.40 62.74 21.74
+ +and cosine similarity (Fig. 4), averaged over five different runs. Table 2 (bottom) shows that, similar to the NYUv2 results, both direction-aware solutions (PCGrad and GradDrop) behave similar to vanilla optimization, marginally increasing the average improvement. Unlike previous experiments, all magnitude-aware methods substantially worsen (at least) one of the statistics. In contrast, RotoGrad improves the relative task improvement across all statistics using the same number of parameters. Figure 4 shows the cosine similarity between task and update gradients, averaged over all tasks and runs (shaded areas correspond to $9 0 \%$ confidence intervals). It is clear that RotoGrad obtains the highest cosine similarity, that other direction-aware methods also effectively align task gradients and, combined with the low cosine similarity achieved by MGDA-UB, suggests that there exists a correlation between cosine similarity and performance. + +CelebA. To finalize, we test all methods in a 40-class multi-classification problem on CelebA (Liu et al., 2015) and two different settings: one using a convolutional network as backbone $\acute { a } = 5 1 2$ ); and another using ResNet18 (He et al., 2016) as backbone ( $d = 2 0 4 8$ ). As above, we use binary cross-entropy and f1-score as loss and metric for all tasks, thus accounting for highly imbalanced attributes. Results in Table 3 show that RotoGrad performs great in all f1-score statistics and both architectures, specially in the convolutional neural network, outperforming competing methods. + +Moreover, RotoGrad achieves these results rotating $5 0 \%$ of the shared feature $_ { z }$ for the convolutional network, and $7 5 \%$ for the residual network, which further demonstrates that RotoGrad can scale-up to real-world settings. We believe it is important to remark that, due to the high number of tasks, this setup is specially demanding. Results in Appendix C.2 show the performance of all baselines without the rotation matrices, demonstrating the negative effect that the extra capacity can have if not learned properly, as well as that RotoGrad stays on par with non-extended baselines in training time. + +# 7 CONCLUSIONS + +In this work, we have introduced RotoGrad, an algorithm that tackles negative transfer in MTL by homogenizing task gradients in terms of both magnitudes and directions. RotoGrad enforces a similar convergence rate for all tasks, while at the same time smoothly rotates the shared representation differently for each task in order to avoid conflicting gradients. As a result, RotoGrad leads to stable and accurate MTL. 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Lin (eds.), Advances in Neural Information Processing Systems, volume 33, pp. 5824– 5836. Curran Associates, Inc., 2020. URL https://proceedings.neurips.cc/paper/ 2020/file/3fe78a8acf5fda99de95303940a2420c-Paper.pdf. + +Amir Roshan Zamir, Alexander Sax, William B. Shen, Leonidas J. Guibas, Jitendra Malik, and Silvio Savarese. Taskonomy: Disentangling task transfer learning. In 2018 IEEE Conference on Computer Vision and Pattern Recognition, CVPR 2018, Salt Lake City, UT, USA, June 18-22, 2018, pp. 3712–3722. IEEE Computer Society, 2018. doi: 10.1109/CVPR. 2018.00391. URL http://openaccess.thecvf.com/content_cvpr_2018/html/ Zamir_Taskonomy_Disentangling_Task_CVPR_2018_paper.html. + +# Appendices + +A PROOFS + +Proposition A.1. Suppose $f _ { k } : = L _ { k } \circ h _ { k }$ is an infinitely differentiable real-valued function, and let us call $G _ { k } \ = \ \nabla _ { Z } f _ { k } ( Z )$ its derivative with respect to $z$ , for every $k = 1 , 2 , \ldots , K$ . If $\cos \_ \sin ( G _ { i } , G _ { j } ) > - 1 / ( K - 1 )$ pairwise; then there exists a small-enough step size $\varepsilon > 0$ such that, for all $k$ , we have that $\begin{array} { r } { L _ { k } \big ( h _ { k } ( \pmb { Z } - \varepsilon \cdot \ b { C } \sum _ { k } \pmb { U } _ { k } ; \phi _ { k } ) ; \pmb { Y } _ { k } \big ) < L _ { k } \big ( h _ { k } ( \pmb { Z } ; \phi _ { k } ) ; \pmb { Y } _ { k } \big ) , } \end{array}$ , where $U _ { k } : = G _ { k } / | | G _ { k } | |$ and $C \geq 0$ . + +Proof. Since $f _ { k }$ is infinitely differentiable, we can take the first-order Taylor expansion of $f _ { k }$ around $z$ , for any $k$ , evaluated at $Z - \varepsilon V$ for a given vector $V$ : + +$$ +\begin{array} { r } { f _ { k } ( Z - \varepsilon V ) = f _ { k } ( Z ) - \varepsilon \langle G _ { k } , V \rangle + o ( \varepsilon ) . } \end{array} +$$ + +In our case, $\begin{array} { r } { V = C \sum _ { k } U _ { k } } \end{array}$ with $C \geq 0$ , then: + +$$ +\begin{array} { l } { f _ { k } ( \pmb { Z } - \varepsilon \pmb { V } ) - f _ { k } ( \pmb { Z } ) = - \varepsilon \cdot \pmb { C } | | \pmb { G } _ { k } | | \displaystyle \sum _ { i } \langle \pmb { U } _ { k } , \pmb { U } _ { i } \rangle + o ( \varepsilon ) } \\ { = - \varepsilon \cdot \pmb { C } | | \pmb { G } _ { k } | | \displaystyle \left( 1 + \displaystyle \sum _ { i \neq j } \langle \pmb { U } _ { k } , \pmb { U } _ { i } \rangle \right) + o ( \varepsilon ) . } \end{array} +$$ + +Since $| | U _ { k } | | = 1$ for all $k = 1 , 2 , \ldots , K$ , it holds that $- 1 \le \mathrm { c o s \_ s i m } ( U _ { k } , U _ { i } ) = \langle U _ { k } , U _ { i } \rangle \le 1$ + +If cos ${ } _ { - \sin ( \pmb { G } _ { k } , \pmb { G } _ { i } ) > } - 1 / ( K - 1 )$ for all $i \neq k$ , then we have that $\begin{array} { r } { 1 + \sum _ { i \neq j } \langle { U _ { k } , U _ { i } } \rangle > 0 } \end{array}$ and $f _ { k } ( Z - \varepsilon V ) < f _ { k } ( V )$ for a small enough $\varepsilon > 0$ . + +# B STACKELBERG GAMES AND ROTOGRAD + +In game theory, a Stackelberg game (Fiez et al., 2020) is an asymmetric game where two players play alternately. One of the players—whose objective is to blindly minimize their loss function—is known as the follower, $\mathcal { F }$ . The other player is known as the leader, $\mathcal { L }$ . In contrast to the follower, the leader attempts to minimize their own loss function, but it does so with the advantage of knowing which will be the best response to their move by the follower. The problem can be written as + +$$ +\begin{array} { r l } & { \mathcal { L } \mathrm { e a d e r : ~ } \underset { x _ { l } \in X _ { l } } { \operatorname* { m i n } } \left\{ \mathcal { L } ( x _ { l } , x _ { f } ) \ : | \ : x _ { f } \in \underset { y \in X _ { f } } { \operatorname { a r g m i n } } \mathcal { F } ( x _ { l } , y ) \right\} , } \\ & { \mathcal { F } _ { 0 } ] | _ { 0 \mathrm { w e r : ~ } } \underset { x _ { f } \in X _ { f } } { \operatorname* { m i n } } \mathcal { F } ( x _ { l } , x _ { f } ) , } \end{array} +$$ + +where $x _ { l } \in X _ { l }$ and $x _ { f } \in X _ { f }$ are the actions taken by the leader and follower, respectively. + +While traditionally one assumes that players make perfect alternate moves in each step of problem 10, gradient-play Stackelberg games assume instead that players perform simultaneous gradient updates, + +$$ +\begin{array} { r l } & { x _ { l } ^ { t + 1 } = x _ { l } ^ { t } - \alpha _ { l } ^ { t } \nabla _ { x _ { l } } \mathcal { L } ( x _ { l } , x _ { f } ) , } \\ & { x _ { f } ^ { t + 1 } = x _ { f } ^ { t } - \alpha _ { f } ^ { t } \nabla _ { x _ { f } } \mathcal { L } ( x _ { l } , x _ { f } ) , } \end{array} +$$ + +where $\alpha _ { l }$ and $\alpha _ { f }$ are the learning rates of the leader and follower, respectively. + +An important concept in game theory is that of an equilibrium point, that is, a point in which both players are satisfied with their situation, meaning that there is no available move immediately improving any of the players’ scores, so that none of the players is willing to perform additional actions/updates. Specifically, we focus on the following definition introduced by Fiez et al. (2020): + +Definition B.1 (differential Stackelberg equilibrium). A pair of points $x _ { l } ^ { \ast } \in X _ { l }$ , $x _ { f } ^ { \ast } \in X _ { f }$ , where $x _ { f } ^ { * } = r ( x _ { l } ^ { * } )$ is implicitly defined by $\nabla _ { x _ { f } } \mathcal { F } ( x _ { l } ^ { * } , x _ { f } ^ { * } ) = 0$ , is a differential Stackelberg equilibrium point if $\nabla _ { x _ { l } } \mathcal { L } ( x _ { l } ^ { * } , r ( x _ { l } ^ { * } ) ) = 0$ , and $\nabla _ { x _ { l } } ^ { 2 } \mathcal { L } ( x _ { l } ^ { * } , r ( x _ { l } ^ { * } ) )$ is positive definite. + +Note that, when the players manage to reach such an equilibrium point, both of them are in a local optimum. Here, we make use of the following result, introduced by Fiez et al. (2020), to provide theoretical convergence guarantees to an equilibrium point: + +Proposition B.1. In the given setting, if the leader’s learning rate goes to zero at a faster rate than the follower’s, that is, $\alpha _ { l } ( t ) = o ( \alpha _ { f } ( t ) )$ , where $\alpha _ { i } ( t )$ denotes the learning rate of player i at step t, then they will asymptotically converge to a differential Stackelberg equilibrium point almost surely. + +In other words, as long as the follower learns faster than the leader, they will end up in a situation where both are satisfied. Even more, Fiez et al. (2020) extended this result to the finite-time case, showing that the game will end close to an equilibrium point with high probability. + +As we can observe, the Stackelberg formulation in Equation (10) is really similar to RotoGrad’s formulation in Equation (4). Even more, the update rule in Equation (11) is quite similar to that one shown in Algorithm 1. Therefore, it is sensible to cast RotoGrad as a Stackelberg game. One important but subtle bit about this link regards the extra information used by the leader. In our case, this extra knowledge explicitly appears in Equation 3 in the form of the follower’s gradient, $\mathbf { \psi } _ { g _ { i , k } }$ which is the direction the follower will follow and, as it is performing first-order optimization by assumption, this gradient directly encodes the follower’s response. + +Thanks to the Stackelberg formulation in Equation 4 we can make use of Prop. B.1 and, thus, draw theoretical guarantees on the training stability and convergence. In other words, we can say that performing training steps as those described in Algorithm 1 will stably converge as long as the leader is asymptotically the slow learner, that is $\alpha _ { l } ^ { t } = o ( \alpha _ { f } ^ { t } )$ , where $o$ denotes the little-o notation. + +In practice, however, the optimization procedure proposed by Fiez et al. (2020) requires computing the gradient of a gradient, thus incurring a significant overhead. Instead, we use Gradient Ascent-Descent (GDA), which only computes partial derivatives and enjoys similar guarantees (Jin et al., 2020), as we empirically showed in the manuscript. + +# C EXPERIMENTS + +# C.1 EXPERIMENTAL SETUPS + +Here, we discuss common settings across all experiments. Refer to specific sections further below for details concerning single experiments. + +Computational resources. All experiments were performed on a shared cluster system with two NVIDIA DGX-A100. Therefore, all experiments were run with (up to) 4 cores of AMD EPYC 7742 CPUs and, for those trained on GPU (CIFAR10, CelebA, and NYUv2), a single NVIDIA A100 GPU. All experiments were restricted to 12 GB of RAM. + +Loss normalization. Similar as in the gradient case studied in this work, magnitude differences between losses can make the model overlook some tasks. To overcome this issue, here we perform loss normalization, that is, we normalize all losses by their value at the first training iteration (so that they are all 1 in the first iteration). To account for some losses that may quickly decrease at the start, after the 20th iteration, we instead normalize losses dividing by their value at that iteration. + +Checkpoints. For the single training of a model, we select the parameters of the model by taking those that obtained the best validation error after each training epoch. That is, after each epoch we evaluate the linearly-scalarized validation loss, $\sum _ { k } L _ { k }$ , and use the parameters that obtained the best error during training. This can be seen as an extension of early-stopping where, instead of stopping, we keep training until reaching the maximum number of epochs hoping to keep improving. + +Baselines. We have implemented all baselines according to the original paper descriptions, except for PCGrad, which we apply to the gradients with respect to the feature $\mathbf { z }$ (instead of the shared parameters $\pmb { \theta }$ , as in the original paper). Note that this is in accordance with recent works, for example Chen et al. (2020) and Liu et al. (2021b), which also use this implementation of PCGrad in the feature space. This way, all competing methods modify gradients with respect to the same variables and, as backpropagation performs the sum of gradients at the last shared representation $_ { z }$ , PCGrad can be applied to reduce conflict at that level. + +Hyperparameter tuning. Model-specific hyperparameters were mostly selected by a combination of: i) using values described in prior works; and ii) empirical validation on the vanilla case (without any gradient-modifiers) to verify that the combinations of hyperparameters work. To select methodspecific hyperparameters we performed a grid search, choosing those combinations of values that performed the best with respect to validation error. + +Specifically, we took $\alpha \in \{ 0 , 0 . 5 , 1 , 2 \}$ and $\pmb { R } _ { k } \in \mathbb { R } ^ { m \times m }$ with $m \in \{ 0 . 2 5 d , 0 . 5 d , 0 . 7 5 d , d \}$ (restricting ourselves to $m \leq 1 5 0 0 \rangle$ ) for RotoGrad. Regarding the learning rate of RotoGrad (GradNorm), we performed a grid search considering $\eta _ { \mathrm { r o t o } } \in \{ 0 . 0 5 \eta , 0 . 1 \eta , 0 . 5 \eta , \eta , 2 \eta \}$ , where $\eta _ { \mathrm { r o t o } }$ and $\eta$ are the learning rates of RotoGrad (GradNorm) and the network, respectively. + +Statistical test. For the tabular data, we highlight those results that are significantly better than those from the multitask baseline (that is, better than the vanilla MTL optimization without the $R _ { k }$ matrices). To find these values, we run a paired one-sided Student’s t-test across each method and the baseline. For those metrics for which higher is better, our null hypothesis is that the method’s performance is equal or lower than the baseline, and for those for which lower is better, the null hypothesis is that the method’s performance is equal or greater than the baseline. We use a significance level of $\alpha = 0 . 0 5$ . + +Notation. Along this section, we use the following to describe different architectures: $[ \mathsf { C o n v } { - } F { - } C ]$ denotes a convolutional layer with filter size $F$ and $C$ number of channels; $\left[ \mathrm { M a x } \right]$ denotes a max-pool layer of filter size and stride 2, and $[ \mathrm { D e n s e - } H ]$ a dense layer with output size $H$ . + +# C.1.1 ILLUSTRATIVE EXAMPLES + +Losses and metrics. Both illustrative experiments use MSE as both loss and metric. Regarding the specific form of $\varphi$ in Equation (5), the avocado-shaped experiments uses + +$$ +\varphi ( ( x , y ) , s ) = ( x - s ) ^ { 2 } + 2 5 y ^ { 2 } , +$$ + +while the non-convex second experiment uses + +$$ +\varphi ( ( x , y ) , s ) = - { \frac { \sin ( 3 x + 4 . 5 s ) } { x + 1 . 5 s } } - { \frac { \sin ( 3 y + 4 . 5 s ) } { y + 1 . 5 s } } + | x + 1 . 5 s | + | y + 1 . 5 s | +$$ + +Model. As described in the main manuscript, we use a single input $\pmb { x } \in \mathbb { R } ^ { 2 }$ picked at random from a standard normal distribution, and drop all task-specific network parameters (that is, $h _ { k } ( r _ { k } ) = r _ { k } .$ ). As backbone, we take a simple network of the form $z \ = \ W _ { 2 } \operatorname* { m a x } ( W _ { 1 } x + b _ { 1 } , 0 ) + b _ { 2 }$ with $b _ { 1 } \in \mathbb { R } ^ { 1 0 } , b _ { 2 } \in \mathbb { R } ^ { 2 }$ , and $W _ { 1 } , \bar { W } _ { 2 } ^ { \top } \in \mathbb { R } ^ { 1 0 \times 2 }$ . + +Hyperparameters, convex-case. We train the model for one hundred epochs. As network optimizer we use stochastic gradient descent (SGD) with a learning rate of 0.01. For the rotations we use RAdam (Liu et al., 2019a) with a learning rate of 0.5 (for visualization purposes we need a high learning rate, in such a simple scenario it still converges) and exponential decay with decaying factor 0.999 99. + +Hyperparameter, non-convex case. For the second experiment, we train the model for 400 epochs and, once again, use SGD as the network optimizer with a learning rate of 0.015. For the rotations, we use RAdam (Liu et al., 2019a) with a learning rate of 0.1 and an exponential decay of 0.999 99. + +# C.1.2 MNIST/SVHN + +Datasets. We use two modified versions of MNIST (LeCun et al., 2010) and SVHN (Netzer et al., 2011) in which each image has two digits, one on each side of the image. In the case of MNIST, both of them are merged such that they form an overlapped image of $2 8 \times 2 8$ , as shown in Figure 5a. Since SVHN contains backgrounds, we simply paste two images together without overlapping, obtaining images of size $3 2 \times 6 4$ , as shown in Figure 5b. Moreover, we transform all SVHN samples to grayscale. + +Tasks, losses, and metrics. In order to further clarify the setup used, here we describe in detail each task. Specifically, we have: + +![](images/d46a7012aa3e9e86de70ee1126f4b06163fed04da2337a18347ca2df89f51da1.jpg) +Figure 5: Samples extracted from the modified MNIST and SVHN datasets. + +• Left digit classification. Loss: negative log-likelihood (NLL). Metric: accuracy (ACC). +• Right digit classification. Loss: NLL. Metric: ACC. +• Parity of the product of digits, that is, whether the product of both digits gives an odd number (binary-classification). Loss: binary cross entropy (BCE). Metric: f1-score (F1). +• Sum of both digits (regression). Loss: MSE. Metric: MSE. +• Active pixels in the image, that is, predict the number of pixels with values higher than 0.5, where we use pixels lying in the unit interval (regression). Loss: MSE. Metric: MSE. + +Model. Our backbone is an adaption from the original LeNet (LeCun et al., 1998) model. Specifically, we use: + +• MNIST. [Conv-5-10][Max][ReLU][Conv-5-20][Max][Dense-50][ReLU][BN], • SVHN. [Conv-5-10][Max][ReLU][Conv-5-20][Max][Conv-5-20][Dense-50] [ReLU][BN], + +where [BN]refers to Batch Normalization (Ioffe & Szegedy, 2015). Depending on the type of task, we use a different head. Specifically, we use: + +• Regression. [Dense-50][ReLU][Dense-1], • Classification. [Dense-50][ReLU][Dense-10][Log-Softmax], • Binary-classification. [Dense-1][Sigmoid]. + +Model hyperparameters. For both datasets, we train the model for 300 epochs using a batch size of 1024. For the network parameters, we use RAdam (Liu et al., 2019a) with a learning rate of 1e−3. + +Methods hyperparameters. In Tables 4 and 5 we show the results of GradNorm with: i) MNIST with $R _ { k }$ , $\alpha = 0$ ; ii) MNIST without $R _ { k }$ , $\alpha = 0 . 5$ ; iii) SVHN with $R _ { k }$ , $\alpha = 1$ ; and iv) SVHN without $R _ { k }$ , $\alpha = 2$ . We train RotoGrad with full-size rotation matrices $m = d$ ). Both methods use RAdam with learning rate 5e−4 and exponential decay of 0.9999. + +# C.1.3 CIFAR10 + +Dataset. We use CIFAR10 (Krizhevsky et al., 2009) as dataset, with $4 0 0 0 0$ instances as training data and the rest as testing data. Additionally, every time we get a sample from the dataset we: i) crop the image by a randomly selected square of size $3 \times 3 2 \times 3 2$ ; ii) randomly flip the image horizontally; and iii) standardize the image channel-wise using the mean and standard deviation estimators obtained on the training data. + +Model. We take as backbone ResNet18 (He et al., 2016) without pre-training, where we remove the last linear and pool layers. In addition, we add a Batch Normalization layer. For each task-specific head, we simply use a linear layer followed by a sigmoid function, that is, [Dense-1][Sigmoid]. + +Losses and metrics. We treat each class (out of ten) as a binary-classification task where we use BCE and F1 as loss and metric, respectively. + +Model hyperparameters. We use a batch size of 128 and train the model for 500 epochs. For the network parameters, we use as optimizer SGD with learning rate of 0.01, Nesterov momentum of 0.9, and a weight decay of 5e−4. Additionally, we use for the network parameters a cosine learning-rate scheduler with a period of 200 iterations. + +Methods hyperparameters. Results shown in Tables 2 and 6 use $\alpha = 0$ and $\alpha = 0 . 5$ for GradNorm with and without $R _ { k }$ , respectively, and we use RAdam (Liu et al., 2019a) as optimizer with learning rate 0.001 and an exponential decay factor of 0.999 95 for both GradNorm and RotoGrad. + +# C.1.4 NYUV2 + +Setup. In contrast with the rest of experiments, for the NYUv2 experiments shown in $\ S \ .$ , instead of writing our own implementation, we slightly modified the open-source code provided by Liu et al. (2019b) at https://github.com/lorenmt/mtan (commit 268c5c1). We therefore use the exact same setting as Liu et al. (2019b)—and refer to their paper and code for further details, with the addition of using data augmentation for the experiments which, although not described in the paper, is included in the repository as a command-line argument. We will provide along this work a diff file to include all gradient-modifier methods into the aforementioned code. + +Methods hyperparameters. For the results shown in Table 1 we use GradNorm with $\alpha = 0$ and RotoGrad with rotations $\scriptstyle R _ { k }$ of size 1024. We use a similar optimization strategy as the rest of parameters, using Adam (Kingma & Ba, 2014) with learning rate 5e−5 (half the one of the network parameters) and where we halve this learning rate every 100 iterations. + +# C.1.5 CELEBA + +Dataset. We use CelebA (Liu et al., 2015) as dataset with usual splits. We resize each sample image so that they have size $3 \times 6 4 \times 6 4$ . + +Losses and metrics. We treat each class (out of forty) as a binary-classification task where we use BCE and F1 as loss and metric, respectively. + +ResNet model. As with CIFAR10, we use as backbone ResNet18 (He et al., 2016) without pretraining, where we remove the last linear and pool layers. In addition, we add a Batch Normalization layer. For each task-specific head, we use a linear layer followed by a sigmoid function, that is, [Dense-1][Sigmoid]. + +ResNet hyperparameters. We use a batch size of 256 and train the model for 100 epochs. For the network parameters, we use RAdam (Liu et al., 2019a) as optimizer with learning rate 0.001 and exponential decay of 0.999 95 applied every 2400 iterations. + +Convolutional model. For the second architecture, we use a convolutional network as backbone, [Conv-3-64][BN][Max][Conv-3-128][BN][Conv-3-128][BN][Max][Conv-3-256][BN] [Conv-3-256][BN][Max][Conv-3-512][BN][Dense-512][BN]. For the task-specific heads, we take a simple network of the form [Dense-128][BN][Dense-1][Sigmoid]. + +Convolutional hyperparameters. We use a batch size of 8 and train the model for 20 epochs. For the network parameters, we use RAdam (Liu et al., 2019a) as optimizer with learning rate 0.001 and exponential decay of 0.96 applied every 2400 iterations. + +Methods hyperparameters. Results shown in Tables 3 and 7 use GradNorm with: i) convolutional network with $R _ { k }$ , $\alpha = 0$ ; ii) convolutional network without $R _ { k }$ , $\alpha = 1$ ; iii) residual network with $R _ { k }$ , $\alpha = 0 . 5$ ; and iv) residual network without $R _ { k }$ , $\alpha = 1$ . For RotoGrad, we rotate 256 and 1536 elements of $_ { z }$ for the convolutional and residual networks. As optimizer, we use RAdam (Liu et al., + +2019a) with learning rate 5e−6 and an exponential decay factor of 0.999 95 for both GradNorm and RotoGrad. + +Note that for these experiments we omit MGDA-UB (Sener & Koltun, 2018) as it is computationally prohibitive in comparisons with other methods. In single-seed experiments, we however observed that it does not perform too well (specially in the convolutional network). + +# C.2 ADDITIONAL RESULTS + +# C.2.1 MULTI-MNIST AND MULTI-SVHN + +Table 4: Test performance (median and standard deviation) on two set of unrelated tasks on MNIST and SVHN, across ten different runs. + +
MNISTSVHN
DigitsAct PixDigitsAct Pix
Method Singleavgk △k ↑MSE↓avgk △k ↑MSE↓
Vanilla0.00 ± 0.000.01 ± 0.010.00±0.000.17 ± 0.06
−1.43 ± 3.240.14 ± 0.054.78 ±0.883.04 ± 2.53
GradDrop PCGrad-1.30 ± 1.820.16 ± 0.045.34 ± 0.922.99 ± 2.59
MGDA-UB-1.22 ± 2.810.13 ± 0.015.01 ± 0.652.70 ± 2.25
GradNorm-29.14 ± 9.230.06 ± 0.00-4.36± 6.721.00 ± 0.57
IMTL-G0.86 ± 1.93 2.12 ± 1.460.09 ± 0.045.24 ± 0.894.12 ± 9.46
RotoGrad0.07 ± 0.025.94 ± 0.991.70 ± 1.05
1.55 ± 2.220.08 ± 0.036.08 ± 0.481.61 ± 2.72
+ +We reuse the experimental setting from $\ S$ —now using the original LeNet (LeCun et al., 1998) and a multitask-version of SVHN (Netzer et al., 2011)—in order to evaluate how disruptive the orthogonal image-related task is for different methods. We can observe (Table 4) that the effect of the image-related task is more disruptive in MNIST, in which MGDA-UB utterly fails. Direction-aware methods (GradDrop and PCGrad) do not improve the vanilla results, whereas IMTL-G, GradNorm, and RotoGrad obtain the best results. + +We also provide the complete results for all metrics in Table 5. In the case of MNIST, we can observe that both regression tasks tend to be quite disruptive. GradNorm, IMTL-G, and RotoGrad manage to improve over all tasks while maintaining good performance on the rest of tasks. MGDA-UB, however, focuses on the image-related task too much and overlooks other tasks. In SVHN we observe a similar behavior. This time, all methods are able to leverage positive transfer and improve their results on the parity and sum tasks, obtaining similar task improvement results. Yet, the image-related task is more disruptive than before, showing bigger differences between methods. As before, MGDA-UB completely focuses on this task, but now is able to not overlook any task while doing so. Regarding the rest of the methods, all of them improved their results with respect to the vanilla case, with RotoGrad and GradNorm obtaining the second-best results. + +Table 5: Complete results (median and standard deviation) of different competing methods on MNIST/SVHN on all tasks, see Appendix C.1.2 and Appendix C.2. + +
MethodLeft digit Right digit Product parity Sum digitsAcc.个 Acc. ↑ f1个 MSE↓ avg△k ↑Act. Pix.MSE↓
SingleVanillat95.70± 0.20 94.05 ± 0.16 92.09 ± 0.76 1.90 ± 0.10 0.00±0.000.01 ± 0.01
94.94 ± 0.20 93.26±0.27 93.07 ± 0.48 2.10 ± 0.17 -3.26 ± 3.120.11 ± 0.01
GradDrop95.33 ± 0.39 93.55 ± 0.2993.32 ± 0.542.14 ± 0.07 -2.52 ± 1.630.13 ±0.02
Whou PCGradMGDA-UBGradNormLSINN IMTL-GVanillaGradDrop95.07 ± 0.39 93.28 ± 0.1893.34 ± 0.512.14 ± 0.19 -3.36 ±3.860.12 ±0.02
94.46 ± 1.04 92.23 ± 1.54 83.89 ± 1.84 2.50± 0.60-10.80±10.450.06± 0.02
95.19 ± 0.37 93.70± 0.31 93.31± 0.39 2.06 ± 28.71-1.81± 37.990.09 ± 7.46
95.28 ± 0.38 93.84 ± 0.21 93.24 ± 0.49 1.91 ± 6.61 -0.01 ± 82.480.07 ± 2.05
95.13 ± 0.20 93.41 ± 0.17 93.54± 0.50 1.99 ± 0.17 -1.43 ± 3.240.14 ±0.05
95.14 ± 0.16 93.47 ± 0.12 93.59 ± 0.322.00 ±0.06 -1.30 ±1.820.16 ± 0.04
p PCGradMGDA-UBGradNormIMTL-GRotoGrad95.04 ± 0.26 93.36 ± 0.30 93.49 ± 0.301.98 ± 0.13 -1.22 ± 2.810.13 ± 0.01
89.99 ± 2.21 86.76 ± 1.18 79.24 ± 2.833.65± 0.42-29.14 ±9.230.06 ± 0.00
95.28 ± 0.18 93.56 ± 0.25 93.56± 0.571.86 ± 0.07 0.86 ± 1.930.09 ± 0.04
95.47 ± 0.27 93.79 ± 0.31 93.56± 0.5795.45 ± 0.19 93.83 ± 0.19 93.22 ± 0.351.73 ± 0.09 2.12 ± 1.461.85 ± 0.13 1.55 ± 2.220.07 ± 0.020.08 ± 0.03
Single85.05 ± 0.45 84.58 ± 0.24 77.47 ± 1.13 5.84±0.14 0.00 ±0.000.17 ± 0.06
Vanillat84.18 ± 0.30 84.18 ±0.38 80.11 ± 0.854.81 ± 0.06 5.14 ± 0.832.75 ± 3.17
GradDrop84.38 ± 0.2984.48 ± 0.41 80.11 ± 0.694.69 ± 0.12 5.68 ± 1.051.91 ± 0.86
PCGrad84.22 ± 0.3184.23 ± 0.21 79.92 ± 0.794.69 ± 0.09 5.50 ± 0.752.26±0.85
MGDA-UBGradNormNHAS IMTL-GVanillaGradDropMGDA-UBMGDA-UBGradNormIMTL-G84.61 ± 0.7584.38 ± 0.45 77.44 ± 1.444.47 ± 0.18 5.99 ± 1.48
84.23 ± 0.3384.13 ± 0.30 79.40 ± 0.874.92 ± 0.07 4.60 ± 1.014.30 ± 2.18
84.60 ± 0.4584.39 ± 0.37 79.63 ± 1.104.57 ± 0.13 5.81 ± 0.852.47 ± 1.65
84.11 ±0.48 84.11 ±0.40 79.83 ± 0.794.84 ±0.10 4.78±0.883.04±2.53
84.23 ± 0.35 84.33 ±0.40 80.10 ± 0.834.73 ± 0.09 5.34 ± 0.922.99 ± 2.59
PCGrad84.21 ± 0.21 84.26 ±0.38 79.64 ± 0.484.84 ± 0.06 5.01 ± 0.652.70± 2.25
pm MGDA-UBGradNormIMTL-GRotoGrad77.05± 5.4478.00±5.04 71.76± 4.325.27 ± 0.56 -4.36± 6.721.00 ± 0.57
84.37 ± 0.3484.30 ±0.46 79.97 ± 0.754.72 ± 0.13 5.24± 0.894.12 ± 9.46
84.23 ± 0.3484.23 ± 0.39 79.77 ± 1.044.51 ± 0.12 5.94 ± 0.991.70 ± 1.051.61 ± 2.72
84.60± 0.5084.44 ± 0.45 79.14 ± 0.964.45 ± 0.10 6.08 ± 0.48
+ +# C.2.2 ILLUSTRATIVE EXAMPLES + +We complement the illustrative figures shown in Figure 1 by providing, for each example, an illustration of the effect of RotoGrad shown as an active and passive transformation. In an active transformation (Figure 6 left), points in the space are the ones modified. In our case, this means that we rotate feature $_ z$ , obtaining $\mathbf { \Delta } _ { \mathbf { r } _ { 1 } }$ and $\mathbf { \boldsymbol { r } } _ { 2 }$ while the loss functions remain the same. In other words, for each $_ z$ we obtain a taskspecific feature $\mathbfit { r } _ { k }$ that optimizes its loss function. In contrast, a passive transformation (Figure 6 right) keeps the points unaltered while applying the transformation to the space itself. In our case, this translates to rotating the optimization landscape of each loss function (now we have $L _ { k } \circ R _ { k }$ instead of $L _ { K }$ ), so that our single feature $_ z$ has an easier job at optimizing both tasks. In the case of RotoGrad, we can observe in both right figures that both optima lie in the same point, as we are aligning task gradients. + +Besides the two regression experiments shown in $\ S 4$ , we include here an additional experiment where we test RotoGrad in the worst-case scenario of gradient conflict, that is, one in which task gradients are opposite to each other. To this end, we solve a 2-task binary classification problem where, as dataset, we take 1000 samples from a 2D Gaussian mixture model with two clusters; $y _ { n , k } = 1$ if ${ \mathbf { \mathcal { x } } } _ { n }$ was sampled from cluster $k$ ; and $\scriptstyle y _ { n , k } = 0$ otherwise. We use as model a logistic regression model of the form ${ \pmb y } _ { k } = { \pmb W } _ { 2 } \operatorname* { m a x } ( { \pmb W } _ { 1 } { \pmb x } + { \pmb b } _ { 1 } , 0 ) + { \pmb b } _ { 2 }$ with $\dot { b } _ { 1 } \in \mathbb { R } ^ { 2 } , b _ { 2 } \in \dot { \mathbb { R } }$ , $W _ { 1 } \in \mathbb { R } ^ { 2 \times 2 }$ , and $W _ { 2 } \in \mathbb { R } ^ { 1 \times 2 }$ . Because rotations in 1D are ill-posed (there is a unique proper rotation), here we add task parameters to increase the dimensionality of $_ z$ and make all parameters shared, so that there is still no + +![](images/78ffefbfae88244f23f8e3836db9f3cab3ef7efeb2bc0b9cd2fc7f4bc36204b3.jpg) +Figure 6: Level plots showing the illustrative examples of Figure 1 for RotoGrad. Top: Convex case. Bottom: Non-convex case. Left: Active transformation (trajectories of $\mathbf { \nabla } r _ { k }$ and the level plot of $L _ { 1 } + L _ { 2 }$ . Right: Passive transformation (trajectory of $_ { z }$ and level plot of $( L _ { 1 } \circ R _ { 1 } ) + ( L _ { 2 } \circ R _ { 2 } ) )$ . + +![](images/de287210430ce69c1ea927f9d84c2ef8529527ad5ea281127801030478ee6306.jpg) +Figure 7: Logistic regression for opposite classification tasks. Test data is plotted scattered as gray dots. RotoGrad learns both opposite rotations $R _ { 1 } \stackrel { \mathbf { \Delta } } { = } \dot { R } _ { 2 } ^ { \top }$ . + +task-specific parameters. To avoid a complete conflict where $\nabla _ { z } L _ { 1 } + \nabla _ { z } L _ { 2 } = 0$ , we randomly flip the labels for the second tasks with $5 \%$ probability. Figure 7 shows that, in this extreme scenario, RotoGrad is able to learn both tasks by aligning gradients, that is, by learning that one rotation is the inverse of the other $R _ { 1 } = R _ { 2 } ^ { \top }$ . + +# C.2.3 TRAINING STABILITY + +While we showed in $\ S$ only the results for the sum-of-digits task as they were nice and clear, here we show in Figure 8 the results of those same experiments in $\ S 6 . 1$ for all the different tasks. The same discussion from the main manuscript can be carried out for all metrics. Additionally, we can observe that the vanilla case (learning rate zero) completely overlooks the image-related task (Active pixels) while performing the best in the parity task. + +Additionally, let us clarify what we mean here with stability, as in the main manuscript we mainly talked about convergence guarantees. In these experiments we measure the convergence guarantees of the experiments in terms of ‘training stability’, meaning the variance of the obtained results across different runs. The intuition here is that, since the model does not converge, we should expect some wriggling learning curves during training and, as we take the model with the best validation error, the individual task metrics should have bigger variance (that is, less stability) across runs. + +![](images/e81b65065674a0b40f73f2bb840d014cf652e4246adbdb18e30382c1084eba49.jpg) +Figure 8: RotoGrad’s performance on all tasks for the experiments in $\ S 6 . 1$ for all metrics. We can observe training instabilities/stiffness on all tasks as we highly increase/decrease RotoGrad’s learning rate, as discussed in the main manuscript. + +# C.2.4 CIFAR10 AND CELEBA + +For the sake of completeness, we present in Table 6 and Table 7 the same tables as in $\ S 6 .$ , but with more statistics of the results. For CIFAR10, we now included in Table 6 the minimum task improvement across tasks and, while noisier, we can still observe that RotoGrad also improve this statistic. The standard deviation of the task improvement across tasks is, however, not too informative. We also include in Figure 9 the cosine similarity plots for the different subspace rotations from $\ S$ , showing a clear positive correlation between the cosine similarity and the size of the considered subspace. While the cosine similarities look low, we want to remark that we are computing the cosine similarity of a huge space, and we only align a subspace of it. If we, instead, showed the cosine similarity with respect to each specific subspace, the cosine similarity should look similar to that of RotoGrad 512. In the case of CelebA, we added in Table 7 the maximum f1-score across tasks and, similar to the last case, it is not too informative, as all methods achieve almost perfect f1-score in one of the classes. We also include the training times for some baselines, showing that RotoGrad stays on par with them. + +# C.2.5 NYUV2 + +Complementing the results shown in $\ S 6$ , we show in Table 8 the results obtained combining RotoGrad with all other existing methods (rows within RotoGrad $+$ ), for gradient scaling methods we only apply the rotation part of RotoGrad. Results show that RotoGrad helps improve/balance all other methods, which is specially true for those methods that heavily overlook some tasks. Specifically, MGDA-UB stops overlooking the semantic segmentation and depth estimation tasks, while PCGrad and GradDrop stop completely overlooking the surface normal loss. Note that we also show in Table 8 the training times of each method, and RotoGrad stays on par with non-extended methods in training time. As mentioned in Appendix C.1, due to cluster overload, some times were deceivingly high (specifically those baselines with $\scriptstyle { \mathbf { } } _ { R _ { k } }$ ) as we had to run them on different machines, and were omitted to avoid confusion. + +Table 6: Complete task-improvement statistics in CIFAR10 for all competing methods and RotoGrad with different dimensionality for $\scriptstyle { \mathbf { } } _ { R _ { k } }$ , see $\ S 6$ . + +
Method dmink △k ↑ med△k ↑ avgk△k ↑ std△k↓ maxk△k ↑
Vanillat 0-0.81± 0.37 1.90 ± 0.53 2.58 ± 0.54 3.38 ± 0.94 11.14 ± 3.35
RotoGrad 64-1.70 ± 0.81 1.79 ± 0.57 2.90 ± 0.49 3.98 ± 0.62 13.16 ± 2.40
RotoGrad 128-1.12 ± 0.36 2.25 ± 1.07 2.97 ± 1.08 3.84 ± 0.8712.64 ± 3.56
RotoGrad 2560.17 ± 1.01 2.16 ± 0.72 3.68 ± 0.68 3.83 ± 0.7414.01 ± 3.22
RotoGrad 512-0.43 ± 0.76 3.67 ± 1.40 4.48 ± 0.994.23 ± 0.8215.57 ± 3.99
Vanillat-0.81± 0.37 1.90 ± 0.53 2.58 ± 0.543.38 ± 0.9411.14 ± 3.35
Wrehtntt GradDropPCGradMGDA-UBGradNormIMTL-G-0.73 ± 0.33 2.80 ± 0.203.41 ± 0.454.08 ± 0.3413.58 ± 1.50
-1.52 ± 0.98 1.95 ± 0.872.86 ± 0.813.74 ± 0.6912.01 ± 3.19
-7.27 ± 1.36 -1.21 ± 0.74-1.75 ± 0.433.24 ± 0.553.67 ± 0.98
-0.35 ± 0.59 2.45 ± 0.663.23 ± 0.354.02 ± 0.3314.25 ± 1.35
-0.39 ±0.82 1.97 ± 0.29 2.73 ± 0.273.25 ± 0.7510.20 ± 2.98
Vanilla-0.85 ± 0.58 3.10 ± 1.29 3.12 ± 0.794.05 ± 0.5614.23 ± 2.86
GradDropHmA(1= p) PCGradMGDA-UBGradNormIMTL-G-1.49 ± 0.78 3.27 ± 1.613.54 ±1.104.11 ± 0.5613.88 ± 2.95
-1.44 ± 0.58 2.67 ± 0.883.29 ± 0.463.90 ± 0.3713.44 ± 1.86
-3.59 ± 1.480.57 ± 0.620.21 ± 0.672.44 ± 0.524.78 ± 2.15
-0.79 ±1.283.10 ± 1.013.21 ± 1.043.41 ± 0.8610.88 ± 4.73
-1.29 ± 0.521.81 ± 0.873.02 ± 0.693.81± 0.2112.76 ± 1.77
RotoGrad-0.43 ± 0.76 3.67 ± 1.404.48 ± 0.994.23 ± 0.8215.57 ± 3.99
+ +Table 7: Complete f1-score statistics and training hours in CelebA for all competing methods and two different architectures/settings (median over five runs), see $\ S$ . For the convolutional network we use $m = 2 5 6$ , and $m = 1 5 3 6$ for the residual network. + +
MethodConvolutional (d = 512) task f1-scores (%) ↑ResNet18 (d = 2048)
medktask f1-scores (%) ↑
minkavgkstdk↓maxk|Hours minkmedk avgkstdkmaxkHours
WaenintVanillat1.6253.3958.4924.2696.977.62|15.45 63.0462.8522.0996.581.49
GradDrop2.6352.3257.3325.2796.728.5313.31 64.3763.9520.9396.591.60
PCGrad2.6954.6056.8725.7597.0434.0513.61 62.4562.7421.6096.645.75
GradNorm2.1752.9856.9124.7296.8420.9317.42 62.4962.6221.9396.553.61
WHmIMTL-G0.0014.8131.9033.5893.319.469.87 62.2262.0322.4796.511.73
Vanilla4.2449.8555.3326.0396.8816.2919.7163.56 63.2321.1696.559.33
GradDrop3.1850.0754.4327.2196.8017.2012.3362.40 62.7421.7496.659.41
PCGrad1.4453.0554.7227.6196.9041.7914.7163.65 62.6122.2296.5913.72
GradNorm2.08 52.5356.7124.5796.9630.029.0560.20 60.7822.3196.3811.36
IMTL-G0.0037.0042.2433.4694.3418.0517.1161.68 60.7222.8096.449.52
RotoGrad4.5955.0257.2024.7596.7927.209.9663.8462.8121.8096.456.68
+ +![](images/b46e14be6cd1a426f82d7cbd1e68ee2f94f5f1978410c63885a76c0f5bfbb4db.jpg) +Figure 9: Cosine similarity between the task gradients and the update gradient on CIFAR10. Results are averaged over tasks and five runs, showing $9 0 \%$ confidence intervals (shaded areas). + +Table 8: Results for different methods on the NYUv2 dataset with a SegNet model. RotoGrad obtains the best performance in segmentation and depth tasks on all metrics, while significantly improving the results on normal surfaces with respect to the vanilla case. + +
Relative improvements ↑Segmentation ↑Depth ↓Normal SurfacesTime↓
△sPix AccAngle Dist.↓Within t↑
Method△D△NmIoUAbs.Rel.MeanMedian11.2522.530h
Single0.00.00.039.2164.590.700.2725.0919.1830.0157.3369.308.90
GradDrop1.212.6-7.540.2665.630.630.2426.3321.0826.4753.3866.053.94
PCGrad-0.019.7-8.339.0864.680.540.2126.4121.2926.1352.9965.723.89
MGDA-UB GradNorm2.523.2-8.139.3265.480.540.2126.4321.2226.1653.1666.073.85
P peegrttrIMTL-G1.121.4-7.739.0865.430.540.2126.4421.4226.1752.5965.523.84
1.721.2-6.940.1365.170.550.2126.2021.0626.6953.3966.043.96
Rotate Only3.320.5-6.639.6366.160.530.2126.1220.9326.8553.7666.503.82
Scale Only-0.320.0-7.938.8965.940.540.2226.4721.2426.2453.0465.813.87
RotoGrad1.824.0-6.139.3266.070.530.2126.0120.8027.1854.0266.533.83
(0I = 1) Vanilla-2.720.6-25.738.0564.390.540.2230.0226.1620.0243.4756.873.81
GradDrop-0.914.0-25.238.7964.360.590.2429.8025.8119.8844.0857.544.01
PCGrad-2.720.5-26.337.1563.440.550.2230.0626.1819.5843.5156.873.89
MGDA-UB-31.2-0.70.621.6051.600.770.2924.7418.9030.3257.9569.883.85
GradNorm-0.619.5-10.537.2263.610.540.2226.6821.6725.9552.1664.953.85
IMTL-G-0.317.6-7.538.3864.660.540.2226.3821.3526.5652.8465.693.99
Vanillat-0.916.8-25.037.1163.980.560.2229.9325.8920.3443.9257.393.46
GradDrop-0.115.7-27.037.5163.620.590.2330.1526.3319.3243.1556.593.55
WhmonePCGrad-0.520.0-24.638.5163.950.550.2229.7925.7720.6144.2257.643.51
MGDA-UB-32.2-8.21.520.7551.440.730.2824.7018.9230.5757.9569.993.52
GradNorm2.220.6-10.239.2964.800.530.2226.7721.8825.3951.7864.763.50
IMTL-G1.921.4 -6.739.9465.960.550.2126.2321.1426.7753.2566.223.61
\ No newline at end of file diff --git a/parse/dev/T8wHz4rnuGL/T8wHz4rnuGL_content_list.json b/parse/dev/T8wHz4rnuGL/T8wHz4rnuGL_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..87a65df6dd304bc95a0e6b92ba95f4a3161e4b97 --- /dev/null +++ b/parse/dev/T8wHz4rnuGL/T8wHz4rnuGL_content_list.json @@ -0,0 +1,2799 @@ +[ + { + "type": "text", + "text": "ROTOGRAD: GRADIENT HOMOGENIZATION IN MULTITASK LEARNING ", + "text_level": 1, + "bbox": [ + 176, + 98, + 735, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Adrián Javaloy \nDepartment of Computer Science \nSaarland University \nSaarbrücken, Germany \najavaloy@cs.uni-saarland.de \nIsabel Valera \nDepartment of Computer Science \nSaarland University \nSaarbrücken, Germany ", + "bbox": [ + 184, + 170, + 449, + 239 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 531, + 170, + 751, + 226 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 276, + 544, + 291 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Multitask learning is being increasingly adopted in applications domains like computer vision and reinforcement learning. However, optimally exploiting its advantages remains a major challenge due to the effect of negative transfer. Previous works have tracked down this issue to the disparities in gradient magnitudes and directions across tasks when optimizing the shared network parameters. While recent work has acknowledged that negative transfer is a two-fold problem, existing approaches fall short. These methods only focus on either homogenizing the gradient magnitude across tasks; or greedily change the gradient directions, overlooking future conflicts. In this work, we introduce RotoGrad, an algorithm that tackles negative transfer as a whole: it jointly homogenizes gradient magnitudes and directions, while ensuring training convergence. We show that RotoGrad outperforms competing methods in complex problems, including multi-label classification in CelebA and computer vision tasks in the NYUv2 dataset. A Pytorch implementation can be found in https://github.com/adrianjav/rotograd. ", + "bbox": [ + 233, + 309, + 766, + 502 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 530, + 334, + 546 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "As neural network architectures get larger in order to solve increasingly more complex tasks, the idea of jointly learning multiple tasks (for example, depth estimation and semantic segmentation in computer vision) with a single network is becoming more and more appealing. This is precisely the idea of multitask learning (MTL) (Caruana, 1993), which promises higher performance in the individual tasks and better generalization to unseen data, while drastically reducing the number of parameters (Ruder, 2017). ", + "bbox": [ + 174, + 563, + 825, + 645 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Unfortunately, sharing parameters between tasks may also lead to difficulties during training as tasks compete for shared resources, often resulting in poorer results than solving individual tasks, a phenomenon known as negative transfer (Ruder, 2017). Previous works have tracked down this issue to the two types of differences between task gradients. First, differences in magnitude across tasks can make some tasks dominate the others during the learning process. Several methods have been proposed to homogenize gradient magnitudes such as MGDA-UB (Sener & Koltun, 2018), GradNorm (Chen et al., 2018), or IMTL-G Liu et al. (2021b). However, little attention has been put towards the second source of the problem: conflicting directions of the gradients for different tasks. Due to the way gradients are added up, gradients of different tasks may cancel each other out if they point to opposite directions of the parameter space, thus leading to a poor update direction for a subset or even all tasks. Only very recently a handful of works have started to propose methods to mitigate the conflicting gradients problem, for example, by removing conflicting parts of the gradients (Yu et al., 2020), or randomly ‘dropping’ some elements of the gradient vector (Chen et al., 2020). ", + "bbox": [ + 174, + 654, + 825, + 833 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work we propose RotoGrad, an algorithm that tackles negative transfer as a whole by homogenizing both gradient magnitudes and directions across tasks. RotoGrad addresses the gradient magnitude discrepancies by re-weighting task gradients at each step of the learning, while encouraging learning those tasks that have converged the least thus far. In that way, it makes sure that no task is overlooked during training. Additionally, instead of directly modifying gradient directions, RotoGrad smoothly rotates the shared feature space differently for each task, seamlessly aligning gradients in the long run. As shown by our theoretical insights, the cooperation between gradient magnitudeand direction-homogenization ensures the stability of the overall learning process. Finally, we run extensive experiments to empirically demonstrate that RotoGrad leads to stable (convergent) learning, scales up to complex network architectures, and outperforms competing methods in multi-label classification settings in CIFAR10 and CelebA, as well as in computer vision tasks using the NYUv2 dataset. Moreover, we provide a simple-to-use library to include RotoGrad in any Pytorch pipeline. ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/640cdb7d04a01fbd95fa25a9295fe038f17737d16e03cf3a77d9950d70da4059.jpg", + "image_caption": [ + "Figure 1: Level plots showing the evolution of two regression MTL problems with/without RotoGrad, see $\\ S 4$ . RotoGrad is able to reach the optimum $( \\sum )$ for both tasks. (a) In the space of $_ z$ , RotoGrad rotates the function-spaces to align task gradients (blue/orange arrows), finding shared features $_ { z }$ (green arrow) closer to the (matched) optima. $( b )$ In the space of $\\mathbfit { r } _ { k }$ , RotoGrad rotates the shared feature $_ z$ , providing per-task features $\\mathbf { \\nabla } r _ { k }$ that better fit each task. ", + "Figure 2: Hard-parameter sharing architecture, including the rotation matrices $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ of RotoGrad. " + ], + "image_footnote": [], + "bbox": [ + 173, + 98, + 815, + 260 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 369, + 826, + 453 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 MULTITASK LEARNING AND NEGATIVE TRANSFER ", + "text_level": 1, + "bbox": [ + 174, + 476, + 622, + 491 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The goal of MTL is to simultaneously learn $K$ different tasks, that is, finding $K$ mappings from a common input dataset $\\pmb { X } \\in \\mathbb { R } ^ { N \\times D }$ to a task-specific set of labels $\\boldsymbol { Y _ { k } } \\in \\mathbb { Y } _ { k } ^ { N }$ . Most settings consider a hard-parameter sharing architecture, which is characterized by two components: the backbone and heads networks. The backbone uses a set of shared parameters, $\\pmb { \\theta }$ , to transform each input $\\pmb { x } \\in \\pmb { X }$ into a shared intermediate representation $z = f ( \\pmb { x } ; \\mathbf { \\widetilde { \\theta } } ) \\in \\mathbb { R } ^ { d }$ , where $d$ is the dimensionality of $_ z$ . Additionally, each task $k = 1 , 2 , \\ldots , K$ has a head network $h _ { k }$ , with exclusive parameters $\\phi _ { k }$ , that takes this intermediate feature $_ z$ and outputs the prediction $h _ { k } ( { \\pmb x } ) = h _ { k } ( { \\pmb z } ; \\phi _ { k } )$ for the corresponding task. This architecture is illustrated in Figure 2, where we have added task-specific rotation matrices $\\scriptstyle R _ { k }$ that will be necessary for the proposed approach, RotoGrad. Note that the general architecture described above is equivalent to the one in Figure 2 when all rotations $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ correspond to identity matrices, such that $r _ { k } = z$ for all $k$ . ", + "bbox": [ + 173, + 506, + 826, + 659 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "MTL aims to learn the architecture parameters $\\theta , \\phi _ { 1 } , \\phi _ { 2 } , \\ldots , \\phi _ { K }$ by simultaneously minimizing all task losses, that is, $L _ { k } ( h _ { k } ( \\dot { \\pmb x } ) , \\pmb y _ { k } )$ for $k = 1 , \\ldots , K$ . Although this is a priori a multiobjective optimization problem (Sener & Koltun, 2018), in practice a single surrogate loss consisting of a linear combination of the task losses, $\\begin{array} { r } { L { \\bf \\bar { \\Psi } } = \\sum _ { k } \\omega _ { k } L _ { k } } \\end{array}$ , is optimized. While this approach leads to a simpler optimization problem, ", + "bbox": [ + 174, + 666, + 486, + 791 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/51ae0acbd2cec13ed02332b7b3057fe955a5309ea416d55752c01688f00bcf8a.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { { \\bf \\Phi } _ { R _ { 1 } } \\stackrel { \\mathrm { \\bf ~ r } _ { 1 } } { \\mathrm { \\bf ~ r } _ { 1 } } \\xrightarrow [ ] { h _ { \\phi _ { 1 } } } L _ { 1 } ( h _ { 1 } ( r _ { 1 } ) , y _ { 1 } ) } \\\\ & { } & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { } & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad x \\xrightarrow [ ] { f _ { \\theta } } z \\mathrm { \\bf ~ \\stackrel { _ { - } } { } ~ } r _ { 2 } \\xrightarrow [ ] { h _ { \\phi _ { 2 } } } \\mathrm { \\bf ~ \\underline { { \\Phi } } } L _ { 2 } ( h _ { 2 } ( r _ { 2 } ) , y _ { 2 } ) } \\\\ & { } & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { } & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\\\ & { } & { \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad \\quad } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 503, + 657, + 816, + 748 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "it may also trigger negative transfer between tasks, hurting the overall MTL performance due to an imbalanced competition among tasks for the shared parameters (Ruder, 2017). ", + "bbox": [ + 174, + 791, + 823, + 820 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The negative transfer problem can be studied through the updates of the shared parameters $\\pmb { \\theta }$ . At each training step, $\\pmb { \\theta }$ is updated according to a linear combination of task gradients, $\\begin{array} { r } { \\dot { \\nabla } _ { \\pmb { \\theta } } L = \\sum _ { k } \\omega _ { k } \\nabla _ { \\pmb { \\theta } } L _ { k } } \\end{array}$ , which may suffer from two problems. First, magnitude differences of the gradients across tasks may lead to a subset of tasks dominating the total gradient, and therefore to the model prioritizing them over the others. Second, conflicting directions of the gradients across tasks may lead to update directions that do not improve any of the tasks. Figure 1 shows an example of poor direction updates (left) as well as magnitude dominance (right). ", + "bbox": [ + 173, + 825, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this work, we tackle negative transfer as a whole by homogenizing tasks gradients both in magnitude and direction. To reduce overhead, we adopt the usual practice and homogenize gradients with respect to the shared feature $_ { z }$ (rather than $\\pmb { \\theta }$ ), as all tasks share gradient up to that point, $\\nabla _ { \\pmb { \\theta } } L _ { k } = \\nabla _ { \\pmb { \\theta } } \\pmb { z } \\cdot \\nabla _ { z } L _ { k }$ . Thus, from now on we focus on feature-level task gradients $\\nabla _ { z } L _ { k }$ . ", + "bbox": [ + 174, + 103, + 825, + 160 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 ROTOGRAD ", + "text_level": 1, + "bbox": [ + 174, + 179, + 305, + 195 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section we introduce RotoGrad, a novel algorithm that addresses the negative transfer problem as a whole. RotoGrad consists of two building blocks which, respectively, homogenize task-gradient magnitudes and directions. Moreover, these blocks complement each other and provide convergence guarantees of the network training. Next, we detail each of these building blocks and show how they are combined towards an effective MTL learning process. ", + "bbox": [ + 174, + 210, + 825, + 281 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 GRADIENT-MAGNITUDE HOMOGENIZATION ", + "text_level": 1, + "bbox": [ + 174, + 297, + 514, + 311 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "As discussed in $\\ S 2$ , we aim to homogenize gradient magnitudes across tasks, as large magnitude disparities can lead to a subset of tasks dominating the learning process. Thus, the first goal of RotoGrad is to homogenize the magnitude of the gradients across tasks at each step of the training. ", + "bbox": [ + 174, + 323, + 825, + 366 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let us denote the feature-level task gradient of the $k$ -th task for the $n$ -th datapoint, at iteration $t$ , by $\\pmb { g } _ { n , k } : = \\nabla _ { z } L _ { k } ( h _ { k } ( \\pmb { x } _ { n } ) , \\pmb { y } _ { n , k } )$ , and its batch versions by $\\pmb { G } _ { k } ^ { \\top } : = [ \\pmb { g } _ { 1 , k } , \\pmb { g } _ { 2 , k } , \\cdot \\cdot \\cdot , \\pmb { g } _ { B , k } ]$ , where $B$ is the batch size. Then, equalizing gradient magnitudes amounts to finding weights $\\omega _ { k }$ that normalize and scale each gradient $G _ { k }$ , that is, ", + "bbox": [ + 173, + 372, + 825, + 429 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/f923f3919a27a2944ea703a7c2e37dbac633c6b761b4e55d879b6e566b0c3b0e.jpg", + "text": "$$\n| | \\omega _ { k } G _ { k } | | = | | \\omega _ { i } G _ { i } | | \\quad \\forall i \\ \\Longleftrightarrow \\ \\omega _ { k } G _ { k } = { \\frac { C } { | | G _ { k } | | } } G _ { k } = C U _ { k } \\quad \\forall k ,\n$$", + "text_format": "latex", + "bbox": [ + 276, + 433, + 718, + 467 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $\\begin{array} { r } { U _ { k } : = \\frac { G _ { k } } { | | G _ { k } | | } } \\end{array}$ denotes the normalized task gradient and $C$ is the target magnitude for all tasks. \nNote that, in the above expression, $C$ is a free parameter that we need to select. ", + "bbox": [ + 174, + 472, + 826, + 506 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In RotoGrad, we select $C$ such that all tasks converge at a similar rate. We motivate this choice by the fact that, by scaling all gradients, we change their individual step size, interfering with the convergence guarantees provided by their Lipschitz-smoothness (for an introduction to optimization see, for example, (Nesterov, 2004)). Therefore, we seek for the value of $C$ providing the best step-size for those tasks that have converged the least up to iteration $t$ . Specifically, we set $C$ to be a convex combination of the task-wise gradient magnitudes, $\\begin{array} { r } { C : = \\sum _ { k } \\alpha _ { k } | | G _ { k } | | } \\end{array}$ , where the weights ${ \\alpha } _ { 1 } , { \\alpha } _ { 2 } , \\ldots , { \\alpha } _ { K }$ measure the relative convergence of each task and sum up to one, that is, ", + "bbox": [ + 173, + 512, + 825, + 611 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/5e12269f534dec0562b9dfadb700e1a33965b18697ca113d5f5c3171866c1869.jpg", + "text": "$$\n\\alpha _ { k } = \\frac { { { | { | { { G _ { k } } } | } \\mathord { | { \\vphantom { { G _ { k } } } } | } \\kern - delimiterspace } { | { G _ { k } ^ { 0 } } | } } \\mathord { | { \\vphantom { { G _ { k } ^ { 0 } } } } | } | } { { \\sum _ { i } { { | { | { { G _ { i } } } | } | } \\mathord { / { \\vphantom { { G _ { i } ^ { 0 } } } } | } | } \\mathord { / { \\vphantom { { G _ { i } ^ { 0 } } } } | } } \\mathord { | { \\vphantom { { G _ { k } ^ { 0 } } } } | } } ,\n$$", + "text_format": "latex", + "bbox": [ + 416, + 614, + 581, + 651 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "with $G _ { k } ^ { 0 }$ being the initial gradient of the $k$ -th task, i.e., the gradient at iteration $t = 0$ of the training. ", + "bbox": [ + 174, + 656, + 825, + 672 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "As a result, we obtain a (hyper)parameter-free approach that equalizes the gradient magnitude across tasks to encourage learning slow-converging tasks. Note that the resulting approach resembles Normalized Gradient Descent (NGD) (Cortés, 2006) for single-task learning, which has been proved to quickly escape saddle points during optimization (Murray et al., 2019). Thus, we expect a similar behavior for RotoGrad, where slow-converging tasks will force quick-converging tasks to escape from saddle points. ", + "bbox": [ + 174, + 678, + 825, + 762 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Whilst the algorithm works well in general, its simplicity also facilitates unfavorable settings. For example, in the presence of noisy tasks that do not progress; or in scenarios where, when one task improves, there is always another task that deteriorates. In Appendix A we show that, when gradients do not conflict in direction with each other (which we pursue next), following the gradient ${ \\bar { C } } \\sum U _ { k }$ improves all task losses for the given batch. This result, while simple, provides insights in favor of having as desideratum of an efficient MTL pipeline the absence of conflicting gradients. ", + "bbox": [ + 174, + 768, + 825, + 853 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.2 GRADIENT-DIRECTION HOMOGENIZATION", + "text_level": 1, + "bbox": [ + 174, + 869, + 506, + 883 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In the previous subsection, we have shown that avoiding conflicting gradients may not only be necessary to avoid negative transfer, but also to ensure the stability of the training. In this section we introduce the second building block of RotoGrad, an algorithm that homogenizes task-gradient directions. The main idea of this approach is to smoothly rotate the feature-space $_ z$ in order to reduce the gradient conflict between tasks—in following iterations—of the training by bringing (local) optima for different tasks closer to each other (in the parameter space). As a result, it complements the previous magnitude-scaling approach and reduces the likelihood of the training to diverge. ", + "bbox": [ + 176, + 895, + 825, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 174 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In order to homogenize gradients, for each task $k = 1 , \\ldots , K$ , RotoGrad introduces a matrix $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ so that, instead of optimizing $L _ { k } ( z )$ with $_ z$ being the last shared representation, we optimize an equivalent (in optimization terms, as it is a bijective mapping) loss function $L _ { k } ( \\pmb { R } _ { k } z )$ . As we are only interested in changing directions (not the gradient magnitudes), we choose $\\pmb { R } _ { k } \\in S O ( d )$ to be a rotation matrix1 leading to per-task representations $\\pmb { r } _ { k } : = \\pmb { R } _ { k } z$ . RotoGrad thus extends the standard MTL architecture by adding task-specific rotations before each head, as depicted in Figure 2. ", + "bbox": [ + 173, + 179, + 825, + 265 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Unlike all other network parameters, matrices $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ do not seek to reduce their task’s loss. Instead, these additional parameters are optimized to reduce the direction conflict of the gradients across tasks. To this end, for each task we optimize $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ to maximize the batch-wise cosine similarity or, equivalently, to minimize ", + "bbox": [ + 173, + 270, + 825, + 327 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/f909b93a5c1cad7b29abbf4d1f3c0b7ee55c6807dfb3e62df7eb15cf0fc67dca.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { r o t } } ^ { k } : = - \\sum _ { n } \\langle \\pmb { R } _ { k } ^ { \\top } \\widetilde { \\pmb { g } } _ { n , k } , \\pmb { v } _ { n } \\rangle ,\n$$", + "text_format": "latex", + "bbox": [ + 400, + 324, + 596, + 358 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\widetilde { \\pmb { g } } _ { n , k } : = \\nabla _ { \\pmb { r } _ { k } } L _ { k } \\big ( h _ { k } ( \\pmb { x } _ { n } ) , \\pmb { y } _ { n , k } \\big ) \\big )$ (which holds that $\\pmb { g } _ { n , k } = \\pmb { R } _ { k } ^ { \\top } \\widetilde { \\pmb { g } } _ { n , k } )$ and ${ \\pmb v } _ { n }$ is the target vector e ethat we want all task gradients pointing towards. We set the target vector ${ \\pmb v } _ { n }$ to be the gradient we would have followed if all task gradients weighted the same, that is, $\\begin{array} { r } { \\pmb { v } _ { n } : = \\frac { 1 } { K } \\sum _ { k } \\pmb { u } _ { n , k } } \\end{array}$ , where $\\mathbf { \\Delta } \\mathbf { u } _ { n , k }$ is a row vector of the normalized batch gradient matrix $U _ { k }$ , as defined before. ", + "bbox": [ + 174, + 361, + 825, + 419 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "As a result, in each training step of RotoGrad we simultaneously optimize the following two problems: ", + "bbox": [ + 173, + 425, + 823, + 440 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/201917bc5acf7d6409e811abcec18ff0f7495f9db436aa01480575da4fc32015.jpg", + "text": "$$\n{ \\mathcal { N } } { \\mathrm { e t w o r k : ~ } } \\operatorname* { m i n i m i z e } _ { \\theta , \\{ \\phi \\} _ { k } } \\sum _ { k } \\omega _ { k } L _ { k } , \\qquad { \\mathcal { R } } { \\mathrm { o t a t i o n : ~ } } \\operatorname* { m i n i m i z e } _ { \\{ R _ { k } \\} _ { k } } \\sum _ { k } { \\mathcal { L } } _ { \\mathrm { r o t } } ^ { k }\n$$", + "text_format": "latex", + "bbox": [ + 276, + 449, + 720, + 482 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The above problem can be interpreted as a Stackelberg game: a two player-game in which leader and follower alternately make moves in order to minimize their respective losses, $L _ { l }$ and $L _ { f }$ , and the leader knows what will be the follower’s response to their moves. Such an interpretation allows us to derive simple guidelines to guarantee training convergence—that is, that the network loss does not oscillate as a result of optimizing the two different objectives in Equation 4. Specifically, following Fiez et al. (2020), we can ensure that problem 4 converges as long as the rotations’ optimizer (leader) is a slow-learner compared with the network optimizer (follower). That is, as long as we make the rotations’ learning rate decrease faster than that of the network, we know that RotoGrad will converge to a local optimum for both objectives. A more extensive discussion can be found in Appendix B. ", + "bbox": [ + 173, + 484, + 825, + 611 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.3 ROTOGRAD: THE FULL PICTURE ", + "text_level": 1, + "bbox": [ + 176, + 627, + 437, + 641 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "After the two main building blocks of RotoGrad, we can now summarize the overall proposed approach in Algorithm 1. At each step, RotoGrad first homogenizes the gradient magnitudes such that there is no dominant task and the step size is set by the slow-converging tasks. Additionally, RotoGrad smoothly updates the rotation matrices—using the local information given by the task gradients—to seamlessly align task gradients in the following steps, thus reducing direction conflicts. ", + "bbox": [ + 174, + 654, + 825, + 723 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.4 PRACTICAL CONSIDERATIONS ", + "text_level": 1, + "bbox": [ + 176, + 741, + 421, + 755 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In this section, we discuss the main practical considerations to account for when implementing RotoGrad and propose efficient solutions. ", + "bbox": [ + 173, + 766, + 823, + 795 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Unconstrained optimization. As previously discussed, parameters $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ are defined as rotation matrices, and thus the Rotation optimization in problem 4 is a constrained problem. While this would typically imply using expensive algorithms like Riemannian gradient descent (Absil et al., 2008), we can leverage recent work on manifold parametrization (Casado & Martínez-Rubio, 2019) and, instead, apply unconstrained optimization methods by automatically2 parametrizing $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ via exponential maps on the Lie algebra of $S O ( d )$ . ", + "bbox": [ + 176, + 801, + 825, + 886 + ], + "page_idx": 3 + }, + { + "type": "table", + "img_path": "images/0544c1cbef87f36adcd9feaea4cd710fd1f0dc7f0d85eca1cffa960939652f06.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Algorithm1Training stepwith RotoGrad.
Input input samples X,task labels {Yk}, network's (RotoGrad's) learning rate n (mroto) Output backbone (heads) parameters 0 ({Φk}), RotoGrad's parameters {Rk}
1: compute shared feature Z = f(X;0)
2: for k=1,2,...,K do
3: compute task-specific loss Lk = ∑nLk(hk(Rk Zn; Φk), yn,k)
4: compute gradient of shared feature Gk = VzLk
5: compute gradient of task-specific feature Gk = RkGk Treated as constant w.r.t. Rk .
6: compute unitary gradients Uk = Gk/llGkll
7: compute relative task convergence αk = ||Gkll/IlG |
8: end for
9: make {αk} sum up to one [α1,α2,...,αk] = [α1,α2,...,αk]/∑k αk
10: compute shared magnitude C = ∑k αkllGkll
11: update backbone parameters 0 =0"- nVθz : C∑κUk compute target vector V = k ∑k Uk
", + "bbox": [ + 176, + 98, + 828, + 395 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Memory efficiency and time complexity. As we need one rotation matrix per task, we have to store $\\mathcal { O } \\hat { (} K d ^ { 2 } \\hat { ) }$ additional parameters. In practice, we only need $K d ( d - 1 ) / 2$ parameters due to the aforementioned parametrization and, in most cases, this amounts to a small part of the total number of parameters. Moreover, as described by Casado & Martínez-Rubio (2019), parametrizing $\\scriptstyle { R _ { k } }$ enables efficient computations compared with traditional methods, with a time complexity of $O ( d ^ { 3 } )$ independently of the batch size. In our case, the time complexity is of $O ( K d ^ { 3 } )$ , which scales better with respect to the number of tasks than existing methods (for example, $O ( K ^ { 2 } d )$ for PCGrad ( $\\mathrm { T u }$ et al., 2020)). Forward-pass caching and GPU parallelization can further reduce training time. ", + "bbox": [ + 173, + 420, + 825, + 531 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Scaling-up RotoGrad. Despite being able to efficiently compute and optimize the rotation matrix $\\scriptstyle R _ { k }$ , in domains like computer vision, where the size $d$ of the shared representation $_ z$ is large, the time complexity for updating the rotation matrix may become comparable to the one of the network updates. In those cases, we propose to only rotate a subspace of the feature space, that is, rotate only $m < < d$ dimensions of $_ z$ . Then, we can simply apply a transformation of the form $r _ { k } = [ R _ { k } z _ { 1 : m } , z _ { m + 1 : d } ]$ , where $z _ { a : b }$ denotes the elements of $_ z$ with indexes $a , a + 1 , \\ldots , b$ . While there exist other possible solutions, such as using block-diagonal rotation matrices $\\scriptstyle { \\cal R } _ { k }$ , we defer them to future work. ", + "bbox": [ + 174, + 537, + 826, + 636 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 ILLUSTRATIVE EXAMPLES ", + "text_level": 1, + "bbox": [ + 176, + 656, + 423, + 671 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In this section, we illustrate the behavior of RotoGrad in two synthetic scenarios, providing clean qualitative results about its effect on the optimization process. Appendix C.1 provides a detailed description of the experimental setups. ", + "bbox": [ + 174, + 686, + 825, + 729 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To this end, we propose two different multitask regression problems of the form ", + "bbox": [ + 174, + 736, + 696, + 751 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/b5fb521f7c225c8f1fa958c7aa38c3d31e726a1340ece64d8b6989e97952956e.jpg", + "text": "$$\nL ( \\pmb { x } ) = L _ { 1 } ( \\pmb { x } ) + L _ { 2 } ( \\pmb { x } ) = \\varphi ( R _ { 1 } f ( \\pmb { x ; \\theta } ) , 0 ) + \\varphi ( R _ { 2 } f ( \\pmb { x ; \\theta } ) , 1 ) ,\n$$", + "text_format": "latex", + "bbox": [ + 282, + 755, + 712, + 772 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\varphi$ is a test function with a single global optimum whose position is parametrized by the second argument, that is, both tasks are identical (and thus related) up to a translation. We use a single input $\\pmb { x } \\in \\mathbb { R } ^ { 2 }$ and drop task-specific network parameters. As backbone, we take a simple network of the form $z = W _ { 2 } \\bar { \\operatorname* { m a x } } ( \\bar { W _ { 1 } x } + b _ { 1 } , 0 ) + b _ { 2 }$ with $b _ { 1 } \\in \\mathbb { R } ^ { 1 0 } , b _ { 2 } \\in \\mathbb { R } ^ { 2 }$ , and $W _ { 1 } , W _ { 2 } ^ { \\top } \\in \\mathbb { R } ^ { 1 0 \\times 2 }$ . ", + "bbox": [ + 173, + 776, + 825, + 834 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For the first experiment we choose a simple (avocado-shaped) convex objective function and, for the second one, we opt for a non-convex function with several local optima and a single global optimum. Figure 1 shows the training trajectories in the presence (and absence) of RotoGrad in both experiments, depicted as level plots in the space of $_ { z }$ and $\\mathbf { \\nabla } r _ { k }$ , respectively. We can observe that in the first experiment (Figure 1a), RotoGrad finds both optima by rotating the feature space and matching the (unique) local optima of the tasks. Similarly, the second experiment (Figure 1b) shows that, as we have two symmetric tasks and a non-equidistant starting point, in the vanilla case the optimization is dominated by the task with an optimum closest to the starting point. RotoGrad avoids this behavior by equalizing gradients and, by aligning gradients, is able to find the optima of both functions. ", + "bbox": [ + 173, + 839, + 825, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 146 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "5 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 165, + 344, + 181 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Understanding and improving the interaction between tasks is one of the most fundamental problems of MTL, since any improvement in this regard would translate to all MTL systems. Consequently, several approaches to address this problem have been adopted in the literature. Among the different lines of work, the one most related to the present work is gradient homogenization. ", + "bbox": [ + 174, + 195, + 825, + 252 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Gradient homogenization. Since the problem is two-fold, there are two main lines of work. On the one hand, we have task-weighting approaches that focus on alleviating magnitude differences. Similar to us, GradNorm (Chen et al., 2018) attempts to learn all tasks at a similar rate, yet they propose to learn these weights as parameters. Instead, we provide a closed-form solution in Equation 1, and so does IMTL-G Liu et al. (2021b). However, IMTL-G scales all task gradients such that all projections of $G$ onto $G _ { k }$ are equal. MGDA-UB (Sener & Koltun, 2018), instead, adopts an iterative method based on the Frank-Wolfe algorithm in order to find the set of weights $\\left\\{ \\omega _ { k } \\right\\}$ (with $\\textstyle \\sum _ { k } \\omega _ { k } = 1 )$ such that $\\sum _ { k } \\omega _ { k } G _ { k }$ has minimum norm. On the other hand, recent works have started to put attention on the conflicting direction problem. Maninis et al. (2019) and Sinha et al. (2018) proposed to make task gradients statistically indistinguishable via adversarial training. More recently, PCGrad (Yu et al., 2020) proposed to drop the projection of one task gradient onto another if they are in conflict, whereas GradDrop (Chen et al., 2020) randomly drops elements of the task gradients based on a sign-purity score. Contemporaneously to this work, improved versions of MGDA (Désidéri, 2012) and PCGrad have been proposed by Liu et al. (2021a) and Wang et al. (2021), respectively. ", + "bbox": [ + 173, + 258, + 825, + 453 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The literature also includes approaches which, while orthogonal to the gradient homogenization, are complementary to our work and thus could be used along with RotoGrad. Next, we provide a brief overview of them. A prominent approach for MTL is task clustering, that is, selecting which tasks should be learned together. This approach dates back to the original task-clustering algorithm (Thrun & O’Sullivan, 1996), but new work in this direction keeps coming out (Standley et al., 2020; Zamir et al., 2018; Shen et al., 2021; Fifty et al., 2021). Alternative approaches, for example, scale the loss of each task differently based on different criteria such as task uncertainty (Kendall et al., 2018), task prioritization (Guo et al., 2018), or similar loss magnitudes (Liu et al., 2021b). Moreover, while most models fall into the hard-parameter sharing umbrella, there exists other architectures in the literature. Soft-parameter sharing architectures (Ruder, 2017), for example, do not have shared parameters but instead impose some kind of shared restrictions to the entire set of parameters. An interesting approach consists in letting the model itself learn which parts of the architecture should be used for each of the tasks (Guo et al., 2020; Misra et al., 2016; Sun et al., 2020; Vandenhende et al., 2020). Other architectures, such as MTAN (Liu et al., 2019b), make use of task-specific attention to select relevant features for each task. Finally, similar issues have also been studied in other domains like meta-learning (Flennerhag et al., 2019) and continual learning (Lopez-Paz & Ranzato, 2017). ", + "bbox": [ + 174, + 460, + 825, + 683 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "6 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 702, + 326, + 718 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In this section we assess the performance of RotoGrad on a wide range of datasets and MTL architectures. First, we check the effect of the learning rates of the rotation and network updates on the stability of RotoGrad. Then, with the goal of applying RotoGrad to scenarios with large sizes of $_ { z }$ , we explore the effect of rotating only a subspace of $_ z$ . Finally, we compare our approach with competing MTL solutions in the literature, showing that RotoGrad consistently outperforms all existing methods. Refer to Appendix C for a more details on the experiments and additional results. ", + "bbox": [ + 174, + 733, + 823, + 816 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Relative task improvement. Since MTL uses different metrics for different tasks, throughout this section we group results by means of the relative task improvement, first introduced by Maninis et al. (2019). Given a task $k$ , and the metrics obtained during test time by a model, $M _ { k }$ , and by a baseline model, $S _ { k }$ , which consists of $K$ networks trained on each task individually, the relative task improvement for the $k$ -th task is defined as ", + "bbox": [ + 174, + 823, + 825, + 893 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/7d9e298586a8229e487e529105e436365ad87fa66e6a809a9a119cc08066c514.jpg", + "text": "$$\n\\Delta _ { k } : = 1 0 0 \\cdot ( - 1 ) ^ { l _ { k } } \\frac { M _ { k } - S _ { k } } { S _ { k } } ,\n$$", + "text_format": "latex", + "bbox": [ + 398, + 896, + 599, + 928 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $l _ { k } = 1$ if $M _ { k } < S _ { k }$ means that our model performs better than the baseline in the $k \\mathrm { . }$ -th task, and $l _ { k } = 0$ otherwise. We depict our results using different statistics of $\\Delta _ { k }$ such as its mean $( \\mathrm { a v g } _ { k } \\Delta _ { k } )$ , maximum $( \\operatorname* { m a x } _ { k } \\Delta _ { k } )$ , and median $( { \\mathrm { m e d } } _ { k } \\Delta _ { k } )$ across tasks. ", + "bbox": [ + 173, + 103, + 825, + 146 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Statistical significance. We highlight significant improvements according to a one-sided paired t-test $\\langle \\alpha = 0 . 0 5 \\rangle$ ), with respect to MTL with vanilla optimization (marked with $\\dagger$ in each table). ", + "bbox": [ + 168, + 152, + 825, + 181 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.1 TRAINING STABILITY ", + "text_level": 1, + "bbox": [ + 176, + 199, + 362, + 213 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "At the end of $\\ S$ we discussed that, by casting problem 4 as a Stackelberg game, we have convergence guarantees when the rotation optimizer is the slow-learner. Next, we empirically show this necessary condition. ", + "bbox": [ + 174, + 227, + 549, + 281 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Experimental setup. Similar to (Sener & Koltun, 2018), we use a multitask version of MNIST (LeCun et al., 2010) where each image is composed of a left and right digit, and use as backbone a reduced version of LeNet (LeCun et al., 1998) with light-weight heads. Besides the leftand right-digit classification proposed in (Sener & Koltun, 2018), we consider three other quantities to predict: i) sum of digits; ii) parity of the digit product; and iii) number of active pixels. The idea here is to enforce all digit-related tasks to cooperate (positive transfer), while the (orthogonal) image-related task should not disrupt these learning dynamics. ", + "bbox": [ + 174, + 289, + 550, + 400 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/d57da3a13366ffe5de936b85e9d4d322b035f1dc05f72ade5a8adcbbfe5e4def.jpg", + "image_caption": [ + "Figure 3: Test error on the sum of digits task for different values of RotoGrad’s learning rate on multi-MNIST. " + ], + "image_footnote": [], + "bbox": [ + 560, + 204, + 823, + 339 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 401, + 821, + 428 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results. Figure 3 shows the effect—averaged over ten independent runs—of changing the rotations’ learning rate in terms of test error in the sum task, while the rest of tasks are shown in Appendix C.2. We observe that, the bigger the learning rate is, in comparison to that of the network’s parameters (1e−3), the higher and noisier the test error becomes. MSE keeps decreasing as we lower the learning rate, reaching a sweet-spot at half the network’s learning rate (5e−4). For smaller values, the rotations’ learning is too slow and results start to resemble those of the vanilla case, in which no rotations are applied (leftmost box in Figure 3). ", + "bbox": [ + 174, + 435, + 825, + 532 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.2 ROTOGRAD BUILDING BLOCKS ", + "text_level": 1, + "bbox": [ + 176, + 551, + 429, + 565 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In this section, we empirically evaluate to which extent each of the RotoGrad building blocks, that we denote Scale Only (§3.1) and Rotate Only (§3.2), contribute to the performance gain in MTL. ", + "bbox": [ + 173, + 577, + 823, + 606 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Experimental setup. We test all methods on three different tasks of NYUv2 (Couprie et al., 2013): 13-class semantic segmentation; depth estimation; and normal surfaces estimation. To speed up training, all images were resized to $2 8 8 \\times 3 8 4$ resolution; and data augmentation was applied to alleviate overfitting. As MTL architecture, we use SegNet (Badrinarayanan et al., 2017) where the decoder is split into three convolutional heads. This is the same setup as that of Liu et al. (2019b). ", + "bbox": [ + 174, + 613, + 825, + 683 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results. The three top rows of Table 1 show the performance of RotoGrad and its both components in isolation. All the methods with the same number of parameters. Compared to Vanilla optimization (4th row), Rotate Only improves all metrics by homogenizing gradient directions. Scale Only avoids overlooking the normal estimation task and improves on segmentation by homogenizing gradient magnitudes, at the expense of higher depth estimation error. Remarkably, RotoGrad exploits its scaling and rotation components to obtain the best results in semantic segmentation and depth estimation, while still achieving comparable performance in the normal estimation task. ", + "bbox": [ + 174, + 690, + 825, + 787 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "6.3 SUBSPACE ROTATIONS ", + "text_level": 1, + "bbox": [ + 176, + 806, + 369, + 819 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We now evaluate the effect of subspace rotations as described at the end of $\\ S$ , assessing the trade-off between avoiding negative transfer and size of the subspace considered by RotoGrad. ", + "bbox": [ + 174, + 832, + 823, + 861 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Experimental setup. We test RotoGrad on a 10-task classification problem on CIFAR10 (Krizhevsky et al., 2009), using binary cross-entropy and f1-score as loss and metric, respectively, for all tasks. We use ResNet18 (He et al., 2016) without pre-training as backbone $\\acute { a } = 5 1 2$ ), and linear layers with sigmoid activation functions as task-specific heads. ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/1a153a9e298d667245594d519e0280982bdc56b736f7e0e58e53bd0a7f826bcf.jpg", + "table_caption": [ + "Table 1: Median (over five runs) on the NYUv2 dataset. RotoGrad obtains great performance in segmentation and depth tasks, and significantly improves the results on normal surfaces. $\\Delta _ { S }$ , $\\Delta _ { D }$ , and $\\Delta _ { N }$ denote the relative task improvement for each task. " + ], + "table_footnote": [], + "table_body": "
Relative improvements 个Segmentation ↑Depth↓Normal Surfaces
Angle Dist.↓Within t↑
Method△s△D△NmIoUPix AccAbs.Rel.MeanMedian11.2522.530
(0I = u)*mmSingle0.00.00.039.2164.590.700.2725.0919.1830.0157.3369.30
Rotate Only3.320.5-6.639.6366.160.530.2126.1220.9326.8553.7666.50
Scale Only-0.320.0-7.938.8965.940.540.2226.4721.2426.2453.0465.81
RotoGrad1.824.0-6.139.3266.070.530.2126.0120.8027.1854.0266.53
Vanilla-2.720.6-25.738.0564.390.540.2230.0226.1620.0243.4756.87
GradDrop PCGrad-0.914.0-25.238.7964.360.590.2429.8025.8119.8844.0857.54
-2.720.5-26.3 37.1563.440.550.2230.0626.1819.5843.5156.87
MGDA-UB-31.2-0.70.6 21.6051.600.770.2924.7418.9030.3257.9569.88
GradNorm-0.619.5-10.537.2263.610.540.22 26.6821.6725.9552.1664.95
IMTL-G-0.317.6 -7.538.3864.660.540.2226.3821.3526.5652.8465.69
WaintVanillat-0.916.8-25.037.1163.980.560.2229.9325.8920.3443.9257.39
GradDrop-0.115.7 -27.037.5163.620.590.2330.1526.3319.3243.1556.59
PCGrad-0.520.0-24.638.5163.950.550.2229.7925.7720.6144.2257.64
MGDA-UB-32.2-8.21.520.7551.440.730.2824.7018.9230.5757.9569.99
GradNorm2.220.6-10.239.2964.800.530.2226.7721.8825.3951.7864.76
IMTL-G1.921.4-6.739.9465.960.550.2126.2321.1426.7753.2566.22
", + "bbox": [ + 176, + 155, + 821, + 397 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Results. Table 2 (top) shows that rotating the entire space provides the best results, and that these worsen as we decrease the size of $\\scriptstyle { \\cal R } _ { k }$ . Remarkably, rotating only 128 features already outperforms vanilla with no extra per-task parameters (1st row); and rotating 256 features already yields comparable results to vanilla optimization with extra capacity (6th row) despite its larger number of (task-specific) parameters. These results can be further explained by Figure 9 in Appendix C.2, which shows a positive correlation between the size of $\\scriptstyle { \\mathbf { } } R _ { k }$ and cosine similarity. ", + "bbox": [ + 173, + 416, + 825, + 500 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "6.4 METHODS COMPARISON ", + "text_level": 1, + "bbox": [ + 176, + 521, + 382, + 535 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Experimental setup. In order to provide fair comparisons among methods, all experiments use identical configurations and random initializations. For all methods we performed a hyperparameter search and chose the best ones based on validation error. Unless otherwise specified, all baselines use the same architecture (and thus, number of parameters) as RotoGrad, taking each rotation matrix $\\scriptstyle { R _ { k } }$ as extra task-specific parameters. Further experimental details can be found in Appendix C.1, as well as extra experiments and complete results in Appendix C.2. ", + "bbox": [ + 174, + 547, + 825, + 632 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "NYUv2. Table 1 shows the performance of all baselines with and without the extra capacity. RotoGrad significantly improves performance on all tasks compared with vanilla optimization, and outperforms all other baselines. Remarkably, we rotate only 1024 dimensions of $_ { z }$ (out of a total of 7 millions) and, as a result, RotoGrad stays on par in training time with the baselines (around $^ { 4 \\mathrm { h } }$ , Appendix C.2). We can also assert the importance of learning the matrices $\\scriptstyle R _ { k }$ properly by comparing in Table 1 the different baselines with and without extra capacity. ", + "bbox": [ + 173, + 638, + 826, + 722 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "This comparison reveals that the extra parameters do not solve the negative transfer but instead amplifies biases (methods that overlook a subset of tasks, keep overlooking them) and, in the best case, provides trade-off solutions (also shown in Appendix C.2). Note, moreover, that RotoGrad (due to its Rotate Only component) is the only method to tackle conflicting gradient directions that manages to not overlook the normal surfaces task. ", + "bbox": [ + 174, + 723, + 454, + 873 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "CIFAR10. We reuse the setting from $\\ S 6 . 3$ to compare different MTL baselines in terms of relative improvements (Table 2) ", + "bbox": [ + 174, + 882, + 450, + 924 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/60892be315f76b4e317964aff43ef9c754f31b4e081405839841d875434bfb6f.jpg", + "image_caption": [ + "Figure 4: Similarity between task and update gradients for different methods on CIFAR10, averaged over tasks and five runs. " + ], + "image_footnote": [], + "bbox": [ + 464, + 738, + 821, + 881 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/380e028289b263a0d18f0484d038b7c7db063692a54999474bb578457186f884.jpg", + "table_caption": [ + "Table 2: (Top) Relative task improvement on CIFAR10 for RotoGrad with matrices $\\scriptstyle { \\cal R } _ { k }$ of different sizes; and (bottom) comparison with baseline methods including rotation matrices as extra task-specific parameters. Table shows median and standard deviation over five runs. " + ], + "table_footnote": [], + "table_body": "
Methoddavgk△k↑medk △k ↑maxk△k↑
Vanillat RotoGrad RotoGrad RotoGrad
RotoGrad
R 5 =u)Vanilla GradDrop4.48 ± 0.99
3.12 ± 0.793.67 ± 1.40 15.57 ± 3.99 3.10±1.29 14.23 ± 2.86
3.54± 1.10
PCGrad 3.29 ± 0.46
0.21± 0.67
2.67 ± 0.88 13.44 ± 1.86 0.57 ± 0.62 4.78 ± 2.15
MGDA-UB GradNorm 3.21 ± 1.04 IMTL-G 3.02 ± 0.69
3.10 ± 1.01 10.88 ± 4.73 1.81 ± 0.87 12.76±1.77
", + "bbox": [ + 176, + 184, + 531, + 354 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/0ac212523884b5664357e6f9bdcd133fd9bf834398e14679b1506999d9a9984e.jpg", + "table_caption": [ + "Table 3: F1-score statistics in CelebA for two neural network architectures. Median over five different runs. " + ], + "table_footnote": [], + "table_body": "
Methodtask f1-scores (%)↑ mink medk avgk stdk↓
C enna (9 = 0)9Vanilla GradDrop4.59 50.28 56.03 25.65 3.18 50.07 54.43 27.21 1.44 54.72
PCGrad GradNorm IMTL-G RotoGrad53.05 27.61 2.08 52.53 56.71 24.57 0.00 37.00 42.24 33.46 4.59 55.02 57.20 24.75
Vanilla (9151=3)9 GradDrop19.71 63.56 63.23 21.16 12.33 62.40 62.74 21.74
", + "bbox": [ + 555, + 155, + 821, + 356 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "and cosine similarity (Fig. 4), averaged over five different runs. Table 2 (bottom) shows that, similar to the NYUv2 results, both direction-aware solutions (PCGrad and GradDrop) behave similar to vanilla optimization, marginally increasing the average improvement. Unlike previous experiments, all magnitude-aware methods substantially worsen (at least) one of the statistics. In contrast, RotoGrad improves the relative task improvement across all statistics using the same number of parameters. Figure 4 shows the cosine similarity between task and update gradients, averaged over all tasks and runs (shaded areas correspond to $9 0 \\%$ confidence intervals). It is clear that RotoGrad obtains the highest cosine similarity, that other direction-aware methods also effectively align task gradients and, combined with the low cosine similarity achieved by MGDA-UB, suggests that there exists a correlation between cosine similarity and performance. ", + "bbox": [ + 173, + 382, + 825, + 522 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "CelebA. To finalize, we test all methods in a 40-class multi-classification problem on CelebA (Liu et al., 2015) and two different settings: one using a convolutional network as backbone $\\acute { a } = 5 1 2$ ); and another using ResNet18 (He et al., 2016) as backbone ( $d = 2 0 4 8$ ). As above, we use binary cross-entropy and f1-score as loss and metric for all tasks, thus accounting for highly imbalanced attributes. Results in Table 3 show that RotoGrad performs great in all f1-score statistics and both architectures, specially in the convolutional neural network, outperforming competing methods. ", + "bbox": [ + 174, + 529, + 825, + 612 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Moreover, RotoGrad achieves these results rotating $5 0 \\%$ of the shared feature $_ { z }$ for the convolutional network, and $7 5 \\%$ for the residual network, which further demonstrates that RotoGrad can scale-up to real-world settings. We believe it is important to remark that, due to the high number of tasks, this setup is specially demanding. Results in Appendix C.2 show the performance of all baselines without the rotation matrices, demonstrating the negative effect that the extra capacity can have if not learned properly, as well as that RotoGrad stays on par with non-extended baselines in training time. ", + "bbox": [ + 174, + 618, + 825, + 703 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "7 CONCLUSIONS ", + "text_level": 1, + "bbox": [ + 176, + 722, + 328, + 737 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this work, we have introduced RotoGrad, an algorithm that tackles negative transfer in MTL by homogenizing task gradients in terms of both magnitudes and directions. RotoGrad enforces a similar convergence rate for all tasks, while at the same time smoothly rotates the shared representation differently for each task in order to avoid conflicting gradients. As a result, RotoGrad leads to stable and accurate MTL. Our empirical results have shown the effectiveness of RotoGrad in many scenarios, staying on top of all competing methods in performance, while being on par in terms of computational complexity with those that better scale to complex networks. ", + "bbox": [ + 174, + 750, + 825, + 847 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We believe our work opens up interesting venues for future work. For example, it would be interesting to study alternative approaches to further scale up RotoGrad using, for example, diagonal-block or sparse rotation matrices; to rotate the feature space in application domains with structured features (e.g., channel-wise rotations in images); and to combine different methods, for example, by scaling gradients using the direction-awareness of IMTL-G and the “favor slow-learners” policy of RotoGrad. ", + "bbox": [ + 174, + 854, + 823, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 103, + 287, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Pierre-Antoine Absil, Robert E. Mahony, and Rodolphe Sepulchre. Optimization Algorithms on Matrix Manifolds. Princeton University Press, 2008. 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If $\\cos \\_ \\sin ( G _ { i } , G _ { j } ) > - 1 / ( K - 1 )$ pairwise; then there exists a small-enough step size $\\varepsilon > 0$ such that, for all $k$ , we have that $\\begin{array} { r } { L _ { k } \\big ( h _ { k } ( \\pmb { Z } - \\varepsilon \\cdot \\ b { C } \\sum _ { k } \\pmb { U } _ { k } ; \\phi _ { k } ) ; \\pmb { Y } _ { k } \\big ) < L _ { k } \\big ( h _ { k } ( \\pmb { Z } ; \\phi _ { k } ) ; \\pmb { Y } _ { k } \\big ) , } \\end{array}$ , where $U _ { k } : = G _ { k } / | | G _ { k } | |$ and $C \\geq 0$ . ", + "bbox": [ + 173, + 180, + 826, + 252 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Proof. Since $f _ { k }$ is infinitely differentiable, we can take the first-order Taylor expansion of $f _ { k }$ around $z$ , for any $k$ , evaluated at $Z - \\varepsilon V$ for a given vector $V$ : ", + "bbox": [ + 171, + 268, + 823, + 297 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/0e2986520342395533eef45bd88e790220e9048961bdd781c25f5951014ae652.jpg", + "text": "$$\n\\begin{array} { r } { f _ { k } ( Z - \\varepsilon V ) = f _ { k } ( Z ) - \\varepsilon \\langle G _ { k } , V \\rangle + o ( \\varepsilon ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 352, + 304, + 645, + 321 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In our case, $\\begin{array} { r } { V = C \\sum _ { k } U _ { k } } \\end{array}$ with $C \\geq 0$ , then: ", + "bbox": [ + 173, + 335, + 478, + 353 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/d5c89b8381c8f030052f102a37496955be79fbb0671cba210aa40979582932d8.jpg", + "text": "$$\n\\begin{array} { l } { f _ { k } ( \\pmb { Z } - \\varepsilon \\pmb { V } ) - f _ { k } ( \\pmb { Z } ) = - \\varepsilon \\cdot \\pmb { C } | | \\pmb { G } _ { k } | | \\displaystyle \\sum _ { i } \\langle \\pmb { U } _ { k } , \\pmb { U } _ { i } \\rangle + o ( \\varepsilon ) } \\\\ { = - \\varepsilon \\cdot \\pmb { C } | | \\pmb { G } _ { k } | | \\displaystyle \\left( 1 + \\displaystyle \\sum _ { i \\neq j } \\langle \\pmb { U } _ { k } , \\pmb { U } _ { i } \\rangle \\right) + o ( \\varepsilon ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 269, + 358, + 727, + 444 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Since $| | U _ { k } | | = 1$ for all $k = 1 , 2 , \\ldots , K$ , it holds that $- 1 \\le \\mathrm { c o s \\_ s i m } ( U _ { k } , U _ { i } ) = \\langle U _ { k } , U _ { i } \\rangle \\le 1$ ", + "bbox": [ + 173, + 457, + 799, + 473 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "If cos ${ } _ { - \\sin ( \\pmb { G } _ { k } , \\pmb { G } _ { i } ) > } - 1 / ( K - 1 )$ for all $i \\neq k$ , then we have that $\\begin{array} { r } { 1 + \\sum _ { i \\neq j } \\langle { U _ { k } , U _ { i } } \\rangle > 0 } \\end{array}$ and $f _ { k } ( Z - \\varepsilon V ) < f _ { k } ( V )$ for a small enough $\\varepsilon > 0$ . ", + "bbox": [ + 176, + 478, + 820, + 511 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B STACKELBERG GAMES AND ROTOGRAD ", + "text_level": 1, + "bbox": [ + 174, + 551, + 542, + 569 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "In game theory, a Stackelberg game (Fiez et al., 2020) is an asymmetric game where two players play alternately. One of the players—whose objective is to blindly minimize their loss function—is known as the follower, $\\mathcal { F }$ . The other player is known as the leader, $\\mathcal { L }$ . In contrast to the follower, the leader attempts to minimize their own loss function, but it does so with the advantage of knowing which will be the best response to their move by the follower. The problem can be written as ", + "bbox": [ + 174, + 583, + 825, + 655 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/fca3be97c9232bb1c0e5bb5a39731dab31d57616040b70d5d3c0a820818ec6fc.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathcal { L } \\mathrm { e a d e r : ~ } \\underset { x _ { l } \\in X _ { l } } { \\operatorname* { m i n } } \\left\\{ \\mathcal { L } ( x _ { l } , x _ { f } ) \\ : | \\ : x _ { f } \\in \\underset { y \\in X _ { f } } { \\operatorname { a r g m i n } } \\mathcal { F } ( x _ { l } , y ) \\right\\} , } \\\\ & { \\mathcal { F } _ { 0 } ] | _ { 0 \\mathrm { w e r : ~ } } \\underset { x _ { f } \\in X _ { f } } { \\operatorname* { m i n } } \\mathcal { F } ( x _ { l } , x _ { f } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 326, + 660, + 671, + 717 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where $x _ { l } \\in X _ { l }$ and $x _ { f } \\in X _ { f }$ are the actions taken by the leader and follower, respectively. ", + "bbox": [ + 169, + 723, + 764, + 738 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "While traditionally one assumes that players make perfect alternate moves in each step of problem 10, gradient-play Stackelberg games assume instead that players perform simultaneous gradient updates, ", + "bbox": [ + 173, + 744, + 825, + 773 + ], + "page_idx": 13 + }, + { + "type": "equation", + "img_path": "images/7df36c8f85b0f47847d5356fb4d6e5657f10a1271c0dfc471709d65d979915c7.jpg", + "text": "$$\n\\begin{array} { r l } & { x _ { l } ^ { t + 1 } = x _ { l } ^ { t } - \\alpha _ { l } ^ { t } \\nabla _ { x _ { l } } \\mathcal { L } ( x _ { l } , x _ { f } ) , } \\\\ & { x _ { f } ^ { t + 1 } = x _ { f } ^ { t } - \\alpha _ { f } ^ { t } \\nabla _ { x _ { f } } \\mathcal { L } ( x _ { l } , x _ { f } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 392, + 779, + 604, + 823 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "where $\\alpha _ { l }$ and $\\alpha _ { f }$ are the learning rates of the leader and follower, respectively. ", + "bbox": [ + 174, + 845, + 686, + 862 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "An important concept in game theory is that of an equilibrium point, that is, a point in which both players are satisfied with their situation, meaning that there is no available move immediately improving any of the players’ scores, so that none of the players is willing to perform additional actions/updates. Specifically, we focus on the following definition introduced by Fiez et al. (2020): ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Definition B.1 (differential Stackelberg equilibrium). A pair of points $x _ { l } ^ { \\ast } \\in X _ { l }$ , $x _ { f } ^ { \\ast } \\in X _ { f }$ , where $x _ { f } ^ { * } = r ( x _ { l } ^ { * } )$ is implicitly defined by $\\nabla _ { x _ { f } } \\mathcal { F } ( x _ { l } ^ { * } , x _ { f } ^ { * } ) = 0$ , is a differential Stackelberg equilibrium point if $\\nabla _ { x _ { l } } \\mathcal { L } ( x _ { l } ^ { * } , r ( x _ { l } ^ { * } ) ) = 0$ , and $\\nabla _ { x _ { l } } ^ { 2 } \\mathcal { L } ( x _ { l } ^ { * } , r ( x _ { l } ^ { * } ) )$ is positive definite. ", + "bbox": [ + 174, + 103, + 823, + 152 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Note that, when the players manage to reach such an equilibrium point, both of them are in a local optimum. Here, we make use of the following result, introduced by Fiez et al. (2020), to provide theoretical convergence guarantees to an equilibrium point: ", + "bbox": [ + 174, + 162, + 825, + 205 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Proposition B.1. In the given setting, if the leader’s learning rate goes to zero at a faster rate than the follower’s, that is, $\\alpha _ { l } ( t ) = o ( \\alpha _ { f } ( t ) )$ , where $\\alpha _ { i } ( t )$ denotes the learning rate of player i at step t, then they will asymptotically converge to a differential Stackelberg equilibrium point almost surely. ", + "bbox": [ + 174, + 209, + 825, + 252 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In other words, as long as the follower learns faster than the leader, they will end up in a situation where both are satisfied. Even more, Fiez et al. (2020) extended this result to the finite-time case, showing that the game will end close to an equilibrium point with high probability. ", + "bbox": [ + 176, + 263, + 821, + 306 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "As we can observe, the Stackelberg formulation in Equation (10) is really similar to RotoGrad’s formulation in Equation (4). Even more, the update rule in Equation (11) is quite similar to that one shown in Algorithm 1. Therefore, it is sensible to cast RotoGrad as a Stackelberg game. One important but subtle bit about this link regards the extra information used by the leader. In our case, this extra knowledge explicitly appears in Equation 3 in the form of the follower’s gradient, $\\mathbf { \\psi } _ { g _ { i , k } }$ which is the direction the follower will follow and, as it is performing first-order optimization by assumption, this gradient directly encodes the follower’s response. ", + "bbox": [ + 174, + 313, + 825, + 411 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Thanks to the Stackelberg formulation in Equation 4 we can make use of Prop. B.1 and, thus, draw theoretical guarantees on the training stability and convergence. In other words, we can say that performing training steps as those described in Algorithm 1 will stably converge as long as the leader is asymptotically the slow learner, that is $\\alpha _ { l } ^ { t } = o ( \\alpha _ { f } ^ { t } )$ , where $o$ denotes the little-o notation. ", + "bbox": [ + 174, + 417, + 825, + 474 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In practice, however, the optimization procedure proposed by Fiez et al. (2020) requires computing the gradient of a gradient, thus incurring a significant overhead. Instead, we use Gradient Ascent-Descent (GDA), which only computes partial derivatives and enjoys similar guarantees (Jin et al., 2020), as we empirically showed in the manuscript. ", + "bbox": [ + 174, + 481, + 825, + 536 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 558, + 330, + 574 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C.1 EXPERIMENTAL SETUPS ", + "text_level": 1, + "bbox": [ + 174, + 590, + 383, + 604 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Here, we discuss common settings across all experiments. Refer to specific sections further below for details concerning single experiments. ", + "bbox": [ + 173, + 616, + 823, + 645 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Computational resources. All experiments were performed on a shared cluster system with two NVIDIA DGX-A100. Therefore, all experiments were run with (up to) 4 cores of AMD EPYC 7742 CPUs and, for those trained on GPU (CIFAR10, CelebA, and NYUv2), a single NVIDIA A100 GPU. All experiments were restricted to 12 GB of RAM. ", + "bbox": [ + 174, + 651, + 825, + 707 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Loss normalization. Similar as in the gradient case studied in this work, magnitude differences between losses can make the model overlook some tasks. To overcome this issue, here we perform loss normalization, that is, we normalize all losses by their value at the first training iteration (so that they are all 1 in the first iteration). To account for some losses that may quickly decrease at the start, after the 20th iteration, we instead normalize losses dividing by their value at that iteration. ", + "bbox": [ + 174, + 713, + 825, + 784 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Checkpoints. For the single training of a model, we select the parameters of the model by taking those that obtained the best validation error after each training epoch. That is, after each epoch we evaluate the linearly-scalarized validation loss, $\\sum _ { k } L _ { k }$ , and use the parameters that obtained the best error during training. This can be seen as an extension of early-stopping where, instead of stopping, we keep training until reaching the maximum number of epochs hoping to keep improving. ", + "bbox": [ + 174, + 790, + 825, + 861 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Baselines. We have implemented all baselines according to the original paper descriptions, except for PCGrad, which we apply to the gradients with respect to the feature $\\mathbf { z }$ (instead of the shared parameters $\\pmb { \\theta }$ , as in the original paper). Note that this is in accordance with recent works, for example Chen et al. (2020) and Liu et al. (2021b), which also use this implementation of PCGrad in the feature space. This way, all competing methods modify gradients with respect to the same variables and, as backpropagation performs the sum of gradients at the last shared representation $_ { z }$ , PCGrad can be applied to reduce conflict at that level. ", + "bbox": [ + 174, + 867, + 823, + 924 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 103, + 823, + 146 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Hyperparameter tuning. Model-specific hyperparameters were mostly selected by a combination of: i) using values described in prior works; and ii) empirical validation on the vanilla case (without any gradient-modifiers) to verify that the combinations of hyperparameters work. To select methodspecific hyperparameters we performed a grid search, choosing those combinations of values that performed the best with respect to validation error. ", + "bbox": [ + 174, + 152, + 825, + 223 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Specifically, we took $\\alpha \\in \\{ 0 , 0 . 5 , 1 , 2 \\}$ and $\\pmb { R } _ { k } \\in \\mathbb { R } ^ { m \\times m }$ with $m \\in \\{ 0 . 2 5 d , 0 . 5 d , 0 . 7 5 d , d \\}$ (restricting ourselves to $m \\leq 1 5 0 0 \\rangle$ ) for RotoGrad. Regarding the learning rate of RotoGrad (GradNorm), we performed a grid search considering $\\eta _ { \\mathrm { r o t o } } \\in \\{ 0 . 0 5 \\eta , 0 . 1 \\eta , 0 . 5 \\eta , \\eta , 2 \\eta \\}$ , where $\\eta _ { \\mathrm { r o t o } }$ and $\\eta$ are the learning rates of RotoGrad (GradNorm) and the network, respectively. ", + "bbox": [ + 174, + 228, + 825, + 286 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Statistical test. For the tabular data, we highlight those results that are significantly better than those from the multitask baseline (that is, better than the vanilla MTL optimization without the $R _ { k }$ matrices). To find these values, we run a paired one-sided Student’s t-test across each method and the baseline. For those metrics for which higher is better, our null hypothesis is that the method’s performance is equal or lower than the baseline, and for those for which lower is better, the null hypothesis is that the method’s performance is equal or greater than the baseline. We use a significance level of $\\alpha = 0 . 0 5$ . ", + "bbox": [ + 173, + 291, + 826, + 376 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Notation. Along this section, we use the following to describe different architectures: $[ \\mathsf { C o n v } { - } F { - } C ]$ denotes a convolutional layer with filter size $F$ and $C$ number of channels; $\\left[ \\mathrm { M a x } \\right]$ denotes a max-pool layer of filter size and stride 2, and $[ \\mathrm { D e n s e - } H ]$ a dense layer with output size $H$ . ", + "bbox": [ + 174, + 382, + 825, + 425 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "C.1.1 ILLUSTRATIVE EXAMPLES ", + "text_level": 1, + "bbox": [ + 176, + 440, + 413, + 454 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Losses and metrics. Both illustrative experiments use MSE as both loss and metric. Regarding the specific form of $\\varphi$ in Equation (5), the avocado-shaped experiments uses ", + "bbox": [ + 174, + 463, + 823, + 492 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/c05e37f468df94fd7b4901cc4a4f94541b9785160f682f8c44adb3cf8b63b6e2.jpg", + "text": "$$\n\\varphi ( ( x , y ) , s ) = ( x - s ) ^ { 2 } + 2 5 y ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 392, + 496, + 606, + 515 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "while the non-convex second experiment uses ", + "bbox": [ + 176, + 518, + 473, + 534 + ], + "page_idx": 15 + }, + { + "type": "equation", + "img_path": "images/7b191797c5d2046bb22dbc0e86a012210a79d86d99396b972fdac9dd19a99de3.jpg", + "text": "$$\n\\varphi ( ( x , y ) , s ) = - { \\frac { \\sin ( 3 x + 4 . 5 s ) } { x + 1 . 5 s } } - { \\frac { \\sin ( 3 y + 4 . 5 s ) } { y + 1 . 5 s } } + | x + 1 . 5 s | + | y + 1 . 5 s |\n$$", + "text_format": "latex", + "bbox": [ + 243, + 536, + 754, + 571 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Model. As described in the main manuscript, we use a single input $\\pmb { x } \\in \\mathbb { R } ^ { 2 }$ picked at random from a standard normal distribution, and drop all task-specific network parameters (that is, $h _ { k } ( r _ { k } ) = r _ { k } .$ ). As backbone, we take a simple network of the form $z \\ = \\ W _ { 2 } \\operatorname* { m a x } ( W _ { 1 } x + b _ { 1 } , 0 ) + b _ { 2 }$ with $b _ { 1 } \\in \\mathbb { R } ^ { 1 0 } , b _ { 2 } \\in \\mathbb { R } ^ { 2 }$ , and $W _ { 1 } , \\bar { W } _ { 2 } ^ { \\top } \\in \\mathbb { R } ^ { 1 0 \\times 2 }$ . ", + "bbox": [ + 174, + 583, + 823, + 640 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Hyperparameters, convex-case. We train the model for one hundred epochs. As network optimizer we use stochastic gradient descent (SGD) with a learning rate of 0.01. For the rotations we use RAdam (Liu et al., 2019a) with a learning rate of 0.5 (for visualization purposes we need a high learning rate, in such a simple scenario it still converges) and exponential decay with decaying factor 0.999 99. ", + "bbox": [ + 173, + 646, + 825, + 717 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Hyperparameter, non-convex case. For the second experiment, we train the model for 400 epochs and, once again, use SGD as the network optimizer with a learning rate of 0.015. For the rotations, we use RAdam (Liu et al., 2019a) with a learning rate of 0.1 and an exponential decay of 0.999 99. ", + "bbox": [ + 174, + 723, + 826, + 766 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "C.1.2 MNIST/SVHN ", + "text_level": 1, + "bbox": [ + 174, + 780, + 339, + 795 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Datasets. We use two modified versions of MNIST (LeCun et al., 2010) and SVHN (Netzer et al., 2011) in which each image has two digits, one on each side of the image. In the case of MNIST, both of them are merged such that they form an overlapped image of $2 8 \\times 2 8$ , as shown in Figure 5a. Since SVHN contains backgrounds, we simply paste two images together without overlapping, obtaining images of size $3 2 \\times 6 4$ , as shown in Figure 5b. Moreover, we transform all SVHN samples to grayscale. ", + "bbox": [ + 174, + 804, + 825, + 888 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Tasks, losses, and metrics. In order to further clarify the setup used, here we describe in detail each task. Specifically, we have: ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/d46a7012aa3e9e86de70ee1126f4b06163fed04da2337a18347ca2df89f51da1.jpg", + "image_caption": [ + "Figure 5: Samples extracted from the modified MNIST and SVHN datasets. " + ], + "image_footnote": [], + "bbox": [ + 250, + 116, + 756, + 364 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• Left digit classification. Loss: negative log-likelihood (NLL). Metric: accuracy (ACC). \n• Right digit classification. Loss: NLL. Metric: ACC. \n• Parity of the product of digits, that is, whether the product of both digits gives an odd number (binary-classification). Loss: binary cross entropy (BCE). Metric: f1-score (F1). \n• Sum of both digits (regression). Loss: MSE. Metric: MSE. \n• Active pixels in the image, that is, predict the number of pixels with values higher than 0.5, where we use pixels lying in the unit interval (regression). Loss: MSE. Metric: MSE. ", + "bbox": [ + 215, + 417, + 828, + 536 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Model. Our backbone is an adaption from the original LeNet (LeCun et al., 1998) model. Specifically, we use: ", + "bbox": [ + 173, + 546, + 825, + 575 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• MNIST. [Conv-5-10][Max][ReLU][Conv-5-20][Max][Dense-50][ReLU][BN], • SVHN. [Conv-5-10][Max][ReLU][Conv-5-20][Max][Conv-5-20][Dense-50] [ReLU][BN], ", + "bbox": [ + 218, + 587, + 799, + 635 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "where [BN]refers to Batch Normalization (Ioffe & Szegedy, 2015). Depending on the type of task, we use a different head. Specifically, we use: ", + "bbox": [ + 174, + 646, + 825, + 675 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "• Regression. [Dense-50][ReLU][Dense-1], • Classification. [Dense-50][ReLU][Dense-10][Log-Softmax], • Binary-classification. [Dense-1][Sigmoid]. ", + "bbox": [ + 218, + 686, + 679, + 739 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Model hyperparameters. For both datasets, we train the model for 300 epochs using a batch size of 1024. For the network parameters, we use RAdam (Liu et al., 2019a) with a learning rate of 1e−3. ", + "bbox": [ + 171, + 751, + 825, + 779 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Methods hyperparameters. In Tables 4 and 5 we show the results of GradNorm with: i) MNIST with $R _ { k }$ , $\\alpha = 0$ ; ii) MNIST without $R _ { k }$ , $\\alpha = 0 . 5$ ; iii) SVHN with $R _ { k }$ , $\\alpha = 1$ ; and iv) SVHN without $R _ { k }$ , $\\alpha = 2$ . We train RotoGrad with full-size rotation matrices $m = d$ ). Both methods use RAdam with learning rate 5e−4 and exponential decay of 0.9999. ", + "bbox": [ + 174, + 786, + 825, + 842 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "C.1.3 CIFAR10 ", + "text_level": 1, + "bbox": [ + 174, + 857, + 302, + 871 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Dataset. We use CIFAR10 (Krizhevsky et al., 2009) as dataset, with $4 0 0 0 0$ instances as training data and the rest as testing data. Additionally, every time we get a sample from the dataset we: i) crop the image by a randomly selected square of size $3 \\times 3 2 \\times 3 2$ ; ii) randomly flip the image horizontally; and iii) standardize the image channel-wise using the mean and standard deviation estimators obtained on the training data. ", + "bbox": [ + 174, + 882, + 825, + 924 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 103, + 823, + 132 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Model. We take as backbone ResNet18 (He et al., 2016) without pre-training, where we remove the last linear and pool layers. In addition, we add a Batch Normalization layer. For each task-specific head, we simply use a linear layer followed by a sigmoid function, that is, [Dense-1][Sigmoid]. ", + "bbox": [ + 174, + 138, + 823, + 181 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Losses and metrics. We treat each class (out of ten) as a binary-classification task where we use BCE and F1 as loss and metric, respectively. ", + "bbox": [ + 174, + 188, + 823, + 217 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Model hyperparameters. We use a batch size of 128 and train the model for 500 epochs. For the network parameters, we use as optimizer SGD with learning rate of 0.01, Nesterov momentum of 0.9, and a weight decay of 5e−4. Additionally, we use for the network parameters a cosine learning-rate scheduler with a period of 200 iterations. ", + "bbox": [ + 174, + 223, + 825, + 279 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Methods hyperparameters. Results shown in Tables 2 and 6 use $\\alpha = 0$ and $\\alpha = 0 . 5$ for GradNorm with and without $R _ { k }$ , respectively, and we use RAdam (Liu et al., 2019a) as optimizer with learning rate 0.001 and an exponential decay factor of 0.999 95 for both GradNorm and RotoGrad. ", + "bbox": [ + 174, + 285, + 825, + 328 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "C.1.4 NYUV2", + "text_level": 1, + "bbox": [ + 174, + 344, + 289, + 359 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Setup. In contrast with the rest of experiments, for the NYUv2 experiments shown in $\\ S \\ .$ , instead of writing our own implementation, we slightly modified the open-source code provided by Liu et al. (2019b) at https://github.com/lorenmt/mtan (commit 268c5c1). We therefore use the exact same setting as Liu et al. (2019b)—and refer to their paper and code for further details, with the addition of using data augmentation for the experiments which, although not described in the paper, is included in the repository as a command-line argument. We will provide along this work a diff file to include all gradient-modifier methods into the aforementioned code. ", + "bbox": [ + 174, + 369, + 825, + 468 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Methods hyperparameters. For the results shown in Table 1 we use GradNorm with $\\alpha = 0$ and RotoGrad with rotations $\\scriptstyle R _ { k }$ of size 1024. We use a similar optimization strategy as the rest of parameters, using Adam (Kingma & Ba, 2014) with learning rate 5e−5 (half the one of the network parameters) and where we halve this learning rate every 100 iterations. ", + "bbox": [ + 174, + 474, + 825, + 531 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "C.1.5 CELEBA ", + "text_level": 1, + "bbox": [ + 174, + 547, + 290, + 563 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Dataset. We use CelebA (Liu et al., 2015) as dataset with usual splits. We resize each sample image so that they have size $3 \\times 6 4 \\times 6 4$ . ", + "bbox": [ + 174, + 573, + 823, + 602 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Losses and metrics. We treat each class (out of forty) as a binary-classification task where we use BCE and F1 as loss and metric, respectively. ", + "bbox": [ + 174, + 608, + 820, + 637 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "ResNet model. As with CIFAR10, we use as backbone ResNet18 (He et al., 2016) without pretraining, where we remove the last linear and pool layers. In addition, we add a Batch Normalization layer. For each task-specific head, we use a linear layer followed by a sigmoid function, that is, [Dense-1][Sigmoid]. ", + "bbox": [ + 174, + 643, + 825, + 700 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "ResNet hyperparameters. We use a batch size of 256 and train the model for 100 epochs. For the network parameters, we use RAdam (Liu et al., 2019a) as optimizer with learning rate 0.001 and exponential decay of 0.999 95 applied every 2400 iterations. ", + "bbox": [ + 176, + 707, + 825, + 750 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Convolutional model. For the second architecture, we use a convolutional network as backbone, [Conv-3-64][BN][Max][Conv-3-128][BN][Conv-3-128][BN][Max][Conv-3-256][BN] [Conv-3-256][BN][Max][Conv-3-512][BN][Dense-512][BN]. For the task-specific heads, we take a simple network of the form [Dense-128][BN][Dense-1][Sigmoid]. ", + "bbox": [ + 176, + 756, + 825, + 811 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Convolutional hyperparameters. We use a batch size of 8 and train the model for 20 epochs. For the network parameters, we use RAdam (Liu et al., 2019a) as optimizer with learning rate 0.001 and exponential decay of 0.96 applied every 2400 iterations. ", + "bbox": [ + 174, + 819, + 825, + 861 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Methods hyperparameters. Results shown in Tables 3 and 7 use GradNorm with: i) convolutional network with $R _ { k }$ , $\\alpha = 0$ ; ii) convolutional network without $R _ { k }$ , $\\alpha = 1$ ; iii) residual network with $R _ { k }$ , $\\alpha = 0 . 5$ ; and iv) residual network without $R _ { k }$ , $\\alpha = 1$ . For RotoGrad, we rotate 256 and 1536 elements of $_ { z }$ for the convolutional and residual networks. As optimizer, we use RAdam (Liu et al., ", + "bbox": [ + 174, + 867, + 825, + 924 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "2019a) with learning rate 5e−6 and an exponential decay factor of 0.999 95 for both GradNorm and RotoGrad. ", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Note that for these experiments we omit MGDA-UB (Sener & Koltun, 2018) as it is computationally prohibitive in comparisons with other methods. In single-seed experiments, we however observed that it does not perform too well (specially in the convolutional network). ", + "bbox": [ + 176, + 138, + 823, + 181 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "C.2 ADDITIONAL RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 198, + 374, + 213 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "C.2.1 MULTI-MNIST AND MULTI-SVHN", + "text_level": 1, + "bbox": [ + 176, + 223, + 475, + 238 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/4abc637908c2b20f2c629c39baafe364eda0d916f76212879e89c5dc74f28f4d.jpg", + "table_caption": [ + "Table 4: Test performance (median and standard deviation) on two set of unrelated tasks on MNIST and SVHN, across ten different runs. " + ], + "table_footnote": [], + "table_body": "
MNISTSVHN
DigitsAct PixDigitsAct Pix
Method Singleavgk △k ↑MSE↓avgk △k ↑MSE↓
Vanilla0.00 ± 0.000.01 ± 0.010.00±0.000.17 ± 0.06
−1.43 ± 3.240.14 ± 0.054.78 ±0.883.04 ± 2.53
GradDrop PCGrad-1.30 ± 1.820.16 ± 0.045.34 ± 0.922.99 ± 2.59
MGDA-UB-1.22 ± 2.810.13 ± 0.015.01 ± 0.652.70 ± 2.25
GradNorm-29.14 ± 9.230.06 ± 0.00-4.36± 6.721.00 ± 0.57
IMTL-G0.86 ± 1.93 2.12 ± 1.460.09 ± 0.045.24 ± 0.894.12 ± 9.46
RotoGrad0.07 ± 0.025.94 ± 0.991.70 ± 1.05
1.55 ± 2.220.08 ± 0.036.08 ± 0.481.61 ± 2.72
", + "bbox": [ + 256, + 291, + 740, + 467 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We reuse the experimental setting from $\\ S$ —now using the original LeNet (LeCun et al., 1998) and a multitask-version of SVHN (Netzer et al., 2011)—in order to evaluate how disruptive the orthogonal image-related task is for different methods. We can observe (Table 4) that the effect of the image-related task is more disruptive in MNIST, in which MGDA-UB utterly fails. Direction-aware methods (GradDrop and PCGrad) do not improve the vanilla results, whereas IMTL-G, GradNorm, and RotoGrad obtain the best results. ", + "bbox": [ + 174, + 484, + 825, + 568 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We also provide the complete results for all metrics in Table 5. In the case of MNIST, we can observe that both regression tasks tend to be quite disruptive. GradNorm, IMTL-G, and RotoGrad manage to improve over all tasks while maintaining good performance on the rest of tasks. MGDA-UB, however, focuses on the image-related task too much and overlooks other tasks. In SVHN we observe a similar behavior. This time, all methods are able to leverage positive transfer and improve their results on the parity and sum tasks, obtaining similar task improvement results. Yet, the image-related task is more disruptive than before, showing bigger differences between methods. As before, MGDA-UB completely focuses on this task, but now is able to not overlook any task while doing so. Regarding the rest of the methods, all of them improved their results with respect to the vanilla case, with RotoGrad and GradNorm obtaining the second-best results. ", + "bbox": [ + 174, + 574, + 825, + 714 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/3d3b84f373e335e219c7a48df8ecc9e6c553fe081262c9b8ad9eb0d0ca2567cb.jpg", + "table_caption": [ + "Table 5: Complete results (median and standard deviation) of different competing methods on MNIST/SVHN on all tasks, see Appendix C.1.2 and Appendix C.2. " + ], + "table_footnote": [], + "table_body": "
MethodLeft digit Right digit Product parity Sum digitsAcc.个 Acc. ↑ f1个 MSE↓ avg△k ↑Act. Pix.MSE↓
SingleVanillat95.70± 0.20 94.05 ± 0.16 92.09 ± 0.76 1.90 ± 0.10 0.00±0.000.01 ± 0.01
94.94 ± 0.20 93.26±0.27 93.07 ± 0.48 2.10 ± 0.17 -3.26 ± 3.120.11 ± 0.01
GradDrop95.33 ± 0.39 93.55 ± 0.2993.32 ± 0.542.14 ± 0.07 -2.52 ± 1.630.13 ±0.02
Whou PCGradMGDA-UBGradNormLSINN IMTL-GVanillaGradDrop95.07 ± 0.39 93.28 ± 0.1893.34 ± 0.512.14 ± 0.19 -3.36 ±3.860.12 ±0.02
94.46 ± 1.04 92.23 ± 1.54 83.89 ± 1.84 2.50± 0.60-10.80±10.450.06± 0.02
95.19 ± 0.37 93.70± 0.31 93.31± 0.39 2.06 ± 28.71-1.81± 37.990.09 ± 7.46
95.28 ± 0.38 93.84 ± 0.21 93.24 ± 0.49 1.91 ± 6.61 -0.01 ± 82.480.07 ± 2.05
95.13 ± 0.20 93.41 ± 0.17 93.54± 0.50 1.99 ± 0.17 -1.43 ± 3.240.14 ±0.05
95.14 ± 0.16 93.47 ± 0.12 93.59 ± 0.322.00 ±0.06 -1.30 ±1.820.16 ± 0.04
p PCGradMGDA-UBGradNormIMTL-GRotoGrad95.04 ± 0.26 93.36 ± 0.30 93.49 ± 0.301.98 ± 0.13 -1.22 ± 2.810.13 ± 0.01
89.99 ± 2.21 86.76 ± 1.18 79.24 ± 2.833.65± 0.42-29.14 ±9.230.06 ± 0.00
95.28 ± 0.18 93.56 ± 0.25 93.56± 0.571.86 ± 0.07 0.86 ± 1.930.09 ± 0.04
95.47 ± 0.27 93.79 ± 0.31 93.56± 0.5795.45 ± 0.19 93.83 ± 0.19 93.22 ± 0.351.73 ± 0.09 2.12 ± 1.461.85 ± 0.13 1.55 ± 2.220.07 ± 0.020.08 ± 0.03
Single85.05 ± 0.45 84.58 ± 0.24 77.47 ± 1.13 5.84±0.14 0.00 ±0.000.17 ± 0.06
Vanillat84.18 ± 0.30 84.18 ±0.38 80.11 ± 0.854.81 ± 0.06 5.14 ± 0.832.75 ± 3.17
GradDrop84.38 ± 0.2984.48 ± 0.41 80.11 ± 0.694.69 ± 0.12 5.68 ± 1.051.91 ± 0.86
PCGrad84.22 ± 0.3184.23 ± 0.21 79.92 ± 0.794.69 ± 0.09 5.50 ± 0.752.26±0.85
MGDA-UBGradNormNHAS IMTL-GVanillaGradDropMGDA-UBMGDA-UBGradNormIMTL-G84.61 ± 0.7584.38 ± 0.45 77.44 ± 1.444.47 ± 0.18 5.99 ± 1.48
84.23 ± 0.3384.13 ± 0.30 79.40 ± 0.874.92 ± 0.07 4.60 ± 1.014.30 ± 2.18
84.60 ± 0.4584.39 ± 0.37 79.63 ± 1.104.57 ± 0.13 5.81 ± 0.852.47 ± 1.65
84.11 ±0.48 84.11 ±0.40 79.83 ± 0.794.84 ±0.10 4.78±0.883.04±2.53
84.23 ± 0.35 84.33 ±0.40 80.10 ± 0.834.73 ± 0.09 5.34 ± 0.922.99 ± 2.59
PCGrad84.21 ± 0.21 84.26 ±0.38 79.64 ± 0.484.84 ± 0.06 5.01 ± 0.652.70± 2.25
pm MGDA-UBGradNormIMTL-GRotoGrad77.05± 5.4478.00±5.04 71.76± 4.325.27 ± 0.56 -4.36± 6.721.00 ± 0.57
84.37 ± 0.3484.30 ±0.46 79.97 ± 0.754.72 ± 0.13 5.24± 0.894.12 ± 9.46
84.23 ± 0.3484.23 ± 0.39 79.77 ± 1.044.51 ± 0.12 5.94 ± 0.991.70 ± 1.051.61 ± 2.72
84.60± 0.5084.44 ± 0.45 79.14 ± 0.964.45 ± 0.10 6.08 ± 0.48
", + "bbox": [ + 176, + 343, + 823, + 718 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "C.2.2 ILLUSTRATIVE EXAMPLES ", + "text_level": 1, + "bbox": [ + 176, + 104, + 413, + 117 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We complement the illustrative figures shown in Figure 1 by providing, for each example, an illustration of the effect of RotoGrad shown as an active and passive transformation. In an active transformation (Figure 6 left), points in the space are the ones modified. In our case, this means that we rotate feature $_ z$ , obtaining $\\mathbf { \\Delta } _ { \\mathbf { r } _ { 1 } }$ and $\\mathbf { \\boldsymbol { r } } _ { 2 }$ while the loss functions remain the same. In other words, for each $_ z$ we obtain a taskspecific feature $\\mathbfit { r } _ { k }$ that optimizes its loss function. In contrast, a passive transformation (Figure 6 right) keeps the points unaltered while applying the transformation to the space itself. In our case, this translates to rotating the optimization landscape of each loss function (now we have $L _ { k } \\circ R _ { k }$ instead of $L _ { K }$ ), so that our single feature $_ z$ has an easier job at optimizing both tasks. In the case of RotoGrad, we can observe in both right figures that both optima lie in the same point, as we are aligning task gradients. ", + "bbox": [ + 174, + 128, + 452, + 448 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Besides the two regression experiments shown in $\\ S 4$ , we include here an additional experiment where we test RotoGrad in the worst-case scenario of gradient conflict, that is, one in which task gradients are opposite to each other. To this end, we solve a 2-task binary classification problem where, as dataset, we take 1000 samples from a 2D Gaussian mixture model with two clusters; $y _ { n , k } = 1$ if ${ \\mathbf { \\mathcal { x } } } _ { n }$ was sampled from cluster $k$ ; and $\\scriptstyle y _ { n , k } = 0$ otherwise. We use as model a logistic regression model of the form ${ \\pmb y } _ { k } = { \\pmb W } _ { 2 } \\operatorname* { m a x } ( { \\pmb W } _ { 1 } { \\pmb x } + { \\pmb b } _ { 1 } , 0 ) + { \\pmb b } _ { 2 }$ with $\\dot { b } _ { 1 } \\in \\mathbb { R } ^ { 2 } , b _ { 2 } \\in \\dot { \\mathbb { R } }$ , $W _ { 1 } \\in \\mathbb { R } ^ { 2 \\times 2 }$ , and $W _ { 2 } \\in \\mathbb { R } ^ { 1 \\times 2 }$ . Because rotations in 1D are ill-posed (there is a unique proper rotation), here we add task parameters to increase the dimensionality of $_ z$ and make all parameters shared, so that there is still no ", + "bbox": [ + 173, + 455, + 452, + 718 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/78ffefbfae88244f23f8e3836db9f3cab3ef7efeb2bc0b9cd2fc7f4bc36204b3.jpg", + "image_caption": [ + "Figure 6: Level plots showing the illustrative examples of Figure 1 for RotoGrad. Top: Convex case. Bottom: Non-convex case. Left: Active transformation (trajectories of $\\mathbf { \\nabla } r _ { k }$ and the level plot of $L _ { 1 } + L _ { 2 }$ . Right: Passive transformation (trajectory of $_ { z }$ and level plot of $( L _ { 1 } \\circ R _ { 1 } ) + ( L _ { 2 } \\circ R _ { 2 } ) )$ . " + ], + "image_footnote": [], + "bbox": [ + 480, + 102, + 808, + 352 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/de287210430ce69c1ea927f9d84c2ef8529527ad5ea281127801030478ee6306.jpg", + "image_caption": [ + "Figure 7: Logistic regression for opposite classification tasks. Test data is plotted scattered as gray dots. RotoGrad learns both opposite rotations $R _ { 1 } \\stackrel { \\mathbf { \\Delta } } { = } \\dot { R } _ { 2 } ^ { \\top }$ . " + ], + "image_footnote": [], + "bbox": [ + 470, + 470, + 816, + 637 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "task-specific parameters. To avoid a complete conflict where $\\nabla _ { z } L _ { 1 } + \\nabla _ { z } L _ { 2 } = 0$ , we randomly flip the labels for the second tasks with $5 \\%$ probability. Figure 7 shows that, in this extreme scenario, RotoGrad is able to learn both tasks by aligning gradients, that is, by learning that one rotation is the inverse of the other $R _ { 1 } = R _ { 2 } ^ { \\top }$ . ", + "bbox": [ + 174, + 718, + 825, + 775 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "C.2.3 TRAINING STABILITY ", + "text_level": 1, + "bbox": [ + 176, + 792, + 380, + 808 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "While we showed in $\\ S$ only the results for the sum-of-digits task as they were nice and clear, here we show in Figure 8 the results of those same experiments in $\\ S 6 . 1$ for all the different tasks. The same discussion from the main manuscript can be carried out for all metrics. Additionally, we can observe that the vanilla case (learning rate zero) completely overlooks the image-related task (Active pixels) while performing the best in the parity task. ", + "bbox": [ + 174, + 819, + 825, + 888 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Additionally, let us clarify what we mean here with stability, as in the main manuscript we mainly talked about convergence guarantees. In these experiments we measure the convergence guarantees of the experiments in terms of ‘training stability’, meaning the variance of the obtained results across different runs. The intuition here is that, since the model does not converge, we should expect some wriggling learning curves during training and, as we take the model with the best validation error, the individual task metrics should have bigger variance (that is, less stability) across runs. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 160 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/e81b65065674a0b40f73f2bb840d014cf652e4246adbdb18e30382c1084eba49.jpg", + "image_caption": [ + "Figure 8: RotoGrad’s performance on all tasks for the experiments in $\\ S 6 . 1$ for all metrics. We can observe training instabilities/stiffness on all tasks as we highly increase/decrease RotoGrad’s learning rate, as discussed in the main manuscript. " + ], + "image_footnote": [], + "bbox": [ + 199, + 180, + 799, + 565 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "C.2.4 CIFAR10 AND CELEBA ", + "text_level": 1, + "bbox": [ + 176, + 651, + 398, + 665 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "For the sake of completeness, we present in Table 6 and Table 7 the same tables as in $\\ S 6 .$ , but with more statistics of the results. For CIFAR10, we now included in Table 6 the minimum task improvement across tasks and, while noisier, we can still observe that RotoGrad also improve this statistic. The standard deviation of the task improvement across tasks is, however, not too informative. We also include in Figure 9 the cosine similarity plots for the different subspace rotations from $\\ S$ , showing a clear positive correlation between the cosine similarity and the size of the considered subspace. While the cosine similarities look low, we want to remark that we are computing the cosine similarity of a huge space, and we only align a subspace of it. If we, instead, showed the cosine similarity with respect to each specific subspace, the cosine similarity should look similar to that of RotoGrad 512. In the case of CelebA, we added in Table 7 the maximum f1-score across tasks and, similar to the last case, it is not too informative, as all methods achieve almost perfect f1-score in one of the classes. We also include the training times for some baselines, showing that RotoGrad stays on par with them. ", + "bbox": [ + 173, + 675, + 826, + 842 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "C.2.5 NYUV2", + "text_level": 1, + "bbox": [ + 174, + 857, + 289, + 871 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Complementing the results shown in $\\ S 6$ , we show in Table 8 the results obtained combining RotoGrad with all other existing methods (rows within RotoGrad $+$ ), for gradient scaling methods we only apply the rotation part of RotoGrad. Results show that RotoGrad helps improve/balance all other methods, which is specially true for those methods that heavily overlook some tasks. Specifically, MGDA-UB stops overlooking the semantic segmentation and depth estimation tasks, while PCGrad and GradDrop stop completely overlooking the surface normal loss. Note that we also show in Table 8 the training times of each method, and RotoGrad stays on par with non-extended methods in training time. As mentioned in Appendix C.1, due to cluster overload, some times were deceivingly high (specifically those baselines with $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ ) as we had to run them on different machines, and were omitted to avoid confusion. ", + "bbox": [ + 176, + 882, + 825, + 924 + ], + "page_idx": 21 + }, + { + "type": "table", + "img_path": "images/8944ec91f34883e09e45b948b4fe44e045f89ed491c30cfeb0bca0f5f916763a.jpg", + "table_caption": [ + "Table 6: Complete task-improvement statistics in CIFAR10 for all competing methods and RotoGrad with different dimensionality for $\\scriptstyle { \\mathbf { } } _ { R _ { k } }$ , see $\\ S 6$ . " + ], + "table_footnote": [], + "table_body": "
Method dmink △k ↑ med△k ↑ avgk△k ↑ std△k↓ maxk△k ↑
Vanillat 0-0.81± 0.37 1.90 ± 0.53 2.58 ± 0.54 3.38 ± 0.94 11.14 ± 3.35
RotoGrad 64-1.70 ± 0.81 1.79 ± 0.57 2.90 ± 0.49 3.98 ± 0.62 13.16 ± 2.40
RotoGrad 128-1.12 ± 0.36 2.25 ± 1.07 2.97 ± 1.08 3.84 ± 0.8712.64 ± 3.56
RotoGrad 2560.17 ± 1.01 2.16 ± 0.72 3.68 ± 0.68 3.83 ± 0.7414.01 ± 3.22
RotoGrad 512-0.43 ± 0.76 3.67 ± 1.40 4.48 ± 0.994.23 ± 0.8215.57 ± 3.99
Vanillat-0.81± 0.37 1.90 ± 0.53 2.58 ± 0.543.38 ± 0.9411.14 ± 3.35
Wrehtntt GradDropPCGradMGDA-UBGradNormIMTL-G-0.73 ± 0.33 2.80 ± 0.203.41 ± 0.454.08 ± 0.3413.58 ± 1.50
-1.52 ± 0.98 1.95 ± 0.872.86 ± 0.813.74 ± 0.6912.01 ± 3.19
-7.27 ± 1.36 -1.21 ± 0.74-1.75 ± 0.433.24 ± 0.553.67 ± 0.98
-0.35 ± 0.59 2.45 ± 0.663.23 ± 0.354.02 ± 0.3314.25 ± 1.35
-0.39 ±0.82 1.97 ± 0.29 2.73 ± 0.273.25 ± 0.7510.20 ± 2.98
Vanilla-0.85 ± 0.58 3.10 ± 1.29 3.12 ± 0.794.05 ± 0.5614.23 ± 2.86
GradDropHmA(1= p) PCGradMGDA-UBGradNormIMTL-G-1.49 ± 0.78 3.27 ± 1.613.54 ±1.104.11 ± 0.5613.88 ± 2.95
-1.44 ± 0.58 2.67 ± 0.883.29 ± 0.463.90 ± 0.3713.44 ± 1.86
-3.59 ± 1.480.57 ± 0.620.21 ± 0.672.44 ± 0.524.78 ± 2.15
-0.79 ±1.283.10 ± 1.013.21 ± 1.043.41 ± 0.8610.88 ± 4.73
-1.29 ± 0.521.81 ± 0.873.02 ± 0.693.81± 0.2112.76 ± 1.77
RotoGrad-0.43 ± 0.76 3.67 ± 1.404.48 ± 0.994.23 ± 0.8215.57 ± 3.99
", + "bbox": [ + 178, + 194, + 823, + 476 + ], + "page_idx": 22 + }, + { + "type": "table", + "img_path": "images/9ea1ba99b6eade01106a8635ac21b4adfa6a125de85db0fdecd19f99f78c9106.jpg", + "table_caption": [ + "Table 7: Complete f1-score statistics and training hours in CelebA for all competing methods and two different architectures/settings (median over five runs), see $\\ S$ . For the convolutional network we use $m = 2 5 6$ , and $m = 1 5 3 6$ for the residual network. " + ], + "table_footnote": [], + "table_body": "
MethodConvolutional (d = 512) task f1-scores (%) ↑ResNet18 (d = 2048)
medktask f1-scores (%) ↑
minkavgkstdk↓maxk|Hours minkmedk avgkstdkmaxkHours
WaenintVanillat1.6253.3958.4924.2696.977.62|15.45 63.0462.8522.0996.581.49
GradDrop2.6352.3257.3325.2796.728.5313.31 64.3763.9520.9396.591.60
PCGrad2.6954.6056.8725.7597.0434.0513.61 62.4562.7421.6096.645.75
GradNorm2.1752.9856.9124.7296.8420.9317.42 62.4962.6221.9396.553.61
WHmIMTL-G0.0014.8131.9033.5893.319.469.87 62.2262.0322.4796.511.73
Vanilla4.2449.8555.3326.0396.8816.2919.7163.56 63.2321.1696.559.33
GradDrop3.1850.0754.4327.2196.8017.2012.3362.40 62.7421.7496.659.41
PCGrad1.4453.0554.7227.6196.9041.7914.7163.65 62.6122.2296.5913.72
GradNorm2.08 52.5356.7124.5796.9630.029.0560.20 60.7822.3196.3811.36
IMTL-G0.0037.0042.2433.4694.3418.0517.1161.68 60.7222.8096.449.52
RotoGrad4.5955.0257.2024.7596.7927.209.9663.8462.8121.8096.456.68
", + "bbox": [ + 184, + 646, + 821, + 867 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/b46e14be6cd1a426f82d7cbd1e68ee2f94f5f1978410c63885a76c0f5bfbb4db.jpg", + "image_caption": [ + "Figure 9: Cosine similarity between the task gradients and the update gradient on CIFAR10. Results are averaged over tasks and five runs, showing $9 0 \\%$ confidence intervals (shaded areas). " + ], + "image_footnote": [], + "bbox": [ + 235, + 99, + 758, + 358 + ], + "page_idx": 23 + }, + { + "type": "table", + "img_path": "images/098547e51d30ca6bdd7f29018929f56c1d9b796caa58ed1c154b15c5d5644dd5.jpg", + "table_caption": [ + "Table 8: Results for different methods on the NYUv2 dataset with a SegNet model. RotoGrad obtains the best performance in segmentation and depth tasks on all metrics, while significantly improving the results on normal surfaces with respect to the vanilla case. " + ], + "table_footnote": [], + "table_body": "
Relative improvements ↑Segmentation ↑Depth ↓Normal SurfacesTime↓
△sPix AccAngle Dist.↓Within t↑
Method△D△NmIoUAbs.Rel.MeanMedian11.2522.530h
Single0.00.00.039.2164.590.700.2725.0919.1830.0157.3369.308.90
GradDrop1.212.6-7.540.2665.630.630.2426.3321.0826.4753.3866.053.94
PCGrad-0.019.7-8.339.0864.680.540.2126.4121.2926.1352.9965.723.89
MGDA-UB GradNorm2.523.2-8.139.3265.480.540.2126.4321.2226.1653.1666.073.85
P peegrttrIMTL-G1.121.4-7.739.0865.430.540.2126.4421.4226.1752.5965.523.84
1.721.2-6.940.1365.170.550.2126.2021.0626.6953.3966.043.96
Rotate Only3.320.5-6.639.6366.160.530.2126.1220.9326.8553.7666.503.82
Scale Only-0.320.0-7.938.8965.940.540.2226.4721.2426.2453.0465.813.87
RotoGrad1.824.0-6.139.3266.070.530.2126.0120.8027.1854.0266.533.83
(0I = 1) Vanilla-2.720.6-25.738.0564.390.540.2230.0226.1620.0243.4756.873.81
GradDrop-0.914.0-25.238.7964.360.590.2429.8025.8119.8844.0857.544.01
PCGrad-2.720.5-26.337.1563.440.550.2230.0626.1819.5843.5156.873.89
MGDA-UB-31.2-0.70.621.6051.600.770.2924.7418.9030.3257.9569.883.85
GradNorm-0.619.5-10.537.2263.610.540.2226.6821.6725.9552.1664.953.85
IMTL-G-0.317.6-7.538.3864.660.540.2226.3821.3526.5652.8465.693.99
Vanillat-0.916.8-25.037.1163.980.560.2229.9325.8920.3443.9257.393.46
GradDrop-0.115.7-27.037.5163.620.590.2330.1526.3319.3243.1556.593.55
WhmonePCGrad-0.520.0-24.638.5163.950.550.2229.7925.7720.6144.2257.643.51
MGDA-UB-32.2-8.21.520.7551.440.730.2824.7018.9230.5757.9569.993.52
GradNorm2.220.6-10.239.2964.800.530.2226.7721.8825.3951.7864.763.50
IMTL-G1.921.4 -6.739.9465.960.550.2126.2321.1426.7753.2566.223.61
", + "bbox": [ + 176, + 462, + 823, + 752 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 766, + 825, + 864 + ], + "page_idx": 23 + } +] \ No newline at end of file diff --git a/parse/dev/UKd6dpVGdu/UKd6dpVGdu.md b/parse/dev/UKd6dpVGdu/UKd6dpVGdu.md new file mode 100644 index 0000000000000000000000000000000000000000..62c259175901068d0ef48efe3907b858903676a0 --- /dev/null +++ b/parse/dev/UKd6dpVGdu/UKd6dpVGdu.md @@ -0,0 +1,347 @@ +# Learning to Tokenize for Generative Retrieval + +Weiwei $\mathbf { S u n } ^ { 1 }$ , Lingyong $\mathbf { Y a n } ^ { 2 }$ , Zheng Chen1, Shuaiqiang Wang2, Haichao $\mathbf { Z } \mathbf { h } \mathbf { u } ^ { 2 }$ +Pengjie Ren1, Zhumin Chen1, Dawei $\mathbf { Y i n } ^ { 2 }$ , Maarten de Rijke3, Zhaochun $\mathbf { R e n ^ { 4 * } }$ 1Shandong University, China 2Baidu Inc., China +3University of Amsterdam, The Netherlands 4Leiden University, The Netherlands {sunnweiwei,lingyongy}@gmail.com yindawei@acm.org m.derijke@uva.nl z.ren@liacs.leidenuniv.nl + +# Abstract + +As a new paradigm in information retrieval, generative retrieval directly generates a ranked list of document identifiers (docids) for a given query using generative language models (LMs). How to assign each document a unique docid (denoted as document tokenization) is a critical problem, because it determines whether the generative retrieval model can precisely retrieve any document by simply decoding its docid. Most existing methods adopt rule-based tokenization, which is ad-hoc and does not generalize well. In contrast, in this paper we propose a novel document tokenization learning method, GENRET, which learns to encode the complete document semantics into docids. GENRET learns to tokenize documents into short discrete representations (i.e., docids) via a discrete auto-encoding approach. We develop a progressive training scheme to capture the autoregressive nature of docids and diverse clustering techniques to stabilize the training process. Based on the semantic-embedded docids of any set of documents, the generative retrieval model can learn to generate the most relevant docid only according to the docids’ semantic relevance to the queries. We conduct experiments on the NQ320K, MS MARCO, and BEIR datasets. GENRET establishes the new state-of-the-art on the NQ320K dataset. Compared to generative retrieval baselines, GENRET can achieve significant improvements on unseen documents. Moreover, GENRET can also outperform comparable baselines on MS MARCO and BEIR, demonstrating the method’s generalizability. + +# 1 Introduction + +Document retrieval plays an essential role in web search applications and various downstream knowledge-intensive tasks by identifying relevant documents to satisfy users’ queries. Recently, generative retrieval has emerged as a new paradigm for document retrieval [1, 5, 37, 41, 46, 47] that directly generates a ranked list of document identifiers (docids) for a given query using generative language models (LMs). Unlike dense retrieval [9, 13, 23, 42], generative retrieval presents an end-to-end solution for document retrieval tasks [37]. It also offers a promising approach to better exploit the capabilities of recent large LMs [1, 41]. + +As shown in Figure 1, document tokenization aims to tokenize each document in the corpus as a sequence of discrete characters, i.e., docids. Document tokenization plays a crucial role in generative retrieval, as it defines how the document is distributed in the semantic space [37]. And it is still an open problem how to define docids. Most previous generative methods tend to employ rule-based document tokenizers, such as generating titles or URLs [5, 46], or clustering results from off-the-shelf document embeddings [37, 41]. Such rule-based methods are usually ad-hoc and do not generalize well. In particular, the tokenization results potentially perform well on retrieving documents that have been seen during training, but generalize poorly to unlabeled documents [17, 20]. + +![](images/9376e3d55387499e592d3ca31bec0c42c1ee6f3616750bc00aa088c2036a1417.jpg) +Figure 1: An overview of our proposed method. The proposed method utilizes a document tokenization model to convert a given document into a sequence of discrete tokens, referred to as a docid. This tokenization process allows for the reconstruction of the original document through a reconstruction model. Subsequently, an autoregressive generation model is employed to retrieve documents through the generation of their respective docids. + +To address the above problem, we propose GENRET, a document tokenization learning framework that learns to tokenize a document into semantic docids in a discrete auto-encoding scheme. GENRET consists of a shared sequence-to-sequence-based document tokenization model, a generative retrieval model, and a reconstruction model. In the proposed auto-encoding learning scheme, the tokenization model learns to convert documents to discrete docids, which are subsequently utilized by the reconstruction model to reconstruct the original document. The generative retrieval model is trained to generate docids in an autoregressive manner for a given query. The above three models are optimized in an end-to-end fashion to achieve seamless integration. + +There are usually two challenges when using auto-encoding to optimize a generative retrieval model: (i) docids with an autoregressive nature, and (ii) docids with diversity. To address the first challenge and also to stabilize the training of GENRET, we devise a progressive training scheme. This training scheme allows for a stable training of the model by fixing optimized prefix docids $z _ { < t }$ . To optimize the docids at each step, three proposed losses are utilized: (i) a reconstruction loss for predicting the document using the generated docid, (ii) a commitment loss for committing the docid and avoiding forgetting, and (iii) a retrieval loss for optimizing the retrieval performance end-to-end. To address the second challenge, we propose a parameter initialization strategy and a re-assignment of the docid based on a diverse clustering technique to increase the diversity of the generated docids. + +We conduct extensive experiments on three well-known document retrieval benchmark datasets, NQ320K [15, 37], MS MARCO [4, 46], and BEIR [38]. GENRET attains superior retrieval performance against state-of-the-art generative retrieval models on NQ320K. GENRET achieves $+ 1 4 \%$ relative improvements on the unseen test set of NQ320K over the best generative retrieval baseline. Experiments on MS MARCO and six BEIR datasets also show that GENRET outperforms existing generative methods and achieves competitive results compared to popular dense retrieval models. Experiments on retrieving new documents, analytical experiments, and an efficiency analysis confirm the effectiveness of the proposed model. + +We summarize our contributions as follows: (i) We propose GENRET, a generative retrieval model that represents documents as discrete semantic docids. To the best of our knowledge, this is the first tokenization learning method for document retrieval. (ii) We propose an auto-encoding approach, where the docids generated by our tokenization model are reconstructed by a reconstruction model to ensure the docids capture the semantic information of the document. (iii) We devise a progressive training scheme to model the autoregressive nature of docids and stabilize the training process. (iv) Experimental results demonstrate that GENRET achieves significant improvements, especially on unseen documents, over generative retrieval baselines.2 + +# 2 Preliminaries + +The document retrieval task can be formalized as the process of retrieving a relevant document $d$ for a search query $q$ from a collection of documents $\mathcal { D }$ . Each document $d \in \mathcal { D }$ is assumed to be a plain text consisting of a sequence of tokens, denoted as $d = \{ d _ { 1 } , \dotsc , d _ { | d | } \}$ , where $| d |$ is the total number of tokens in the document. For generative retrieval models, it is usually challenging and computationally inefficient to directly generate original documents of typically long length. Therefore, most existing approaches rely on a technique named document tokenization, which represents a document $\bar { d } \bar { = } \{ d _ { 1 } , \ldots , \bar { d _ { | d | } } \}$ as a shorter sequence of discrete tokens (docid) $z = \{ z _ { 1 } , \ldots , z _ { t } , \ldots , z _ { M } \}$ , where each token $z _ { t }$ is as a $K$ -way categorical variable, with $z _ { t } \in [ 1 , 2 , \ldots , K ]$ , and $M$ is the length of the docid. See Figure 1 for an example of document tokenization with $M = 3$ and $K = 6 4$ . + +As an alternative sequence of the original document, the tokenized docid $z$ should satisfy the following two properties: (i) different documents have short but different docids; and (ii) docids capture the semantics of their associated documents as much as possible [37]. Because $z$ is a sequence of a fixed length and usually shorter than the original document $d$ , the model’s training and inference can be simplified and more efficient. This paper employs a tokenization model $Q \colon d z$ to map $d$ to docid $z$ . More details about $Q$ are provided in Section 3.1. After tokenizing each document to docid $z$ , a generative retrieval model $P \colon q z$ learns to retrieve relevant documents by generating a query $q$ to a docid $z$ autoregressively [37]. + +# 3 Method + +Conventionally, document tokenization is done by a fixed pre-processing step, such as using the title of a document or the results of hierarchical clustering obtained from BERT [5, 37]. However, it has been observed that such ad-hoc document tokenization methods often fail to capture the complete semantics of a document. For example, the title of a web page often does not exist or has low relevance to the content of the web page, and the use of clustering-based docids arbitrarily defines the document in discrete space. + +In this paper, we propose GENRET, a novel tokenization learning method based on discrete autoencoding, to learn semantic docid in a fully end-to-end manner. Figure 1 gives an overview of the proposed method. The proposed GENRET comprises three main components: (i) a sequence-tosequence based retrieval model $P ( z \mid q )$ , (ii) a document tokenization model $Q ( z \mid d )$ , and (iii) a reconstruction model $R ( d \mid z )$ . The document tokenization model tokenizes a document $d$ into unique discrete variables $z$ , and the retrieval model is trained to generate the latent variables $z$ for a given query $q$ . In addition, the reconstruction model is used to re-generate the original document from $z$ to ensure $z$ captures the semantics of the original document as much as possible. + +# 3.1 Model architecture + +Following DSI [37], we employ an encoder-decoder Transformer to implement the generative retrieval model. Specifically, given an input text $d ^ { 3 }$ , the T5-based tokenization model encodes $d$ and a prefix of docid $z _ { < t }$ and continuously produces latent representation $\mathbf { d } _ { t }$ of $d$ at time step $t$ : + +$$ +\mathbf { d } _ { t } = { \mathrm { D e c o d e r } } ( { \mathrm { E n c o d e r } } ( d ) , z _ { < t } ) \in \mathbb { R } ^ { D } , +$$ + +where $D$ denotes the hidden size of the model. Encoder $( d )$ denotes the output of the Encoder. + +Then, the tokenization model generates a token for each document based on $\mathbf { d } _ { t }$ . At each timestep $t$ we define an external embedding matrix named codebook $\mathbf { E } _ { t } \in \mathbb { R } ^ { K \times D }$ , where $K$ is the size of the discrete latent space. There are $K$ embedding vectors $\mathbf { e } _ { t , j } \in \mathbb { R } ^ { D } , j \in [ K ]$ , and each vector $\mathbf { e } _ { t , j }$ can be regarded as the centroid of a segmentation. + +Based on the codebook $\mathbf { E } _ { t }$ , the discrete latent variable $z _ { t }$ at timestep $t$ is calculated by a dot-product look-up using the codebook $\mathbf { E } _ { t }$ : + +$$ +Q ( z _ { t } = j \mid z _ { < t } , d ) = \operatorname { S o f t m a x } _ { j } ( \mathbf { d } _ { t } \cdot \mathbf { E } _ { t } ^ { \top } ) , +$$ + +where $Q ( z _ { t } = j \mid z _ { < t } , d )$ denotes the probability of tokenizing $d$ to a particular value $j \in [ K ]$ at timestep $t$ , $\operatorname { S o f t m a x } _ { j }$ is a softmax function to output the probability of axis $j$ . + +Document reconstruction model. The docid generated by the tokenization model $Q$ is required to capture the semantic information of the document. To this end, we propose an auto-encoding training scheme, where a reconstruction model $R \colon z \to d$ that predicts $d$ using $z$ is designed to force the tokenization model $Q \colon d z$ to reproduce a docid $z$ that can be reconstructed back-to-the original document. + +The input of the reconstruction model is docid $z$ , and the output is its associated document $d$ . We first embed $z$ into representation matrix $\mathbf { z } = \{ \mathbf { z } _ { 1 } , \hdots , \mathbf { z } _ { M } \} \stackrel { * } { \in } \mathbb { R } ^ { M \times D }$ using the codebook of the tokenization model: + +$$ +\mathbf { z } = \{ \mathbf { e } _ { 1 , z _ { 1 } } , \mathbf { e } _ { 2 , z _ { 2 } } , \ldots , \mathbf { e } _ { M , z _ { M } } \} \in \mathbb { R } ^ { M \times D } , +$$ + +where each $t \in [ M ] , \mathbf { z } _ { t } = \mathbf { e } _ { t , z _ { t } } \in \mathbb { R } ^ { D }$ is the embedding vector of $z _ { t }$ in the $t { \cdot }$ -step codebook $\mathbf { E } _ { t }$ + +We then devise a retrieval-based reconstruction model that predicts the target document $d$ by retrieving it from document collection $\mathcal { D }$ , based on the inputs $\mathbf { z }$ . The relevance score between the input docid $z$ and the target document $d$ is defined as follows: + +$$ +R ( d \mid \mathbf { z } ) = \prod _ { t = 1 } ^ { M } \frac { \exp ( \mathbf { z } _ { t } \cdot \mathbf { s g } ( \mathbf { d } _ { t } ^ { \top } ) ) } { \sum _ { d ^ { * } \in S ( z _ { < t } ) } \exp ( \mathbf { z } _ { t } \cdot \mathbf { s g } ( \mathbf { d } ^ { * } { } _ { t } ^ { \top } ) ) } , +$$ + +where $S ( z _ { < t } )$ is a sub-collection of $\mathcal { D }$ consisting of documents that have a docid prefix that is the same as $z _ { < t }$ . $d ^ { * } \in S ( z _ { < t } )$ represents a document from the sub-collection $S ( z _ { < t } )$ . $\mathbf { d } _ { t }$ and $\mathbf { d } ^ { * } { } _ { t }$ are continuous representations of documents $d$ and $d ^ { * }$ , respectively, as defined in Eq. 1. The operator $\operatorname { s g } ( \cdot )$ is the stop gradient operator to prevent gradient back propagation. Intuitively, $R ( d { \bar { \mathbf { \theta } } } | { \mathbf { \theta } } \mathbf { z } )$ is designed to retrieve a specific document $d$ from a set of documents $S ( z _ { < t } )$ at each timestep $t$ . The set $S ( z _ { < t } )$ only includes those documents that are assigned the same docid prefix $z _ { < t }$ as the target document $d$ . By utilizing this loss function, at each step $t$ , the model is facilitated to learn the residual semantics of the documents not captured by the previous docid $z _ { < t }$ . + +# 3.2 Model optimization + +For the document tokenization model $Q ( z \mid d )$ , generative retrieval model $P ( z \mid q )$ , and reconstruction model $R ( d \mid z )$ , jointly optimizing these three models using auto-encoding is challenging due to the following reasons: (i) Learning docids in an autoregressive fashion. On one hand, the prediction of the $z _ { t }$ at time $t$ relies on previously predicted docids $z _ { < t }$ , which is often under-optimized at the beginning and rapidly changes during training, making it difficult to reach convergence. On the other hand, simultaneously optimizing $z$ makes it challenging to guarantee a unique docid assignment. Hence, to stabilize the training of GENRET, we devise a progressive training scheme (see Section 3.2.1). (ii) Generating docids with diversity. Optimizing the model using auto-encoding often leads to unbalanced docid assignment: a few major docids are assigned to a large number of documents and most other docids are rarely assigned. Such a sub-optimal distribution of docids affects the model distinguishability, which in turns triggers length increments of docids in order to distinguish conflicting documents. We introduce two diverse clustering techniques to ensure docid diversity (see Section 3.2.2). + +# 3.2.1 Progressive training scheme + +To optimize each of the three models listed above in an autoregressive manner, we propose a progressive autoencoding learning scheme, as illustrated in Figure 2. The whole learning scheme contains $M$ learning steps with respect to the final docid in $M$ -token. And the docid $z _ { T }$ at step $T \in [ M ]$ is learned and optimized at the corresponding learning step. Besides, at each step $T \in [ M ]$ the docid $z _ { T }$ and the model parameters associated with $z _ { T }$ generation are updated, while previously produced docids $z _ { < T }$ and other parameters are kept fixed. By progressively performing the above process, we can finally optimize and learn our models. + +![](images/a29a4818c2d798660c4bfa1140e60b39233a1da46f602255acd9078fcf835ed5.jpg) +Figure 2: Progressive training scheme. $z _ { t }$ (docid at timestep $t$ ) is optimized at the $t$ -th training step, while $z _ { < t }$ (docids before timestep $t$ ) are kept fixed. + +At each optimization step, say the $T$ -step, we devise the learning objective for document tokenization consisting of three loss functions detailed below. + +Reconstruction loss. We utilize the reconstruction model $R ( d \mid z )$ as an auxiliary model to learn to optimize the docid generation, whose main goal is capturing as much semantics in the docid as possible. Therefore, we define a reconstruction loss function of step $T$ as follows: + +$$ +\begin{array} { r l r } { \mathcal { L } _ { \mathrm { R e c } } = - \log R ( d \mid \hat { \mathbf { z } } _ { \le T } ) , } & { \mathrm { w h e r e ~ } \hat { \mathbf { z } } _ { \le T } = \left\{ \mathrm { s g } ( \mathbf { z } _ { 1 } ) , \dots , \mathrm { s g } ( \mathbf { z } _ { T - 1 } ) , \mathbf { z } _ { T } \right\} } & { \in \mathbb { R } ^ { T \times D } } \\ { \forall t \in [ T ] : \mathbf { z } _ { t } = \mathbf { e } _ { t , j ^ { * } } \in \mathbb { R } ^ { D } , } & { \mathrm { w h e r e ~ } j ^ { * } = \arg \operatorname* { m a x } Q ( z _ { t } = j \mid z _ { < t } , d ) , } \end{array} +$$ + +where $\scriptstyle { \hat { \mathbf { z } } } < { T }$ is the first $T$ representations of the $z$ , and only the variable $\mathbf { z } _ { T }$ is optimized in step $T$ $Q ( z _ { t } = \bar { j } \mid z _ { < t } , d )$ is defined in Eq. 2. And the document tokenization model $Q$ can therefore be optimized when minimizing $\mathcal { L } _ { \mathrm { R e c } }$ . + +Of note, since the computation involves a non-differentiable operation $( \mathrm { a r g } \operatorname* { m a x } ( \cdot ) )$ , we apply straight-through gradient estimation to back-propagate the gradient from reconstruction loss to ${ \bf d } _ { T }$ following [39, 44], which copies the gradient of $\mathbf { z } _ { T }$ directly to ${ \bf d } _ { T }$ . Specifically, the gradients to document representation ${ \bf d } _ { T }$ are defined as $\begin{array} { r } { \frac { \partial \mathcal { L } _ { \mathrm { R e c } } } { \partial { \bf d } _ { T } } : = \frac { \partial \mathcal { L } _ { \mathrm { R e c } } } { \partial { \bf z } _ { T } } } \end{array}$ And the gradients to the codebook embedding $\mathbf { e } _ { T , j }$ are defined as $\begin{array} { r } { \frac { \partial \mathcal { L } _ { \mathrm { R e c } } } { \partial \mathbf { e } _ { T , j } } : = 1 _ { z _ { T } = j } \frac { \partial \dot { \mathcal { L } } _ { \mathrm { R e c } } } { \partial \mathbf { z } _ { T } } } \end{array}$ + +Commitment loss. In addition, to make sure the predicted docid commits to an embedding and to avoid models forgetting previous docid $z _ { < t }$ , we add a commitment loss as follows: + +$$ +\mathcal { L } _ { \mathrm { C o m } } = - \sum _ { t = 1 } ^ { T } \log Q ( z _ { t } \mid z _ { < t } , d ) . +$$ + +Retrieval loss. For the generative retrieval model $P$ , we jointly learn it together with the document tokenization model $Q$ , where $P$ learns to generate the docids of relevant documents $d$ given a query $q$ Specifically, suppose $( q , d )$ are a query and relevant document pair; we define the learning objective of retrieval model $P$ as: + +$$ +\mathcal { L } _ { \mathrm { R e t } } = - \log \frac { \exp ( \mathbf { q } _ { T } \cdot \mathbf { d } _ { T } ) } { \sum _ { d ^ { * } \sim B } \exp ( \mathbf { q } _ { T } \cdot \mathbf { d } ^ { * } _ { T } ) } - \sum _ { t = 1 } ^ { T } \log P ( z _ { t } \mid z _ { < t } , q ) , +$$ + +where the first term is a ranking-oriented loss enhancing the model using $( q , d )$ pair; $d ^ { * }$ is an in-batch document sampled from the same training mini-batch $B$ ; $\mathbf { q } _ { T }$ and ${ \bf d } _ { T }$ denote the representation of $q$ and $d$ at timestep $T$ . The second term is the cross-entropy loss for generating docid $z$ based on $q$ . + +The final loss we use at step- $\mathcal { T }$ is the sum of reconstruction loss, commitment loss, and retrieval loss: + +$$ +\begin{array} { r } { \mathcal { L } = \mathcal { L } _ { \mathrm { R e c } } + \mathcal { L } _ { \mathrm { C o m } } + \mathcal { L } _ { \mathrm { R e t } } . } \end{array} +$$ + +# 3.2.2 Diverse clustering techniques + +To ensure diversity of generated docids, we adopt two diverse clustering techniques–codebook initialization and docid re-assignment at each progressive training step, where codebook initialization mainly aims to increase the balance of semantic space segmentation, and the docid re-assignment mainly aims to increase the balance of docid assignments. + +Codebook initialization. In order to initialize the codebook for our model, we first warm-up the model by passing the continuous representation ${ \bf d } _ { T }$ to the reconstruction model instead of the docid representation $\mathbf { z } _ { T }$ as defined in Eq. 3. During this warm-up phase, we optimize the model using the reconstruction loss $\mathcal { L } _ { \mathrm { R e c } }$ and commitment loss ${ \mathcal { L } } _ { \mathrm { C o m } }$ . Next, we collect the continuous representations ${ \bf d } _ { T }$ of all documents in $\mathcal { D }$ , and cluster them into $K$ groups. The centroids of these clusters are then used as the initialized codebook $\mathbf { E } _ { T }$ . To balance the initialized docid distribution, we utilize a diverse constrained clustering algorithm, Constrained $K \cdot$ -Means, which first normalizes the embeddings of each prefix group, and modifies the cluster assignment step (E in EM) by formulating it as a minimum cost flow (MCF) linear network optimization problem [2]. + +Docid re-assignment. In order to assign docids to a batch of documents, we modify the dot-product look-up results in Eq. 2 by ensuring that the docid for different documents in the batch are distinct following the method described in [6, 44]. Specifically, let $\mathbf { D } _ { t } = \{ \mathbf { d } _ { t } ^ { ( 1 ) } , \dots , \mathbf { d } _ { t } ^ { ( B ) } \} \in \mathbb { R } ^ { B \times D }$ denote the continuous representation of a batch of documents with batch size of $B$ . The dot-product results are represented by $\mathbf { H } = \mathbf { D } _ { t } \cdot \mathbf { E } _ { t } ^ { \top } \in \mathbb { R } ^ { B \times K }$ . To obtain distinct docids, we calculate an alternative $\begin{array} { r } { \mathbf { H } ^ { * } = \mathrm { D i a g } ( \mathbf { u } ) \exp ( \frac { \mathbf { H } } { \epsilon } ) \mathrm { D i a g } ( \mathbf { v } ) } \end{array}$ , where $\mathbf { u }$ and $\mathbf { v }$ are re-normalization vectors in $\mathbb { R } ^ { K }$ and $\mathbb { R } ^ { B }$ , respectively. The re-normalization vectors are computed via the iterative Sinkhorn-Knopp algorithm [8]. Finally, $\mathbf { H } ^ { * }$ is used instead of $\mathbf { H }$ in the Softmax and arg max (Eq. 2) operations to obtain the docid $z _ { t }$ . + +# 4 Experimental Setup + +# 4.1 Datasets and evalutaion metrics + +We conduct experiments on three well-known document retrieval datasets: NQ320K [15], MS MARCO [4], and BEIR [38]. We divide the test set of NQ320K into seen test and unseen test, based on whether the target documents of the query have annotated queries in the training data, to test the generalization ability of the model on unlabeled documents. More details about data pre-processing and data statistics are listed in the Appendix A. + +On NQ320K, we use Recall $\ @ \left\{ 1 , 1 0 , 1 0 0 \right\}$ and Mean Reciprocal Rank (MRR) $@ 1 0 0$ as evaluation metrics, following [41]. On MS MARCO, we use Recall $ @ \{ 1 , 1 0 , 1 0 0 \}$ and MRR $@ 1 0$ as evaluation metrics, following [46]. On BEIR, we use nDCG $@ 1 0$ as the main metrics and calculate the average nDCG $@ 1 0$ values across multiple downstream sub-datasets as overall metrics. + +# 4.2 Baselines + +We consider three types of baselines: sparse retrieval methods, dense retrieval methods, and generative retrieval methods. The sparse retrieval baselines are: BM25 [32] and DocT5Query [24]. The dense retrieval baselines are: DPR [13], ANCE [42], Sentence-T5 [22], GTR [23], and Contriever [11]. The generative retrieval baselines are: GENRE [5], DSI [37], SEAL [1], CGR-Contra [17], DSIQG [47], NCI [41], and Ultron [46]. The following three baselines use the same pre-trained LM T5 as GENRET: (i) Sentence-T5 outputs continuous vectors, (ii) GENRE outputs document titles, and (iii) DSI-QG outputs clustering IDs, while GENRET outputs docids learned using the proposed tokenization method. See Appendix B for more details on the other baselines. + +# 4.3 Implementation details + +Hyper-parameters. In our experiments, we utilize the T5-Base model [27] as the base Transformer and initialize a new codebook embedding $\mathbf { E } _ { t }$ for each time step. The parameters of both the encoderdecoder and codebook are shared between the tokenization model and the retrieval model. We set the number of clusters to be $K = 5 1 2$ for all datasets, with the length of the docid $M$ being dependent on the number of documents present. For datasets containing a larger number of candidate documents, a larger value of $M$ is set to ensure that all documents are assigned unique document ids. In the docid re-assignment, the hyper-parameter $\epsilon$ is set to 1.0, and the Sinkhorn-Knopp algorithm is executed for 100 iterations. + +Indexing with query generation. Following previous work [47, 41, 40], we use query generation models to generate synthetic (query, document) pairs for data augmentation. Specifically, we use the pre-trained query generation model from DocT5Query [24] to augment the NQ and MS MARCO datasets. In query generation, we use nucleus sampling with parameters $p = 0 . 8 , t = 0 . 8$ and generate five queries for each document in the collection. For the BEIR datasets, we use the queries generated by GPL [40]. GPL uses a DocT5Query [24] generator trained on MS MARCO to generate about 250K queries for each BEIR dataset. Note that the query generator used for BEIR is purely trained on MS MARCO (without using any training data of BEIR) and thus conforms to the zero-shot setting of BEIR [38, 40]. + +Training and inference. The proposed models and the reproduced baselines are implemented with PyTorch 1.7.1 and HuggingFace transformers 4.22.2. We optimize the model using AdamW and set the learning rate to $5 e - 4$ . The batch size is 256, and the model is optimized for up to $5 0 0 \mathrm { k }$ steps for each timestep. During training, we pre-gather documents which share the same docid prefix into a batch. Therefore, the reassignment strategy is applied to a batch, where we aim to have documents with as diverse IDs as possible. We add a factor of 0.1 to the reconstruction losses to balance the scale. In progressive training, we first warm up the model for 5K steps and then initialize the codebook using the clustering centroids as mentioned in Section 3.2.1. We use constrained clustering4 to obtain diverse clustering results. During inference, we use beam search with constrained decoding [5] and a beam size of 100. + +Table 1: Results on Natural Questions (NQ320K). The results of the methods marked with † are from our own re-implementation, others are from their official implementation. \* and $^ { * * }$ indicate significant improvements over previous-best generative retrieval baselines with $\mathsf { p }$ -value $< 0 . 0 5$ and p-value $< 0 . 0 1$ , respectively. $\natural$ and $\sharp$ indicate significant improvements over previous-best dense retrieval baselines with $\boldsymbol { \mathrm { p } }$ -value $< 0 . 0 5$ and $\mathsf { p }$ -value $< 0 . 0 1$ , respectively. The best results for each metric are indicated in boldface. + +
Full testSeen testUnseen test
MethodR@1 R@10 R@100MRR R@1 R@10 R@100 MRR R@1 R@10 R@100 MRR
Sparse retrieval
BM25[32]29.760.382.140.229.159.882.439.532.361.981.242.7
DocT5Query [24]38.069.386.148.935.168.386.446.748.572.985.057.0
Dense retrieval
DPR[13]50.277.790.959.950.278.791.660.250.074.288.758.8
ANCE [42]50.278.591.460.249.779.292.360.152.075.988.060.5
Sentence-T5† [22]53.683.093.864.153.483.994.763.856.579.590.764.9
GTR-Base [23]56.084.493.766.254.484.794.265.361.983.292.169.6
Generative retrieval
GENRE† [5]55.267.375.459.969.583.790.475.06.010.423.47.8
DSI+ [37]55.267.478.059.669.783.690.574.71.37.231.53.5
SEAL [1]59.981.290.967.71---1---
CGR-Contra [17]63.481.1--11------
DSI-QG+ [47]63.180.788.069.568.085.091.474.345.965.876.352.8
NCI [41]66.485.792.473.669.888.594.676.854.575.984.862.4
Ours68.1*88.8*日95.2*75.9*70.2#90.3#96.077.7#62.5**83.6**92.5**70.4*
+ +# 5 Experimental results + +# 5.1 Main results + +Results on NQ320K. In Table 1, we list the results on NQ320K. GENRET outperforms both the strong pre-trained dense retrieval model, GTR, and the previous best generative retrieval method, NCI, thereby establishing a new state-of-the-art on the NQ320K dataset. Furthermore, our results reveal that existing generative retrieval methods perform well on the seen test but lag behind dense retrieval methods on the unseen test. For example, NCI obtains an MRR $@ 1 0 0$ of 76.8 on the seen test, which is higher than the MRR $@ 1 0 0$ of 65.3 obtained by GTR-Base. However, on unseen test data, NCI performs worse than GTR-Base. In contrast, GENRET performs well on both seen and unseen test data. This result highlights the ability of GENRET to combine the advantages of both dense and generative retrieval by learning discrete docids with semantics through end-to-end optimization. + +Results on MS MARCO. Table 2 presents the results on the MS MARCO dataset. GENRET outperforms generative retrieval methods such as Ultron and dense retrieval baselines such as ANCE and Sentence-T5. Furthermore, previous generative retrieval methods (e.g., GENRE, Ultron) utilizing metadata such as the title and URL, while exhibiting decent performance on the NQ320K dataset, underperform in comparison to dense retrieval and sparse retrieval methods on the MS MARCO dataset. This may be because the NQ320K dataset retrieves Wikipedia documents, where metadata like the title effectively capture the semantics of the document. In the case of the MS MARCO dataset, which is a web search dataset, the metadata often does not adequately characterize the documents, resulting in a decline in performance of the generative retrieval model. In contrast, GENRET learns to generate semantic docids that effectively enhance the generative retrieval model. + +Results on BEIR. Table 3 lists the results of the baselines and GENRET on six datasets of BEIR. These datasets represent a diverse range of information retrieval scenarios. On average, GENRET outperforms strong baselines including BM25 and ST5 GPL, and achieves competitive results compared to previous-best sparse and dense retrieval methods. Additionally, GENRET demonstrates a significant improvement over the previous generative retrieval model GENRE that utilizes titles as docids. Furthermore, GENRE performs poorly on some datasets, such as BEIR-Covid and BEIRSciDocs. This may be because the titles of the documents in these datasets do not adequately capture their semantic content. + +Table 2: Results on MS MARCO. The results of the methods marked with † are from our own re-implementation, other results are cited from the original paper or implemented using official code. The best results are indicated in boldface. + +
Method R@1 R@10 R@100 MRR
Sparse retrieval BM25 [32] 39.1 69.1 86.2 48.6
DocT5Query [24] 46.7 76.5 90.4 56.2
Dense retrieval ANCE [42] 45.6 75.7 89.6 55.6
Sentence-T5t [22] 41.8 75.4 91.2 52.8
Generative retrieval
GENRE+ [5] 35.6 57.6 79.1 42.3 40.0
Ultron-URL [46] 29.6 67.8 -
Ultron-PQ [46] 31.6 73.1 45.4 -
Ultron-Atomic [46] 32.8 74.1 46.9 =
Ours 47.9 79.8 91.6 58.1
+ +Table 3: nDCG $@ 1 0$ results on BEIR. The results of the methods marked with † are from our own re-implementation, other results are cited from the original paper or implemented using official code. ST5 GPL denotes Sentence-T5 trained on GPL datasets [40]. + +
MethodArg Covid NFC SciF. SciD.FiQA Avg.
Sparse retrieval BM25 [32]29.1 58.9 33.5 67.4 14.8 23.6 37.8
DocT5Query [24]34.9 71.3 32.8 67.5 16.2 29.1 41.9 Dense retrieval
ST5 GPL+ [22] 32.1 74.4 30.1 58.6 12.7 26.0 39.0 Contriever [11] 40.0 68.8 33.5 61.4 16.3 30.7 41.8
Generative retrieval
GENRE† [47]
42.514.7 20.0 42.36.8 11.6 30.0
Ours34.3 71.8 31.6 63.9 14.9 30.2 41.1
+ +# 5.2 Analytical experiments + +We further conduct analytical experiments to study the effectiveness of the proposed method. + +In Figure 3 (left), we plot the frequencies of docids at the first timestep of various learning methods. We label each method using a box with a docid and a diversity metric $d$ , which is calculated by: $\begin{array} { r } { d = 1 - \frac { 1 } { 2 n } \sum _ { j = 1 } ^ { K } | n _ { j } - n _ { u } | } \end{array}$ , where $\left| \cdot \right|$ represents the absolute value, $n$ denotes the total number of documents, $n _ { j }$ denotes the number of documents that have a docid $= j$ , and $\begin{array} { r } { n _ { u } = \frac { n } { K } } \end{array}$ is the expected number of documents per docid under the uniform distribution. + +The results demonstrate the superiority of GENRET (represented by the yellow line) in terms of distribution uniformity. It uses all the potential docid $k = 5 1 2$ and achieves the highest diversity metric with a value of $d = 0 . 9 0$ . The method without docid reassignment also yields a relatively balanced distribution, with a diversity metric of $d = 0 . 7 7$ . However, the distribution of the method without diverse codebook initialization is highly uneven, which could be due to the fact that most of the randomly initialized codebook embeddings are not selected by the model during the initial training phase, leading to a lack of update and further selection in subsequent training. Additionally, the models without diverse clustering tend to converge to a trivial solution where all documents are assigned the same docid. + +In Figure 3 (right), the results of two ablated variants are presented. First, GENRET w/o learning is a generative model that has been trained directly using the final output docid from GENRET, without utilizing the proposed learning scheme. Its retrieval performance is comparable to that of GENRET on seen test data; however, it is significantly lower on unseen test data. This variant demonstrates that the generative retrieval model jointly trained with auto-encoding objectives can represent documents more sensibly based on semantics. This could enhance performance on the less-optimized documents. Contrarily, the parameters obtained via cross-entropy loss on docid generation tasks are less effective in conveying the semantic information of documents. Secondly, GENRET w/ T5-Small uses a small model, and its performance is inferior to that of GENRET using T5-Base. However, the gap between the performance on seen and unseen test data is smaller, which could be attributed to the limited fitting capacity of the small model. + +In Appendix C, we evaluate the proposed model’s capacity to retrieve new documents and find that it performs well in adapting to new documents compared to existing document tokenization approaches. Additionally, in Appendix D, we analyze the efficiency of various retrieval models in comparison to the various baselines in terms of memory usage, offline, and online latency, and show the advantages of the proposed model. + +![](images/8d43b60d1d641a27c2dc33c3ddce1775bab85babe1d7de668aae761986bb9b0a.jpg) +Figure 3: Left: Docid distribution on NQ320K. The id are sorted by the assigned frequency. Right: Ablation study on NQ320K. + +# 5.3 Qualitative analysis + +Figure 4 (left) illustrates the document content (title) and the corresponding docid generated by GENRET on the NQ320K dataset. We observe that documents with more similar docids tend to have more relevant content. For example, documents with docids starting with 338-173 are related to Email, such as Email marketing, Mail merge, and Email address, while documents with docids starting with 338 relate to information exchange methods (e.g., Business letter, US Postal Service, and Postage stamps), representing a more generalized semantics than Email alone. + +Figure 4 (right) illustrates a word cloud of documents grouped by docid prefixes. It is evident that documents within the same group are semantically related. For example, major words for documents with the docid prefix 338 are mail and stamp. When a second-level docid 173 is added, the corresponding documents become more specifically related to email. With the addition of a third-level docid 1, the document group becomes specifically associated with email marketing (docid: 338-173-1). Similar patterns can be observed in the other three cases. The case study shows that there is a hierarchical semantic structure within the learned docids. + +Figure 5 in Appendix E visualizes the codebook embedding and document embedding. We see that the codebook embedding appears to distribute uniformly within the document representation space, producing meaningful clusters when documents are categorized by docids. We also find that the uniformity of the embedding distribution decreases with increasing docid-length. This may be due to the fact that uniform segmentation is more challenging as the semantic granularity becomes finer. + +![](images/31a018db51d7a4c69de694908e3660a85aa65391c0870460ed5899119292e225.jpg) +Figure 4: Left: Document titles along with their corresponding docids. It is observed that documents with similar docids tend to have more relevant content. Right: Word cloud representing documents grouped by docid prefixes. This illustrates that different positions of the docid correspond to different levels of information, and the semantics within each cluster are closely related. + +# 6 Related work + +Sparse and dense retrieval. Traditional sparse retrieval calculates the document score using term matching metrics such as TF-IDF [31], query likelihood [16], or BM25 [32]. Sparse retrieval is widely used in practice due to its efficiency, but often suffers from the lexical mismatches [18]. Dense retrieval (DR) addresses this by presenting queries and documents in dense vectors and calculating their similarities with the inner product or cosine similarity [13]. Various techniques have been proposed to improve DR models, such as hard negative mining [42, 26], late interaction [14, 34], knowledge distillation [10, 19], and pre-training [30, 23, 11]. Despite their success, DR approaches have several limitations [5, 21]: (i) DR models employ an index-retrieval pipeline with a fixed search procedure (MIPS), making it difficult to optimize the model end-to-end [37, 41]. (ii) Training DR models relies on contrastive learning [13] to distinguish positives from negatives, which is inconsistent with large LMs training objectives [3] and fails to fully utilize the capabilities of pretrained LMs [1, 35]. + +Generative retrieval. Generative retrieval is gaining attention. It retrieves documents by generating their docid using a generative model like T5. Generative retrieval presents an end-to-end solution for document retrieval tasks [37, 21] and allows for better exploitation of the capabilities of large generative LMs [1]. Cao et al. [5] first propose an autoregressive entity retrieval model to retrieve documents by generating titles. Tay et al. [37] propose a differentiable search index (DSI) and represent the document as atomic id, naive string, or semantic string. Bevilacqua et al. [1] suggest using arbitrary spans of a document as docids. Additionally, multiple-stage pre-training [7, 46], query generation [41, 47, 46], contextualized embedding [17], and continual learning [20], have been explored in recent studies. Recently, Tang et al. [36] introduce a query-based docid and the rehearsal-based document indexing to improve DSI. However, existing generative retrieval models have a limitation in that they rely on fixed document tokenization to produce docids, which often fails to capture the semantic information of a document [37]. It is an open question how one should define the docids. To further capture document semantics in the docid, we propose document tokenization learning methods. The semantic docid is generated by the proposed discrete auto-encoding learning scheme in an end-to-end manner. Concurrently, Rajput et al. [28] propose a RQ-VAE module to produce semantic docids for generative recommender systems. As a comparison, our proposed method jointly models the tokenization and retrieval tasks with shared parameters to better align the model’s representation of the two tasks and are optimized in an end-to-end manner. + +Discrete representation learning. Learning discrete representations using neural networks is an important research area in machine learning. For images, Rolfe [33] proposes the discrete variational autoencoder, and VQ-VAE [39] learns quantized representations via vector quantization. DallE [29] uses an autoregressive model to generate discrete image representation for text-to-image generation. Recently, representation learning has attracted considerable attention in NLP tasks, for tasks such as machine translation [48], dialogue generation [45], and text classification [12, 43]. For document retrieval, RepCONC [44] uses a discrete representation learning method based on constrained clustering for vector compression. We propose a document tokenization learning method for generative retrieval, which captures the autoregressive nature of docids by progressive training and enhances the diversity of docids by diverse clustering techniques. + +# 7 Conclusions + +This paper has proposed a document tokenization learning method for generative retrieval, named GENRET. The proposed method learns to tokenize documents into short discrete representations (i.e., docids) via a discrete auto-encoding approach, which ensures the semantics of the generated docids. A progressive training method and two diverse clustering techniques have been proposed to enhance the model’s training. Empirical results on various document retrieval datasets have demonstrated the effectiveness of the proposed method. Especially, GENRET achieves outperformance on unseen documents and can be well generalized to multiple retrieval tasks. + +The limitations of this work include experiments only on moderately sized datasets like NQ320K. The employed data are in sufficient quantity to validate the effectiveness of the proposed method, but application to larger-scale data may require more model parameters and computational resources. Another aspect for improvement is the generalization of the model to unoptimized document collections in different types or domains, as compared to continuous embedding approaches. We recognize this as an important research question for generative retrieval but believe that addressing this is beyond the scope of this paper. In future work, we would like to extend the approach to large document collections. We also plan to explore generative pre-training for document tokenization using large-scale language models. Additionally, we intend to investigate the dynamic adaptation of docid prefixes for progressive training. + +# Acknowledgements + +This work was supported by the Natural Science Foundation of China (62272274, 61972234, 62072279, 62102234, 62202271), the Natural Science Foundation of Shandong Province (ZR2021QF129, ZR2022QF004), the Key Scientific and Technological Innovation Program of Shandong Province (2019JZZY010129), the Fundamental Research Funds of Shandong University, the China Scholarship Council under grant nr. 202206220085, the Hybrid Intelligence Center, a 10-year program funded by the Dutch Ministry of Education, Culture and Science through the Netherlands Organisation for Scientific Research, https://hybrid-intelligence-centre.nl, and project LESSEN with project number NWA.1389.20.183 of the research program NWA ORC 2020/21, which is (partly) financed by the Dutch Research Council (NWO). 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Bridging the gap between indexing and retrieval for differentiable search index with query generation. ArXiv, abs/2206.10128, 2022. +[48] Łukasz Kaiser, Aurko Roy, Ashish Vaswani, Niki Parmar, Samy Bengio, Jakob Uszkoreit, and Noam M. Shazeer. Fast decoding in sequence models using discrete latent variables. In ICML 2018, 2018. + +# A Datasets details + +Table 4: Statistics of datasets used in our experiments. The three values split by / on # Test queries denote the number of queries in the full, seen subset, and unseen subset, respectively. In BEIR, all queries in the test set are unseen. + +
Dataset#Docs# Test queries# Train pairs
NQ320K MS MARCO323,569 5,187 /109,739 7,830 / 6,075 /1,755 807 /4,380307,373 366,235
1,406
BEIR-Arg BEIR-Covid8,67450
BEIR-NFC171,332 3.633323
BEIR-SciFact5,183300
BEIR-SciDocs25,6571,000
BEIR-FiQA
57,638648
+ +We conduct experiments on three document5 retrieval datasets: NQ320K, MS MARCO, and BEIR. + +NQ320K. NQ320K is a popular dataset for evaluating generative retrieval models [37, 41]. It is based on the Natural Questions (NQ) dataset proposed by Google [15]. NQ320K consists of $3 2 0 \mathrm { k }$ query-document pairs, where the documents are gathered from Wikipedia pages, and the queries are natural language questions. We follow the evaluation setup in NCI [41] and further split the test set into two subsets: seen test, in which the annotated target documents of the queries are included in the training set; and unseen test, in which no labeled document is included in the training set. + +Note that the NQ320K dataset we utilized has been pre-processed based on the NCI [41] and includes approximately 100k documents. This differs from the DSI approach [37], which processed a version of the NQ320K dataset containing about $2 0 0 \mathrm { k }$ documents. The distinction lies in the method used to remove duplicate documents. In our case, we eliminated duplicates by comparing document titles, whereas DSI employed URLs. For example, pages https://en.wikipedia.org//w/index. php?title $=$ Statue_of_Liberty&oldid $\underset { . } { = }$ 804877528 and https://en.wikipedia.org/ /w/index.php?title $=$ Statue_of_Liberty&oldid $\underset { . } { = }$ 834310497 are two versions of entity “Statue of Liberty”. DSI NQ320K treats them as separate documents, whereas our implementation considers them as a single document. We have found that the content of different versions of the same entity’s pages is usually almost identical, with only minor variations, often occurring in later parts of the document. Consequently, we believe that distinguishing between different versions of an entity is beyond the model’s capabilities, and that using different versions of the same entity as negative examples in training may hurt model performance. + +MS MARCO. MS MARCO is a collection of queries and web pages from Bing search. To create the document collections, akin to NQ320k and following [46], we sample a subset of original documents by retaining the top-1 document for each query. We evaluate the models on the queries of the MS MARCO dev set and retrieval on the sampled document subset. We did not split the dev set into seen and unseen because $84 \%$ of the queries in the MS MARCO dev set are unseen. + +BEIR. BEIR is a collection of datasets for heterogeneous retrieval tasks. In this paper, we evaluate the models on 6 BEIR datasets, which include distinct retrieval tasks and document collections from NQ and MS MARCO: (i) BEIR-Arg retrieves a counterargument to an argument; (ii) BEIRCovid retrieves scientific articles about the COVID-19 pandemic; (iii) BEIR-NFC retrieves medical documents from PubMed; (iv) BEIR-SciFact retrieves scientific papers for fact-checking; (v) BEIRSciDocs retrieves citations for scientific papers; (vi) BEIR-FiQA retrieves financial documents. All the queries in BEIR test set are unseen [38]. + +We summarize the statistics of above datasets in Table 4. + +# B Baselines + +The sparse retrieval baselines are as follows: + +• BM25, uses the tf-idf feature to measure term weights; we use the implementation from http://pyserini.io/. +• DocT5Query, expands a document with possible queries predicted by a finetuned T5 with this document as the input. + +The dense retrieval baselines are as follows: + +• DPR [13], a dual-encoder model using the representation of the [CLS] token of BERT. +• ANCE [42], an asynchronously updated ANN indexer is utilized to mine hard negatives for training a RoBERTa-based dual-encoder model. +• Sentence-T5 [22], a dual-encoder model that uses T5 to produce continuous sentence embeddings. We reproduce Sentence-T5 (ST5 for short) on our datasets, the model is based on T5-Base EncDec model and is trained with in-batch negatives. +• GTR [23], a state-of-the-art dense retrieval model that pre-trains sentence-T5 on billions of paired data using contrastive learning. +• Contriever [11], a dual-encoder model pre-trained using unsupervised contrastive learning with independent cropping and inverse cloze task. + +And the generative retrieval baselines are as follows: + +GENRE [5], an autoregressive retrieval model that generates the document’s title. The original GENRE is trained on the KILT dataset [25] using BART, and we reproduce GENRE on our datasets using T5 for a fair comparison. For datasets without title, we use the first 32 tokens of the document as pseudo-title. +DSI [37], which represents documents using hierarchical K-means clustering results, and indexes documents using the first 32 tokens as pseudo-queries. As the original code is not open source, we reproduce DSI using T5-base and the docids of NCI [41]. +• SEAL [1] uses arbitrary n-grams in documents as docids, and retrieves documents under the constraint of a pre-built FM-indexer. We refer to the results reported by Wang et al. [41]. +• CGR-Contra [17], a title generation model with a contextualized vocabulary embedding and a contrastive learning loss. +DSI-QG [47], uses a query generation model to augment the document collection. We reproduce the DSI-QG results using T5 and our dataset. +NCI [41], uses a prefix-aware weight-adaptive decoder and various query generation strategies, including DocAsQuery and DocT5Query. In particular, NCI augments training data by generating 15 queries for each document. +• Ultron [46], uses a three-stage training pipeline and represents the document as three types of identifiers, including URL, PQ, and Atomic. + +# C Performance on retrieving new documents + +In this experiment, we investigate the impact of various document tokenization techniques on the ability of generative retrieval models to retrieve new documents. The generative models with different tokenization methods are trained on NQ320K data, excluding unseen documents, and are evaluated on NQ320K Unseen test set and BEIR-{Arg, NFC, SciDocs} datasets. For the baseline methods, which use rule-based document tokenization methods, the docids are generated for the target document collection using their respective tokenization techniques. In contrast, our proposed method uses a tokenization model to tokenize the documents in the target collection, producing the docids. However, our method may result in duplicate docids. In such cases, all corresponding documents are retrieved and shuffled in an arbitrary order. The results of this evaluation are summarized in Table 5. + +Table 5: Zero-shot evaluation on retrieving new documents with different document tokenization methods. The second column indicates the type of docid, where BERT-HC denotes BERTHierarchical-Clustering [37], Prefix-HC denotes Prefix-aware BERT-Hierarchical-Clustering [41], and dAE denotes discrete auto-encoding. + +
NQ (R@1)BEIR (nDCG@ 10)
MethodDocidUnseenArgNFCSciDocs
DSI-Naive† [37]Naive String0.00.11.00.1
DSI-Atomic† [37]Atomic0.00.20.80.1
GENRE† [5]Title6.00.02.40.6
DSIt [37]BERT-HC1.31.811.15.9
NCI [41]Prefix-HC15.50.94.31.2
OursdAE34.212.112.112.3
+ +Document tokenization methods that do not consider the semantic information of the documents, such as Naive String and Atomic, are ineffective in retrieving new documents without model updating. Methods that consider the semantic information of the documents, such as those based on title or BERT clustering, show some improvement. Our proposed document tokenization method significantly improves over these existing rule-based document tokenization methods. For instance, when the model trained on NQ – a factoid QA data based on Wikipedia documents – is applied to a distinct retrieval task on a different document collection, BEIR-SciDocs, a citation retrieval task on a collection of scientific articles, our proposed document tokenization model still showed promising results with an nDCG $@ 1 0$ of 12.3, which is comparable to those models trained on the target document collection. This suggests that our proposed method effectively encodes the semantic information of documents in the docid and leads to a better fit between the docid and the generative retrieval model. + +Table 6: Efficiency analysis. + +
MethodMemoryTime ( (Offline)Top-KTime (Online)
ANCE1160MB145min1000.69s
GTR-Base1430MB140min1001.97s
GENRE851MB0min1001.41s
100.69s
DSI851MB310min1000.32s
100.21s
Ours860MB220min1000.16s
100.10s
+ +# D Efficiency analysis + +In Table 6, we compare GENRET with baseline models on MS MARCO (323,569 documents) in terms of memory footprint, offline indexing time (not including the time for neural network training), and online retrieval latency for different Top-K values. We have four observations: (i) The memory footprint of generative retrieval models (GENRE, DSI-QG, and the proposed model) is smaller than of dense and sparse retrieval methods. The memory footprint of generative retrieval models is only dependent on the model parameters, whereas dense and sparse retrieval methods require additional storage space for document embeddings, which increases linearly with the size of the document collection. (ii) DSI and GENRET take a longer time for offline indexing, as DSI involves encoding and clustering documents using BERT, while GENRET requires tokenizing documents using a tokenization model. Dense retrieval’s offline time consumption comes from document encoding; GENRE uses titles hence no offline computation. (iii) The online retrieval latency of the generative retrieval model is associated with the beam size (i.e., Top-K) and the length of the docid. GENRET utilizes diverse clustering to generate a shorter docid, resulting in improved online retrieval speed compared to DSI and GENRE. + +# E Embedding visualization + +![](images/ae2f3029bc824157a42797d372c22ad43ae6c635a3a216a5bad894b75cf0d816.jpg) +Figure 5: t-SNE visualization of the codebook embedding and document embedding on the NQ320K dataset. 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How to assign each document a unique docid (denoted", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 313, + 469, + 326 + ], + "spans": [ + { + "bbox": [ + 141, + 313, + 469, + 326 + ], + "score": 1.0, + "content": "as document tokenization) is a critical problem, because it determines whether the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 324, + 469, + 337 + ], + "spans": [ + { + "bbox": [ + 141, + 324, + 469, + 337 + ], + "score": 1.0, + "content": "generative retrieval model can precisely retrieve any document by simply decoding", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 335, + 470, + 348 + ], + "spans": [ + { + "bbox": [ + 141, + 335, + 470, + 348 + ], + "score": 1.0, + "content": "its docid. Most existing methods adopt rule-based tokenization, which is ad-hoc and", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 345, + 470, + 358 + ], + "spans": [ + { + "bbox": [ + 141, + 345, + 470, + 358 + ], + "score": 1.0, + "content": "does not generalize well. In contrast, in this paper we propose a novel document", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 356, + 469, + 369 + ], + "spans": [ + { + "bbox": [ + 141, + 356, + 469, + 369 + ], + "score": 1.0, + "content": "tokenization learning method, GENRET, which learns to encode the complete", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 368, + 469, + 380 + ], + "spans": [ + { + "bbox": [ + 141, + 368, + 469, + 380 + ], + "score": 1.0, + "content": "document semantics into docids. GENRET learns to tokenize documents into", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 379, + 470, + 392 + ], + "spans": [ + { + "bbox": [ + 141, + 379, + 470, + 392 + ], + "score": 1.0, + "content": "short discrete representations (i.e., docids) via a discrete auto-encoding approach.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 389, + 470, + 402 + ], + "spans": [ + { + "bbox": [ + 141, + 389, + 470, + 402 + ], + "score": 1.0, + "content": "We develop a progressive training scheme to capture the autoregressive nature of", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 399, + 470, + 414 + ], + "spans": [ + { + "bbox": [ + 141, + 399, + 470, + 414 + ], + "score": 1.0, + "content": "docids and diverse clustering techniques to stabilize the training process. Based on", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 411, + 470, + 424 + ], + "spans": [ + { + "bbox": [ + 141, + 411, + 470, + 424 + ], + "score": 1.0, + "content": "the semantic-embedded docids of any set of documents, the generative retrieval", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 422, + 470, + 434 + ], + "spans": [ + { + "bbox": [ + 141, + 422, + 470, + 434 + ], + "score": 1.0, + "content": "model can learn to generate the most relevant docid only according to the docids’", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 433, + 469, + 445 + ], + "spans": [ + { + "bbox": [ + 141, + 433, + 469, + 445 + ], + "score": 1.0, + "content": "semantic relevance to the queries. We conduct experiments on the NQ320K, MS", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 445, + 469, + 455 + ], + "spans": [ + { + "bbox": [ + 141, + 445, + 469, + 455 + ], + "score": 1.0, + "content": "MARCO, and BEIR datasets. GENRET establishes the new state-of-the-art on", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 454, + 469, + 468 + ], + "spans": [ + { + "bbox": [ + 141, + 454, + 469, + 468 + ], + "score": 1.0, + "content": "the NQ320K dataset. Compared to generative retrieval baselines, GENRET can", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 142, + 466, + 469, + 478 + ], + "spans": [ + { + "bbox": [ + 142, + 466, + 469, + 478 + ], + "score": 1.0, + "content": "achieve significant improvements on unseen documents. 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Recently,", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 565, + 506, + 577 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 577 + ], + "score": 1.0, + "content": "generative retrieval has emerged as a new paradigm for document retrieval [1, 5, 37, 41, 46, 47] that", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 576, + 505, + 589 + ], + "score": 1.0, + "content": "directly generates a ranked list of document identifiers (docids) for a given query using generative", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 587, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 505, + 599 + ], + "score": 1.0, + "content": "language models (LMs). Unlike dense retrieval [9, 13, 23, 42], generative retrieval presents an", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 597, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 610 + ], + "score": 1.0, + "content": "end-to-end solution for document retrieval tasks [37]. It also offers a promising approach to better", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 609, + 312, + 621 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 312, + 621 + ], + "score": 1.0, + "content": "exploit the capabilities of recent large LMs [1, 41].", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 543, + 506, + 621 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 625, + 505, + 713 + ], + "lines": [ + { + "bbox": [ + 105, + 624, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 624, + 506, + 637 + ], + "score": 1.0, + "content": "As shown in Figure 1, document tokenization aims to tokenize each document in the corpus as a", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 636, + 505, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 636, + 505, + 648 + ], + "score": 1.0, + "content": "sequence of discrete characters, i.e., docids. 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The proposed method utilizes a document tokeniza-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "score": 1.0, + "content": "tion model to convert a given document into a sequence of discrete tokens, referred to as a docid. This", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 195, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 505, + 207 + ], + "score": 1.0, + "content": "tokenization process allows for the reconstruction of the original document through a reconstruction", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 205, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 219 + ], + "score": 1.0, + "content": "model. Subsequently, an autoregressive generation model is employed to retrieve documents through", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 217, + 270, + 229 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 270, + 229 + ], + "score": 1.0, + "content": "the generation of their respective docids.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 234, + 505, + 322 + ], + "lines": [ + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "To address the above problem, we propose GENRET, a document tokenization learning framework", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 245, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 506, + 257 + ], + "score": 1.0, + "content": "that learns to tokenize a document into semantic docids in a discrete auto-encoding scheme. GEN-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "RET consists of a shared sequence-to-sequence-based document tokenization model, a generative", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 267, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 505, + 279 + ], + "score": 1.0, + "content": "retrieval model, and a reconstruction model. In the proposed auto-encoding learning scheme, the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 279, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 289 + ], + "score": 1.0, + "content": "tokenization model learns to convert documents to discrete docids, which are subsequently utilized", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 289, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 506, + 301 + ], + "score": 1.0, + "content": "by the reconstruction model to reconstruct the original document. The generative retrieval model is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 300, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 312 + ], + "score": 1.0, + "content": "trained to generate docids in an autoregressive manner for a given query. The above three models are", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 311, + 376, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 376, + 323 + ], + "score": 1.0, + "content": "optimized in an end-to-end fashion to achieve seamless integration.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 326, + 507, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 507, + 340 + ], + "score": 1.0, + "content": "There are usually two challenges when using auto-encoding to optimize a generative retrieval model:", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 337, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 351 + ], + "score": 1.0, + "content": "(i) docids with an autoregressive nature, and (ii) docids with diversity. To address the first challenge", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 346, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 363 + ], + "score": 1.0, + "content": "and also to stabilize the training of GENRET, we devise a progressive training scheme. This training", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 358, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 434, + 373 + ], + "score": 1.0, + "content": "scheme allows for a stable training of the model by fixing optimized prefix docids", + "type": "text" + }, + { + "bbox": [ + 435, + 361, + 450, + 371 + ], + "score": 0.88, + "content": "z _ { < t }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 358, + 505, + 373 + ], + "score": 1.0, + "content": ". To optimize", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "score": 1.0, + "content": "the docids at each step, three proposed losses are utilized: (i) a reconstruction loss for predicting the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 380, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 395 + ], + "score": 1.0, + "content": "document using the generated docid, (ii) a commitment loss for committing the docid and avoiding", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "forgetting, and (iii) a retrieval loss for optimizing the retrieval performance end-to-end. To address", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 402, + 507, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 507, + 418 + ], + "score": 1.0, + "content": "the second challenge, we propose a parameter initialization strategy and a re-assignment of the docid", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 414, + 460, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 460, + 428 + ], + "score": 1.0, + "content": "based on a diverse clustering technique to increase the diversity of the generated docids.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 430, + 506, + 518 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "We conduct extensive experiments on three well-known document retrieval benchmark datasets,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "score": 1.0, + "content": "NQ320K [15, 37], MS MARCO [4, 46], and BEIR [38]. GENRET attains superior retrieval perfor-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 452, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 478, + 464 + ], + "score": 1.0, + "content": "mance against state-of-the-art generative retrieval models on NQ320K. GENRET achieves", + "type": "text" + }, + { + "bbox": [ + 479, + 452, + 505, + 463 + ], + "score": 0.89, + "content": "+ 1 4 \\%", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 464, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 506, + 475 + ], + "score": 1.0, + "content": "relative improvements on the unseen test set of NQ320K over the best generative retrieval baseline.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 473, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 488 + ], + "score": 1.0, + "content": "Experiments on MS MARCO and six BEIR datasets also show that GENRET outperforms existing", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 485, + 507, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 507, + 497 + ], + "score": 1.0, + "content": "generative methods and achieves competitive results compared to popular dense retrieval models.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "Experiments on retrieving new documents, analytical experiments, and an efficiency analysis confirm", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 506, + 270, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 270, + 519 + ], + "score": 1.0, + "content": "the effectiveness of the proposed model.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 107, + 523, + 505, + 611 + ], + "lines": [ + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "score": 1.0, + "content": "We summarize our contributions as follows: (i) We propose GENRET, a generative retrieval model", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 534, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 545 + ], + "score": 1.0, + "content": "that represents documents as discrete semantic docids. To the best of our knowledge, this is the first", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 545, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 506, + 558 + ], + "score": 1.0, + "content": "tokenization learning method for document retrieval. (ii) We propose an auto-encoding approach,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 556, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 506, + 568 + ], + "score": 1.0, + "content": "where the docids generated by our tokenization model are reconstructed by a reconstruction model to", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "score": 1.0, + "content": "ensure the docids capture the semantic information of the document. (iii) We devise a progressive", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 577, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 506, + 591 + ], + "score": 1.0, + "content": "training scheme to model the autoregressive nature of docids and stabilize the training process.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "(iv) Experimental results demonstrate that GENRET achieves significant improvements, especially on", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 600, + 330, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 330, + 611 + ], + "score": 1.0, + "content": "unseen documents, over generative retrieval baselines.2", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5 + }, + { + "type": "title", + "bbox": [ + 107, + 628, + 195, + 642 + ], + "lines": [ + { + "bbox": [ + 104, + 627, + 196, + 644 + ], + "spans": [ + { + "bbox": [ + 104, + 627, + 196, + 644 + ], + "score": 1.0, + "content": "2 Preliminaries", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 699 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 477, + 667 + ], + "score": 1.0, + "content": "The document retrieval task can be formalized as the process of retrieving a relevant document", + "type": "text" + }, + { + "bbox": [ + 477, + 655, + 484, + 665 + ], + "score": 0.79, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "for a", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 158, + 678 + ], + "score": 1.0, + "content": "search query", + "type": "text" + }, + { + "bbox": [ + 158, + 668, + 164, + 677 + ], + "score": 0.77, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 666, + 290, + 678 + ], + "score": 1.0, + "content": "from a collection of documents", + "type": "text" + }, + { + "bbox": [ + 290, + 668, + 298, + 675 + ], + "score": 0.84, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 666, + 366, + 678 + ], + "score": 1.0, + "content": ". Each document", + "type": "text" + }, + { + "bbox": [ + 366, + 667, + 392, + 676 + ], + "score": 0.89, + "content": "d \\in \\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "is assumed to be a plain text", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 296, + 689 + ], + "score": 1.0, + "content": "consisting of a sequence of tokens, denoted as", + "type": "text" + }, + { + "bbox": [ + 296, + 677, + 371, + 690 + ], + "score": 0.91, + "content": "d = \\{ d _ { 1 } , \\dotsc , d _ { | d | } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 676, + 403, + 689 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 403, + 677, + 415, + 689 + ], + "score": 0.89, + "content": "| d |", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 676, + 506, + 689 + ], + "score": 1.0, + "content": "is the total number of", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "tokens in the document. 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The proposed method utilizes a document tokeniza-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 505, + 196 + ], + "score": 1.0, + "content": "tion model to convert a given document into a sequence of discrete tokens, referred to as a docid. This", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 195, + 505, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 195, + 505, + 207 + ], + "score": 1.0, + "content": "tokenization process allows for the reconstruction of the original document through a reconstruction", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 205, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 219 + ], + "score": 1.0, + "content": "model. Subsequently, an autoregressive generation model is employed to retrieve documents through", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 217, + 270, + 229 + ], + "spans": [ + { + "bbox": [ + 106, + 217, + 270, + 229 + ], + "score": 1.0, + "content": "the generation of their respective docids.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5 + } + ], + "index": 3.0 + }, + { + "type": "text", + "bbox": [ + 107, + 234, + 505, + 322 + ], + "lines": [ + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "spans": [ + { + "bbox": [ + 105, + 234, + 506, + 246 + ], + "score": 1.0, + "content": "To address the above problem, we propose GENRET, a document tokenization learning framework", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 245, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 506, + 257 + ], + "score": 1.0, + "content": "that learns to tokenize a document into semantic docids in a discrete auto-encoding scheme. GEN-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 505, + 268 + ], + "score": 1.0, + "content": "RET consists of a shared sequence-to-sequence-based document tokenization model, a generative", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 267, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 505, + 279 + ], + "score": 1.0, + "content": "retrieval model, and a reconstruction model. In the proposed auto-encoding learning scheme, the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 279, + 505, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 505, + 289 + ], + "score": 1.0, + "content": "tokenization model learns to convert documents to discrete docids, which are subsequently utilized", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 289, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 506, + 301 + ], + "score": 1.0, + "content": "by the reconstruction model to reconstruct the original document. The generative retrieval model is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 300, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 312 + ], + "score": 1.0, + "content": "trained to generate docids in an autoregressive manner for a given query. The above three models are", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 311, + 376, + 323 + ], + "spans": [ + { + "bbox": [ + 106, + 311, + 376, + 323 + ], + "score": 1.0, + "content": "optimized in an end-to-end fashion to achieve seamless integration.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 234, + 506, + 323 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 327, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 326, + 507, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 326, + 507, + 340 + ], + "score": 1.0, + "content": "There are usually two challenges when using auto-encoding to optimize a generative retrieval model:", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 337, + 505, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 505, + 351 + ], + "score": 1.0, + "content": "(i) docids with an autoregressive nature, and (ii) docids with diversity. To address the first challenge", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 346, + 505, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 346, + 505, + 363 + ], + "score": 1.0, + "content": "and also to stabilize the training of GENRET, we devise a progressive training scheme. This training", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 358, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 434, + 373 + ], + "score": 1.0, + "content": "scheme allows for a stable training of the model by fixing optimized prefix docids", + "type": "text" + }, + { + "bbox": [ + 435, + 361, + 450, + 371 + ], + "score": 0.88, + "content": "z _ { < t }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 358, + 505, + 373 + ], + "score": 1.0, + "content": ". To optimize", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 384 + ], + "score": 1.0, + "content": "the docids at each step, three proposed losses are utilized: (i) a reconstruction loss for predicting the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 380, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 395 + ], + "score": 1.0, + "content": "document using the generated docid, (ii) a commitment loss for committing the docid and avoiding", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 506, + 405 + ], + "score": 1.0, + "content": "forgetting, and (iii) a retrieval loss for optimizing the retrieval performance end-to-end. To address", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 402, + 507, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 507, + 418 + ], + "score": 1.0, + "content": "the second challenge, we propose a parameter initialization strategy and a re-assignment of the docid", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 414, + 460, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 460, + 428 + ], + "score": 1.0, + "content": "based on a diverse clustering technique to increase the diversity of the generated docids.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 326, + 507, + 428 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 430, + 506, + 518 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 506, + 443 + ], + "score": 1.0, + "content": "We conduct extensive experiments on three well-known document retrieval benchmark datasets,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "score": 1.0, + "content": "NQ320K [15, 37], MS MARCO [4, 46], and BEIR [38]. GENRET attains superior retrieval perfor-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 452, + 505, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 478, + 464 + ], + "score": 1.0, + "content": "mance against state-of-the-art generative retrieval models on NQ320K. GENRET achieves", + "type": "text" + }, + { + "bbox": [ + 479, + 452, + 505, + 463 + ], + "score": 0.89, + "content": "+ 1 4 \\%", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 464, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 506, + 475 + ], + "score": 1.0, + "content": "relative improvements on the unseen test set of NQ320K over the best generative retrieval baseline.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 473, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 488 + ], + "score": 1.0, + "content": "Experiments on MS MARCO and six BEIR datasets also show that GENRET outperforms existing", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 485, + 507, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 507, + 497 + ], + "score": 1.0, + "content": "generative methods and achieves competitive results compared to popular dense retrieval models.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "Experiments on retrieving new documents, analytical experiments, and an efficiency analysis confirm", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 506, + 270, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 270, + 519 + ], + "score": 1.0, + "content": "the effectiveness of the proposed model.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 430, + 507, + 519 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 523, + 505, + 611 + ], + "lines": [ + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 106, + 523, + 505, + 535 + ], + "score": 1.0, + "content": "We summarize our contributions as follows: (i) We propose GENRET, a generative retrieval model", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 534, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 106, + 534, + 505, + 545 + ], + "score": 1.0, + "content": "that represents documents as discrete semantic docids. To the best of our knowledge, this is the first", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 545, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 506, + 558 + ], + "score": 1.0, + "content": "tokenization learning method for document retrieval. (ii) We propose an auto-encoding approach,", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 556, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 106, + 556, + 506, + 568 + ], + "score": 1.0, + "content": "where the docids generated by our tokenization model are reconstructed by a reconstruction model to", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 106, + 567, + 505, + 579 + ], + "score": 1.0, + "content": "ensure the docids capture the semantic information of the document. (iii) We devise a progressive", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 577, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 506, + 591 + ], + "score": 1.0, + "content": "training scheme to model the autoregressive nature of docids and stabilize the training process.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "(iv) Experimental results demonstrate that GENRET achieves significant improvements, especially on", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 600, + 330, + 611 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 330, + 611 + ], + "score": 1.0, + "content": "unseen documents, over generative retrieval baselines.2", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 523, + 506, + 611 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 628, + 195, + 642 + ], + "lines": [ + { + "bbox": [ + 104, + 627, + 196, + 644 + ], + "spans": [ + { + "bbox": [ + 104, + 627, + 196, + 644 + ], + "score": 1.0, + "content": "2 Preliminaries", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 655, + 505, + 699 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 477, + 667 + ], + "score": 1.0, + "content": "The document retrieval task can be formalized as the process of retrieving a relevant document", + "type": "text" + }, + { + "bbox": [ + 477, + 655, + 484, + 665 + ], + "score": 0.79, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 654, + 506, + 667 + ], + "score": 1.0, + "content": "for a", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 158, + 678 + ], + "score": 1.0, + "content": "search query", + "type": "text" + }, + { + "bbox": [ + 158, + 668, + 164, + 677 + ], + "score": 0.77, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 666, + 290, + 678 + ], + "score": 1.0, + "content": "from a collection of documents", + "type": "text" + }, + { + "bbox": [ + 290, + 668, + 298, + 675 + ], + "score": 0.84, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 299, + 666, + 366, + 678 + ], + "score": 1.0, + "content": ". 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More details about", + "type": "text" + }, + { + "bbox": [ + 196, + 189, + 205, + 200 + ], + "score": 0.86, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 187, + 488, + 201 + ], + "score": 1.0, + "content": "are provided in Section 3.1. 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For example, the title of a web page often does not exist or has low", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 305, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 505, + 318 + ], + "score": 1.0, + "content": "relevance to the content of the web page, and the use of clustering-based docids arbitrarily defines the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 316, + 219, + 328 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 219, + 328 + ], + "score": 1.0, + "content": "document in discrete space.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 332, + 505, + 420 + ], + "lines": [ + { + "bbox": [ + 106, + 333, + 506, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 506, + 344 + ], + "score": 1.0, + "content": "In this paper, we propose GENRET, a novel tokenization learning method based on discrete auto-", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 343, + 505, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 505, + 355 + ], + "score": 1.0, + "content": "encoding, to learn semantic docid in a fully end-to-end manner. Figure 1 gives an overview of the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "score": 1.0, + "content": "proposed method. 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In order to initialize the codebook for our model, we first warm-up the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 527, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 298, + 538 + ], + "score": 1.0, + "content": "model by passing the continuous representation", + "type": "text" + }, + { + "bbox": [ + 298, + 527, + 312, + 537 + ], + "score": 0.88, + "content": "{ \\bf d } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 527, + 505, + 538 + ], + "score": 1.0, + "content": "to the reconstruction model instead of the docid", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 165, + 550 + ], + "score": 1.0, + "content": "representation", + "type": "text" + }, + { + "bbox": [ + 165, + 539, + 178, + 548 + ], + "score": 0.85, + "content": "\\mathbf { z } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 537, + 506, + 550 + ], + "score": 1.0, + "content": "as defined in Eq. 3. 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The centroids of these clusters are then", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 233, + 582 + ], + "score": 1.0, + "content": "used as the initialized codebook", + "type": "text" + }, + { + "bbox": [ + 234, + 570, + 248, + 581 + ], + "score": 0.88, + "content": "\\mathbf { E } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 570, + 505, + 582 + ], + "score": 1.0, + "content": ". 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In order to assign docids to a batch of documents, we modify the dot-product", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 632, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 644 + ], + "score": 1.0, + "content": "look-up results in Eq. 2 by ensuring that the docid for different documents in the batch are distinct", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 103, + 640, + 508, + 660 + ], + "spans": [ + { + "bbox": [ + 103, + 644, + 340, + 660 + ], + "score": 1.0, + "content": "following the method described in [6, 44]. Specifically, let", + "type": "text" + }, + { + "bbox": [ + 340, + 643, + 474, + 658 + ], + "score": 0.92, + "content": "\\mathbf { D } _ { t } = \\{ \\mathbf { d } _ { t } ^ { ( 1 ) } , \\dots , \\mathbf { d } _ { t } ^ { ( B ) } \\} \\in \\mathbb { R } ^ { B \\times D }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 640, + 508, + 660 + ], + "score": 1.0, + "content": "denote", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 418, + 669 + ], + "score": 1.0, + "content": "the continuous representation of a batch of documents with batch size of", + "type": "text" + }, + { + "bbox": [ + 418, + 658, + 427, + 667 + ], + "score": 0.79, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 656, + 505, + 669 + ], + "score": 1.0, + "content": ". The dot-product", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 665, + 507, + 681 + ], + "spans": [ + { + "bbox": [ + 104, + 665, + 216, + 681 + ], + "score": 1.0, + "content": "results are represented by", + "type": "text" + }, + { + "bbox": [ + 217, + 667, + 322, + 680 + ], + "score": 0.92, + "content": "\\mathbf { H } = \\mathbf { D } _ { t } \\cdot \\mathbf { E } _ { t } ^ { \\top } \\in \\mathbb { R } ^ { B \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 665, + 507, + 681 + ], + "score": 1.0, + "content": ". To obtain distinct docids, we calculate an", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 104, + 678, + 504, + 693 + ], + "spans": [ + { + "bbox": [ + 104, + 678, + 152, + 693 + ], + "score": 1.0, + "content": "alternative", + "type": "text" + }, + { + "bbox": [ + 152, + 680, + 288, + 693 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\mathbf { H } ^ { * } = \\mathrm { D i a g } ( \\mathbf { u } ) \\exp ( \\frac { \\mathbf { H } } { \\epsilon } ) \\mathrm { D i a g } ( \\mathbf { v } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 678, + 320, + 693 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 321, + 682, + 329, + 690 + ], + "score": 0.49, + "content": "\\mathbf { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 678, + 348, + 693 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 348, + 682, + 356, + 690 + ], + "score": 0.55, + "content": "\\mathbf { v }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 678, + 487, + 693 + ], + "score": 1.0, + "content": "are re-normalization vectors in", + "type": "text" + }, + { + "bbox": [ + 488, + 679, + 504, + 690 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { K }", + "type": "inline_equation" + } + ], + "index": 47 + }, + { + "bbox": [ + 104, + 690, + 505, + 707 + ], + "spans": [ + { + "bbox": [ + 104, + 690, + 123, + 707 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 692, + 138, + 703 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 690, + 505, + 707 + ], + "score": 1.0, + "content": ", respectively. 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Finally,", + "type": "text" + }, + { + "bbox": [ + 200, + 704, + 214, + 714 + ], + "score": 0.87, + "content": "\\mathbf { H } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 703, + 289, + 716 + ], + "score": 1.0, + "content": "is used instead of", + "type": "text" + }, + { + "bbox": [ + 289, + 704, + 299, + 714 + ], + "score": 0.68, + "content": "\\mathbf { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 703, + 505, + 716 + ], + "score": 1.0, + "content": "in the Softmax and arg max (Eq. 2) operations to", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 714, + 187, + 727 + ], + "spans": [ + { + "bbox": [ + 106, + 714, + 173, + 727 + ], + "score": 1.0, + "content": "obtain the docid", + "type": "text" + }, + { + "bbox": [ + 173, + 717, + 182, + 726 + ], + "score": 0.85, + "content": "z _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 714, + 187, + 727 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 46 + } + ], + "page_idx": 4, + "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": "5", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 72, + 434, + 84 + ], + "lines": [], + "index": 0, + "bbox_fs": [ + 104, + 71, + 436, + 87 + ], + "lines_deleted": true + }, + { + "type": "interline_equation", + "bbox": [ + 133, + 85, + 477, + 123 + ], + "lines": [ + { + "bbox": [ + 133, + 85, + 477, + 123 + ], + "spans": [ + { + "bbox": [ + 133, + 85, + 477, + 123 + ], + "score": 0.77, + "content": "\\begin{array} { r l r } { \\mathcal { L } _ { \\mathrm { R e c } } = - \\log R ( d \\mid \\hat { \\mathbf { z } } _ { \\le T } ) , } & { \\mathrm { w h e r e ~ } \\hat { \\mathbf { z } } _ { \\le T } = \\left\\{ \\mathrm { s g } ( \\mathbf { z } _ { 1 } ) , \\dots , \\mathrm { s g } ( \\mathbf { z } _ { T - 1 } ) , \\mathbf { z } _ { T } \\right\\} } & { \\in \\mathbb { R } ^ { T \\times D } } \\\\ { \\forall t \\in [ T ] : \\mathbf { z } _ { t } = \\mathbf { e } _ { t , j ^ { * } } \\in \\mathbb { R } ^ { D } , } & { \\mathrm { w h e r e ~ } j ^ { * } = \\arg \\operatorname* { m a x } Q ( z _ { t } = j \\mid z _ { < t } , d ) , } \\end{array}", + "type": "interline_equation", + "image_path": "a328cc20911eca6029b1329a9c20f450ec9e3cb763b9e1420ddbc8b93c1b8d79.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 133, + 85, + 477, + 97.66666666666667 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 133, + 97.66666666666667, + 477, + 110.33333333333334 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 133, + 110.33333333333334, + 477, + 123.00000000000001 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 124, + 504, + 158 + ], + "lines": [ + { + "bbox": [ + 106, + 123, + 503, + 136 + ], + "spans": [ + { + "bbox": [ + 106, + 123, + 133, + 136 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 124, + 153, + 135 + ], + "score": 0.88, + "content": "\\scriptstyle { \\hat { \\mathbf { z } } } < { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 123, + 197, + 136 + ], + "score": 1.0, + "content": "is the first", + "type": "text" + }, + { + "bbox": [ + 198, + 124, + 206, + 134 + ], + "score": 0.81, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 123, + 298, + 136 + ], + "score": 1.0, + "content": "representations of the", + "type": "text" + }, + { + "bbox": [ + 298, + 126, + 304, + 134 + ], + "score": 0.78, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 123, + 397, + 136 + ], + "score": 1.0, + "content": ", and only the variable", + "type": "text" + }, + { + "bbox": [ + 397, + 126, + 410, + 135 + ], + "score": 0.87, + "content": "\\mathbf { z } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 123, + 494, + 136 + ], + "score": 1.0, + "content": "is optimized in step", + "type": "text" + }, + { + "bbox": [ + 495, + 124, + 503, + 134 + ], + "score": 0.81, + "content": "T", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 107, + 134, + 505, + 147 + ], + "spans": [ + { + "bbox": [ + 107, + 135, + 184, + 147 + ], + "score": 0.9, + "content": "Q ( z _ { t } = \\bar { j } \\mid z _ { < t } , d )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 134, + 426, + 147 + ], + "score": 1.0, + "content": "is defined in Eq. 2. And the document tokenization model", + "type": "text" + }, + { + "bbox": [ + 426, + 135, + 435, + 146 + ], + "score": 0.86, + "content": "Q", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 134, + 505, + 147 + ], + "score": 1.0, + "content": "can therefore be", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 245, + 159 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 221, + 159 + ], + "score": 1.0, + "content": "optimized when minimizing", + "type": "text" + }, + { + "bbox": [ + 222, + 146, + 240, + 157 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { \\mathrm { R e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 144, + 245, + 159 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 5, + "bbox_fs": [ + 106, + 123, + 505, + 159 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 162, + 505, + 225 + ], + "lines": [ + { + "bbox": [ + 105, + 160, + 505, + 175 + ], + "spans": [ + { + "bbox": [ + 105, + 160, + 406, + 175 + ], + "score": 1.0, + "content": "Of note, since the computation involves a non-differentiable operation", + "type": "text" + }, + { + "bbox": [ + 407, + 162, + 458, + 174 + ], + "score": 0.86, + "content": "( \\mathrm { a r g } \\operatorname* { m a x } ( \\cdot ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 160, + 505, + 175 + ], + "score": 1.0, + "content": ", we apply", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 173, + 504, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 173, + 489, + 185 + ], + "score": 1.0, + "content": "straight-through gradient estimation to back-propagate the gradient from reconstruction loss to", + "type": "text" + }, + { + "bbox": [ + 490, + 173, + 504, + 184 + ], + "score": 0.87, + "content": "{ \\bf d } _ { T }", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 183, + 505, + 197 + ], + "spans": [ + { + "bbox": [ + 105, + 183, + 306, + 197 + ], + "score": 1.0, + "content": "following [39, 44], which copies the gradient of", + "type": "text" + }, + { + "bbox": [ + 307, + 185, + 319, + 195 + ], + "score": 0.86, + "content": "\\mathbf { z } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 183, + 366, + 197 + ], + "score": 1.0, + "content": "directly to", + "type": "text" + }, + { + "bbox": [ + 366, + 184, + 380, + 195 + ], + "score": 0.88, + "content": "{ \\bf d } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 183, + 505, + 197 + ], + "score": 1.0, + "content": ". Specifically, the gradients to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 195, + 504, + 209 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 210, + 208 + ], + "score": 1.0, + "content": "document representation", + "type": "text" + }, + { + "bbox": [ + 211, + 196, + 225, + 207 + ], + "score": 0.88, + "content": "{ \\bf d } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 196, + 289, + 208 + ], + "score": 1.0, + "content": "are defined as", + "type": "text" + }, + { + "bbox": [ + 289, + 195, + 350, + 209 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\frac { \\partial \\mathcal { L } _ { \\mathrm { R e c } } } { \\partial { \\bf d } _ { T } } : = \\frac { \\partial \\mathcal { L } _ { \\mathrm { R e c } } } { \\partial { \\bf z } _ { T } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 196, + 504, + 208 + ], + "score": 1.0, + "content": "And the gradients to the codebook", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 207, + 314, + 226 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 153, + 223 + ], + "score": 1.0, + "content": "embedding", + "type": "text" + }, + { + "bbox": [ + 153, + 212, + 172, + 223 + ], + "score": 0.88, + "content": "\\mathbf { e } _ { T , j }", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 207, + 231, + 223 + ], + "score": 1.0, + "content": "are defined as", + "type": "text" + }, + { + "bbox": [ + 231, + 208, + 314, + 226 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\frac { \\partial \\mathcal { L } _ { \\mathrm { R e c } } } { \\partial \\mathbf { e } _ { T , j } } : = 1 _ { z _ { T } = j } \\frac { \\partial \\dot { \\mathcal { L } } _ { \\mathrm { R e c } } } { \\partial \\mathbf { z } _ { T } } } \\end{array}", + "type": "inline_equation" + } + ], + "index": 11 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 160, + 505, + 226 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 231, + 504, + 254 + ], + "lines": [ + { + "bbox": [ + 106, + 231, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 505, + 245 + ], + "score": 1.0, + "content": "Commitment loss. 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we define the learning objective", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 329, + 204, + 342 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 180, + 342 + ], + "score": 1.0, + "content": "of retrieval model", + "type": "text" + }, + { + "bbox": [ + 180, + 331, + 189, + 340 + ], + "score": 0.85, + "content": "P", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 329, + 204, + 342 + ], + "score": 1.0, + "content": "as:", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17.5, + "bbox_fs": [ + 104, + 297, + 506, + 342 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 178, + 340, + 431, + 374 + ], + "lines": [ + { + "bbox": [ + 178, + 340, + 431, + 374 + ], + "spans": [ + { + "bbox": [ + 178, + 340, + 431, + 374 + ], + "score": 0.94, + "content": "\\mathcal { L } _ { \\mathrm { R e t } } = - \\log \\frac { \\exp ( \\mathbf { q } _ { T } \\cdot \\mathbf { d } _ { T } ) } { \\sum _ { d ^ { * } \\sim B } \\exp ( \\mathbf { q } _ { T } \\cdot \\mathbf { d } ^ { * } _ { T } ) } - \\sum _ { t = 1 } ^ { T } \\log P ( z _ { t } \\mid z _ { < t } , q ) ,", + "type": "interline_equation", + "image_path": "4df6b04704caae168172f747e9bc51ca957c2faaa5f8dfb5fa2dc642f183defe.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 178, + 340, + 431, + 351.3333333333333 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 178, + 351.3333333333333, + 431, + 362.66666666666663 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 178, + 362.66666666666663, + 431, + 373.99999999999994 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 375, + 505, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 374, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 393, + 388 + ], + "score": 1.0, + "content": "where the first term is a ranking-oriented loss enhancing the model using", + "type": "text" + }, + { + "bbox": [ + 393, + 375, + 416, + 387 + ], + "score": 0.91, + "content": "( q , d )", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 374, + 438, + 388 + ], + "score": 1.0, + "content": "pair;", + "type": "text" + }, + { + "bbox": [ + 438, + 375, + 448, + 385 + ], + "score": 0.84, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 374, + 505, + 388 + ], + "score": 1.0, + "content": "is an in-batch", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 385, + 504, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 324, + 399 + ], + "score": 1.0, + "content": "document sampled from the same training mini-batch", + "type": "text" + }, + { + "bbox": [ + 324, + 386, + 333, + 396 + ], + "score": 0.62, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 385, + 336, + 399 + ], + "score": 1.0, + "content": ";", + "type": "text" + }, + { + "bbox": [ + 336, + 387, + 351, + 397 + ], + "score": 0.63, + "content": "\\mathbf { q } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 385, + 368, + 399 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 369, + 386, + 383, + 397 + ], + "score": 0.89, + "content": "{ \\bf d } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 385, + 498, + 399 + ], + "score": 1.0, + "content": "denote the representation of", + "type": "text" + }, + { + "bbox": [ + 498, + 390, + 504, + 397 + ], + "score": 0.71, + "content": "q", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 396, + 496, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 123, + 411 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 398, + 130, + 407 + ], + "score": 0.82, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 396, + 177, + 411 + ], + "score": 1.0, + "content": "at timestep", + "type": "text" + }, + { + "bbox": [ + 177, + 398, + 185, + 407 + ], + "score": 0.78, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 396, + 440, + 411 + ], + "score": 1.0, + "content": ". The second term is the cross-entropy loss for generating docid", + "type": "text" + }, + { + "bbox": [ + 440, + 398, + 447, + 407 + ], + "score": 0.77, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 396, + 486, + 411 + ], + "score": 1.0, + "content": "based on", + "type": "text" + }, + { + "bbox": [ + 486, + 401, + 491, + 408 + ], + "score": 0.76, + "content": "q", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 396, + 496, + 411 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 374, + 505, + 411 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 412, + 504, + 424 + ], + "lines": [ + { + "bbox": [ + 105, + 411, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 220, + 426 + ], + "score": 1.0, + "content": "The final loss we use at step-", + "type": "text" + }, + { + "bbox": [ + 220, + 414, + 228, + 423 + ], + "score": 0.84, + "content": "\\mathcal { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 411, + 506, + 426 + ], + "score": 1.0, + "content": "is the sum of reconstruction loss, commitment loss, and retrieval loss:", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 411, + 506, + 426 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 252, + 425, + 357, + 438 + ], + "lines": [ + { + "bbox": [ + 252, + 425, + 357, + 438 + ], + "spans": [ + { + "bbox": [ + 252, + 425, + 357, + 438 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\mathcal { L } = \\mathcal { L } _ { \\mathrm { R e c } } + \\mathcal { L } _ { \\mathrm { C o m } } + \\mathcal { L } _ { \\mathrm { R e t } } . } \\end{array}", + "type": "interline_equation", + "image_path": "00df03669a0b60254840ce890439d15ee38afb916842ede3e1462480b3156934.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 252, + 425, + 357, + 438 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "title", + "bbox": [ + 107, + 444, + 263, + 456 + ], + "lines": [ + { + "bbox": [ + 105, + 442, + 263, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 263, + 459 + ], + "score": 1.0, + "content": "3.2.2 Diverse clustering techniques", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 463, + 505, + 507 + ], + "lines": [ + { + "bbox": [ + 105, + 464, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 505, + 475 + ], + "score": 1.0, + "content": "To ensure diversity of generated docids, we adopt two diverse clustering techniques–codebook", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 475, + 505, + 487 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 487 + ], + "score": 1.0, + "content": "initialization and docid re-assignment at each progressive training step, where codebook initialization", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 505, + 498 + ], + "score": 1.0, + "content": "mainly aims to increase the balance of semantic space segmentation, and the docid re-assignment", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 496, + 339, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 339, + 508 + ], + "score": 1.0, + "content": "mainly aims to increase the balance of docid assignments.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 464, + 505, + 508 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 514, + 505, + 614 + ], + "lines": [ + { + "bbox": [ + 107, + 515, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 107, + 515, + 505, + 527 + ], + "score": 1.0, + "content": "Codebook initialization. In order to initialize the codebook for our model, we first warm-up the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 527, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 298, + 538 + ], + "score": 1.0, + "content": "model by passing the continuous representation", + "type": "text" + }, + { + "bbox": [ + 298, + 527, + 312, + 537 + ], + "score": 0.88, + "content": "{ \\bf d } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 527, + 505, + 538 + ], + "score": 1.0, + "content": "to the reconstruction model instead of the docid", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 165, + 550 + ], + "score": 1.0, + "content": "representation", + "type": "text" + }, + { + "bbox": [ + 165, + 539, + 178, + 548 + ], + "score": 0.85, + "content": "\\mathbf { z } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 537, + 506, + 550 + ], + "score": 1.0, + "content": "as defined in Eq. 3. During this warm-up phase, we optimize the model using the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 548, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 183, + 561 + ], + "score": 1.0, + "content": "reconstruction loss", + "type": "text" + }, + { + "bbox": [ + 183, + 549, + 202, + 559 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { \\mathrm { R e c } }", + "type": "inline_equation" + }, + { + "bbox": [ + 203, + 548, + 290, + 561 + ], + "score": 1.0, + "content": "and commitment loss", + "type": "text" + }, + { + "bbox": [ + 290, + 549, + 312, + 559 + ], + "score": 0.9, + "content": "{ \\mathcal { L } } _ { \\mathrm { C o m } }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 548, + 505, + 561 + ], + "score": 1.0, + "content": ". Next, we collect the continuous representations", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 559, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 120, + 570 + ], + "score": 0.87, + "content": "{ \\bf d } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 121, + 559, + 201, + 570 + ], + "score": 1.0, + "content": "of all documents in", + "type": "text" + }, + { + "bbox": [ + 201, + 559, + 210, + 569 + ], + "score": 0.79, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 559, + 301, + 570 + ], + "score": 1.0, + "content": ", and cluster them into", + "type": "text" + }, + { + "bbox": [ + 302, + 560, + 312, + 569 + ], + "score": 0.79, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 559, + 505, + 570 + ], + "score": 1.0, + "content": "groups. The centroids of these clusters are then", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 233, + 582 + ], + "score": 1.0, + "content": "used as the initialized codebook", + "type": "text" + }, + { + "bbox": [ + 234, + 570, + 248, + 581 + ], + "score": 0.88, + "content": "\\mathbf { E } _ { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 570, + 505, + 582 + ], + "score": 1.0, + "content": ". To balance the initialized docid distribution, we utilize a diverse", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 580, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 294, + 594 + ], + "score": 1.0, + "content": "constrained clustering algorithm, Constrained", + "type": "text" + }, + { + "bbox": [ + 294, + 581, + 303, + 591 + ], + "score": 0.64, + "content": "K \\cdot", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 580, + 506, + 594 + ], + "score": 1.0, + "content": "-Means, which first normalizes the embeddings of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 592, + 504, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 504, + 604 + ], + "score": 1.0, + "content": "each prefix group, and modifies the cluster assignment step (E in EM) by formulating it as a minimum", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 603, + 340, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 340, + 616 + ], + "score": 1.0, + "content": "cost flow (MCF) linear network optimization problem [2].", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 515, + 506, + 616 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 621, + 505, + 727 + ], + "lines": [ + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 506, + 634 + ], + "score": 1.0, + "content": "Docid re-assignment. In order to assign docids to a batch of documents, we modify the dot-product", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 632, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 506, + 644 + ], + "score": 1.0, + "content": "look-up results in Eq. 2 by ensuring that the docid for different documents in the batch are distinct", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 103, + 640, + 508, + 660 + ], + "spans": [ + { + "bbox": [ + 103, + 644, + 340, + 660 + ], + "score": 1.0, + "content": "following the method described in [6, 44]. Specifically, let", + "type": "text" + }, + { + "bbox": [ + 340, + 643, + 474, + 658 + ], + "score": 0.92, + "content": "\\mathbf { D } _ { t } = \\{ \\mathbf { d } _ { t } ^ { ( 1 ) } , \\dots , \\mathbf { d } _ { t } ^ { ( B ) } \\} \\in \\mathbb { R } ^ { B \\times D }", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 640, + 508, + 660 + ], + "score": 1.0, + "content": "denote", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 418, + 669 + ], + "score": 1.0, + "content": "the continuous representation of a batch of documents with batch size of", + "type": "text" + }, + { + "bbox": [ + 418, + 658, + 427, + 667 + ], + "score": 0.79, + "content": "B", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 656, + 505, + 669 + ], + "score": 1.0, + "content": ". The dot-product", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 665, + 507, + 681 + ], + "spans": [ + { + "bbox": [ + 104, + 665, + 216, + 681 + ], + "score": 1.0, + "content": "results are represented by", + "type": "text" + }, + { + "bbox": [ + 217, + 667, + 322, + 680 + ], + "score": 0.92, + "content": "\\mathbf { H } = \\mathbf { D } _ { t } \\cdot \\mathbf { E } _ { t } ^ { \\top } \\in \\mathbb { R } ^ { B \\times K }", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 665, + 507, + 681 + ], + "score": 1.0, + "content": ". To obtain distinct docids, we calculate an", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 104, + 678, + 504, + 693 + ], + "spans": [ + { + "bbox": [ + 104, + 678, + 152, + 693 + ], + "score": 1.0, + "content": "alternative", + "type": "text" + }, + { + "bbox": [ + 152, + 680, + 288, + 693 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\mathbf { H } ^ { * } = \\mathrm { D i a g } ( \\mathbf { u } ) \\exp ( \\frac { \\mathbf { H } } { \\epsilon } ) \\mathrm { D i a g } ( \\mathbf { v } ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 678, + 320, + 693 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 321, + 682, + 329, + 690 + ], + "score": 0.49, + "content": "\\mathbf { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 678, + 348, + 693 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 348, + 682, + 356, + 690 + ], + "score": 0.55, + "content": "\\mathbf { v }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 678, + 487, + 693 + ], + "score": 1.0, + "content": "are re-normalization vectors in", + "type": "text" + }, + { + "bbox": [ + 488, + 679, + 504, + 690 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { K }", + "type": "inline_equation" + } + ], + "index": 47 + }, + { + "bbox": [ + 104, + 690, + 505, + 707 + ], + "spans": [ + { + "bbox": [ + 104, + 690, + 123, + 707 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 692, + 138, + 703 + ], + "score": 0.88, + "content": "\\mathbb { R } ^ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 690, + 505, + 707 + ], + "score": 1.0, + "content": ", respectively. The re-normalization vectors are computed via the iterative Sinkhorn-Knopp", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 703, + 505, + 716 + ], + "spans": [ + { + "bbox": [ + 105, + 703, + 199, + 716 + ], + "score": 1.0, + "content": "algorithm [8]. Finally,", + "type": "text" + }, + { + "bbox": [ + 200, + 704, + 214, + 714 + ], + "score": 0.87, + "content": "\\mathbf { H } ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 703, + 289, + 716 + ], + "score": 1.0, + "content": "is used instead of", + "type": "text" + }, + { + "bbox": [ + 289, + 704, + 299, + 714 + ], + "score": 0.68, + "content": "\\mathbf { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 300, + 703, + 505, + 716 + ], + "score": 1.0, + "content": "in the Softmax and arg max (Eq. 2) operations to", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 714, + 187, + 727 + ], + "spans": [ + { + "bbox": [ + 106, + 714, + 173, + 727 + ], + "score": 1.0, + "content": "obtain the docid", + "type": "text" + }, + { + "bbox": [ + 173, + 717, + 182, + 726 + ], + "score": 0.85, + "content": "z _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 714, + 187, + 727 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 46, + "bbox_fs": [ + 103, + 621, + 508, + 727 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 71, + 228, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 68, + 230, + 90 + ], + "spans": [ + { + "bbox": [ + 104, + 68, + 230, + 90 + ], + "score": 1.0, + "content": "4 Experimental Setup", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 108, + 98, + 266, + 109 + ], + "lines": [ + { + "bbox": [ + 106, + 97, + 266, + 110 + ], + "spans": [ + { + "bbox": [ + 106, + 97, + 266, + 110 + ], + "score": 1.0, + "content": "4.1 Datasets and evalutaion metrics", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 119, + 505, + 174 + ], + "lines": [ + { + "bbox": [ + 105, + 118, + 507, + 132 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 507, + 132 + ], + "score": 1.0, + "content": "We conduct experiments on three well-known document retrieval datasets: NQ320K [15],", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 129, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 506, + 144 + ], + "score": 1.0, + "content": "MS MARCO [4], and BEIR [38]. We divide the test set of NQ320K into seen test and unseen", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 140, + 507, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 140, + 507, + 154 + ], + "score": 1.0, + "content": "test, based on whether the target documents of the query have annotated queries in the training data,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 151, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 505, + 165 + ], + "score": 1.0, + "content": "to test the generalization ability of the model on unlabeled documents. More details about data", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 163, + 358, + 175 + ], + "spans": [ + { + "bbox": [ + 105, + 163, + 358, + 175 + ], + "score": 1.0, + "content": "pre-processing and data statistics are listed in the Appendix A.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 179, + 505, + 223 + ], + "lines": [ + { + "bbox": [ + 106, + 179, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 222, + 191 + ], + "score": 1.0, + "content": "On NQ320K, we use Recall", + "type": "text" + }, + { + "bbox": [ + 222, + 179, + 276, + 191 + ], + "score": 0.57, + "content": "\\ @ \\left\\{ 1 , 1 0 , 1 0 0 \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 180, + 423, + 191 + ], + "score": 1.0, + "content": "and Mean Reciprocal Rank (MRR)", + "type": "text" + }, + { + "bbox": [ + 423, + 180, + 448, + 190 + ], + "score": 0.77, + "content": "@ 1 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 180, + 505, + 191 + ], + "score": 1.0, + "content": "as evaluation", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 190, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 331, + 202 + ], + "score": 1.0, + "content": "metrics, following [41]. On MS MARCO, we use Recall", + "type": "text" + }, + { + "bbox": [ + 332, + 190, + 390, + 202 + ], + "score": 0.34, + "content": " @ \\{ 1 , 1 0 , 1 0 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 190, + 430, + 202 + ], + "score": 1.0, + "content": "and MRR", + "type": "text" + }, + { + "bbox": [ + 431, + 191, + 450, + 200 + ], + "score": 0.66, + "content": "@ 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 190, + 505, + 202 + ], + "score": 1.0, + "content": "as evaluation", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 201, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 303, + 214 + ], + "score": 1.0, + "content": "metrics, following [46]. On BEIR, we use nDCG", + "type": "text" + }, + { + "bbox": [ + 303, + 201, + 322, + 212 + ], + "score": 0.61, + "content": "@ 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 201, + 505, + 214 + ], + "score": 1.0, + "content": "as the main metrics and calculate the average", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 212, + 422, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 133, + 225 + ], + "score": 1.0, + "content": "nDCG", + "type": "text" + }, + { + "bbox": [ + 134, + 212, + 153, + 223 + ], + "score": 0.49, + "content": "@ 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 213, + 422, + 225 + ], + "score": 1.0, + "content": "values across multiple downstream sub-datasets as overall metrics.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5 + }, + { + "type": "title", + "bbox": [ + 107, + 240, + 170, + 251 + ], + "lines": [ + { + "bbox": [ + 105, + 238, + 171, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 171, + 253 + ], + "score": 1.0, + "content": "4.2 Baselines", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 261, + 506, + 349 + ], + "lines": [ + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "We consider three types of baselines: sparse retrieval methods, dense retrieval methods, and generative", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 273, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 285 + ], + "score": 1.0, + "content": "retrieval methods. The sparse retrieval baselines are: BM25 [32] and DocT5Query [24]. The dense", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 282, + 507, + 297 + ], + "spans": [ + { + "bbox": [ + 104, + 282, + 507, + 297 + ], + "score": 1.0, + "content": "retrieval baselines are: DPR [13], ANCE [42], Sentence-T5 [22], GTR [23], and Contriever [11].", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 294, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 506, + 306 + ], + "score": 1.0, + "content": "The generative retrieval baselines are: GENRE [5], DSI [37], SEAL [1], CGR-Contra [17], DSI-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 304, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 318 + ], + "score": 1.0, + "content": "QG [47], NCI [41], and Ultron [46]. The following three baselines use the same pre-trained LM", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 315, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 104, + 315, + 506, + 329 + ], + "score": 1.0, + "content": "T5 as GENRET: (i) Sentence-T5 outputs continuous vectors, (ii) GENRE outputs document titles,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "and (iii) DSI-QG outputs clustering IDs, while GENRET outputs docids learned using the proposed", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 338, + 419, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 419, + 350 + ], + "score": 1.0, + "content": "tokenization method. See Appendix B for more details on the other baselines.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5 + }, + { + "type": "title", + "bbox": [ + 108, + 366, + 229, + 377 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 230, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 230, + 379 + ], + "score": 1.0, + "content": "4.3 Implementation details", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 387, + 505, + 475 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 506, + 399 + ], + "score": 1.0, + "content": "Hyper-parameters. In our experiments, we utilize the T5-Base model [27] as the base Transformer", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 398, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 272, + 410 + ], + "score": 1.0, + "content": "and initialize a new codebook embedding", + "type": "text" + }, + { + "bbox": [ + 272, + 398, + 285, + 409 + ], + "score": 0.88, + "content": "\\mathbf { E } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 398, + 506, + 410 + ], + "score": 1.0, + "content": "for each time step. The parameters of both the encoder-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 410, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 420 + ], + "score": 1.0, + "content": "decoder and codebook are shared between the tokenization model and the retrieval model. We set the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 202, + 432 + ], + "score": 1.0, + "content": "number of clusters to be", + "type": "text" + }, + { + "bbox": [ + 203, + 420, + 241, + 430 + ], + "score": 0.89, + "content": "K = 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 419, + 413, + 432 + ], + "score": 1.0, + "content": "for all datasets, with the length of the docid", + "type": "text" + }, + { + "bbox": [ + 413, + 420, + 425, + 430 + ], + "score": 0.71, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "being dependent on", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "score": 1.0, + "content": "the number of documents present. For datasets containing a larger number of candidate documents, a", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 166, + 454 + ], + "score": 1.0, + "content": "larger value of", + "type": "text" + }, + { + "bbox": [ + 167, + 442, + 178, + 452 + ], + "score": 0.78, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "is set to ensure that all documents are assigned unique document ids. In the docid", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 248, + 465 + ], + "score": 1.0, + "content": "re-assignment, the hyper-parameter", + "type": "text" + }, + { + "bbox": [ + 248, + 455, + 254, + 462 + ], + "score": 0.7, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "is set to 1.0, and the Sinkhorn-Knopp algorithm is executed for", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 166, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 166, + 475 + ], + "score": 1.0, + "content": "100 iterations.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 482, + 505, + 581 + ], + "lines": [ + { + "bbox": [ + 105, + 482, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 497 + ], + "score": 1.0, + "content": "Indexing with query generation. Following previous work [47, 41, 40], we use query generation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "score": 1.0, + "content": "models to generate synthetic (query, document) pairs for data augmentation. Specifically, we use the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 505, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 104, + 505, + 506, + 517 + ], + "score": 1.0, + "content": "pre-trained query generation model from DocT5Query [24] to augment the NQ and MS MARCO", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 386, + 528 + ], + "score": 1.0, + "content": "datasets. In query generation, we use nucleus sampling with parameters", + "type": "text" + }, + { + "bbox": [ + 386, + 516, + 452, + 527 + ], + "score": 0.85, + "content": "p = 0 . 8 , t = 0 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 515, + 505, + 528 + ], + "score": 1.0, + "content": "and generate", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 525, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 104, + 525, + 506, + 540 + ], + "score": 1.0, + "content": "five queries for each document in the collection. For the BEIR datasets, we use the queries generated", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "score": 1.0, + "content": "by GPL [40]. GPL uses a DocT5Query [24] generator trained on MS MARCO to generate about", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "score": 1.0, + "content": "250K queries for each BEIR dataset. Note that the query generator used for BEIR is purely trained", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 557, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 505, + 573 + ], + "score": 1.0, + "content": "on MS MARCO (without using any training data of BEIR) and thus conforms to the zero-shot setting", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 570, + 179, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 179, + 582 + ], + "score": 1.0, + "content": "of BEIR [38, 40].", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 589, + 506, + 698 + ], + "lines": [ + { + "bbox": [ + 106, + 589, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 505, + 602 + ], + "score": 1.0, + "content": "Training and inference. The proposed models and the reproduced baselines are implemented with", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "PyTorch 1.7.1 and HuggingFace transformers 4.22.2. We optimize the model using AdamW and set", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 182, + 624 + ], + "score": 1.0, + "content": "the learning rate to", + "type": "text" + }, + { + "bbox": [ + 182, + 612, + 211, + 622 + ], + "score": 0.83, + "content": "5 e - 4", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 610, + 447, + 624 + ], + "score": 1.0, + "content": ". The batch size is 256, and the model is optimized for up to", + "type": "text" + }, + { + "bbox": [ + 447, + 611, + 469, + 622 + ], + "score": 0.37, + "content": "5 0 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 610, + 506, + 624 + ], + "score": 1.0, + "content": "steps for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 622, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 506, + 635 + ], + "score": 1.0, + "content": "each timestep. During training, we pre-gather documents which share the same docid prefix into a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "batch. Therefore, the reassignment strategy is applied to a batch, where we aim to have documents", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "score": 1.0, + "content": "with as diverse IDs as possible. We add a factor of 0.1 to the reconstruction losses to balance the scale.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "In progressive training, we first warm up the model for 5K steps and then initialize the codebook", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "using the clustering centroids as mentioned in Section 3.2.1. We use constrained clustering4 to obtain", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 675, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 506, + 690 + ], + "score": 1.0, + "content": "diverse clustering results. During inference, we use beam search with constrained decoding [5] and a", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 687, + 179, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 179, + 699 + ], + "score": 1.0, + "content": "beam size of 100.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 42.5 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 119, + 712, + 336, + 722 + ], + "lines": [ + { + "bbox": [ + 120, + 711, + 338, + 723 + ], + "spans": [ + { + "bbox": [ + 120, + 711, + 338, + 723 + ], + "score": 1.0, + "content": "4https://github.com/joshlk/k-means-constrained", + "type": "text" + } + ] + } + ] + }, + { + "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, + 71, + 228, + 85 + ], + "lines": [ + { + "bbox": [ + 104, + 68, + 230, + 90 + ], + "spans": [ + { + "bbox": [ + 104, + 68, + 230, + 90 + ], + "score": 1.0, + "content": "4 Experimental Setup", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "title", + "bbox": [ + 108, + 98, + 266, + 109 + ], + "lines": [ + { + "bbox": [ + 106, + 97, + 266, + 110 + ], + "spans": [ + { + "bbox": [ + 106, + 97, + 266, + 110 + ], + "score": 1.0, + "content": "4.1 Datasets and evalutaion metrics", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 119, + 505, + 174 + ], + "lines": [ + { + "bbox": [ + 105, + 118, + 507, + 132 + ], + "spans": [ + { + "bbox": [ + 105, + 118, + 507, + 132 + ], + "score": 1.0, + "content": "We conduct experiments on three well-known document retrieval datasets: NQ320K [15],", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 129, + 506, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 129, + 506, + 144 + ], + "score": 1.0, + "content": "MS MARCO [4], and BEIR [38]. We divide the test set of NQ320K into seen test and unseen", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 140, + 507, + 154 + ], + "spans": [ + { + "bbox": [ + 105, + 140, + 507, + 154 + ], + "score": 1.0, + "content": "test, based on whether the target documents of the query have annotated queries in the training data,", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 151, + 505, + 165 + ], + "spans": [ + { + "bbox": [ + 106, + 151, + 505, + 165 + ], + "score": 1.0, + "content": "to test the generalization ability of the model on unlabeled documents. More details about data", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 163, + 358, + 175 + ], + "spans": [ + { + "bbox": [ + 105, + 163, + 358, + 175 + ], + "score": 1.0, + "content": "pre-processing and data statistics are listed in the Appendix A.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 118, + 507, + 175 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 179, + 505, + 223 + ], + "lines": [ + { + "bbox": [ + 106, + 179, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 222, + 191 + ], + "score": 1.0, + "content": "On NQ320K, we use Recall", + "type": "text" + }, + { + "bbox": [ + 222, + 179, + 276, + 191 + ], + "score": 0.57, + "content": "\\ @ \\left\\{ 1 , 1 0 , 1 0 0 \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 180, + 423, + 191 + ], + "score": 1.0, + "content": "and Mean Reciprocal Rank (MRR)", + "type": "text" + }, + { + "bbox": [ + 423, + 180, + 448, + 190 + ], + "score": 0.77, + "content": "@ 1 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 449, + 180, + 505, + 191 + ], + "score": 1.0, + "content": "as evaluation", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 190, + 505, + 202 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 331, + 202 + ], + "score": 1.0, + "content": "metrics, following [41]. On MS MARCO, we use Recall", + "type": "text" + }, + { + "bbox": [ + 332, + 190, + 390, + 202 + ], + "score": 0.34, + "content": " @ \\{ 1 , 1 0 , 1 0 0 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 190, + 430, + 202 + ], + "score": 1.0, + "content": "and MRR", + "type": "text" + }, + { + "bbox": [ + 431, + 191, + 450, + 200 + ], + "score": 0.66, + "content": "@ 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 190, + 505, + 202 + ], + "score": 1.0, + "content": "as evaluation", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 201, + 505, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 201, + 303, + 214 + ], + "score": 1.0, + "content": "metrics, following [46]. On BEIR, we use nDCG", + "type": "text" + }, + { + "bbox": [ + 303, + 201, + 322, + 212 + ], + "score": 0.61, + "content": "@ 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 201, + 505, + 214 + ], + "score": 1.0, + "content": "as the main metrics and calculate the average", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 212, + 422, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 133, + 225 + ], + "score": 1.0, + "content": "nDCG", + "type": "text" + }, + { + "bbox": [ + 134, + 212, + 153, + 223 + ], + "score": 0.49, + "content": "@ 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 213, + 422, + 225 + ], + "score": 1.0, + "content": "values across multiple downstream sub-datasets as overall metrics.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 179, + 505, + 225 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 240, + 170, + 251 + ], + "lines": [ + { + "bbox": [ + 105, + 238, + 171, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 171, + 253 + ], + "score": 1.0, + "content": "4.2 Baselines", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 261, + 506, + 349 + ], + "lines": [ + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 505, + 274 + ], + "score": 1.0, + "content": "We consider three types of baselines: sparse retrieval methods, dense retrieval methods, and generative", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 273, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 285 + ], + "score": 1.0, + "content": "retrieval methods. The sparse retrieval baselines are: BM25 [32] and DocT5Query [24]. The dense", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 282, + 507, + 297 + ], + "spans": [ + { + "bbox": [ + 104, + 282, + 507, + 297 + ], + "score": 1.0, + "content": "retrieval baselines are: DPR [13], ANCE [42], Sentence-T5 [22], GTR [23], and Contriever [11].", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 294, + 506, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 294, + 506, + 306 + ], + "score": 1.0, + "content": "The generative retrieval baselines are: GENRE [5], DSI [37], SEAL [1], CGR-Contra [17], DSI-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 304, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 506, + 318 + ], + "score": 1.0, + "content": "QG [47], NCI [41], and Ultron [46]. The following three baselines use the same pre-trained LM", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 315, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 104, + 315, + 506, + 329 + ], + "score": 1.0, + "content": "T5 as GENRET: (i) Sentence-T5 outputs continuous vectors, (ii) GENRE outputs document titles,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "and (iii) DSI-QG outputs clustering IDs, while GENRET outputs docids learned using the proposed", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 338, + 419, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 419, + 350 + ], + "score": 1.0, + "content": "tokenization method. See Appendix B for more details on the other baselines.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5, + "bbox_fs": [ + 104, + 261, + 507, + 350 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 366, + 229, + 377 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 230, + 379 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 230, + 379 + ], + "score": 1.0, + "content": "4.3 Implementation details", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 387, + 505, + 475 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 506, + 399 + ], + "score": 1.0, + "content": "Hyper-parameters. In our experiments, we utilize the T5-Base model [27] as the base Transformer", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 398, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 272, + 410 + ], + "score": 1.0, + "content": "and initialize a new codebook embedding", + "type": "text" + }, + { + "bbox": [ + 272, + 398, + 285, + 409 + ], + "score": 0.88, + "content": "\\mathbf { E } _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 398, + 506, + 410 + ], + "score": 1.0, + "content": "for each time step. The parameters of both the encoder-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 410, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 420 + ], + "score": 1.0, + "content": "decoder and codebook are shared between the tokenization model and the retrieval model. We set the", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 202, + 432 + ], + "score": 1.0, + "content": "number of clusters to be", + "type": "text" + }, + { + "bbox": [ + 203, + 420, + 241, + 430 + ], + "score": 0.89, + "content": "K = 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 419, + 413, + 432 + ], + "score": 1.0, + "content": "for all datasets, with the length of the docid", + "type": "text" + }, + { + "bbox": [ + 413, + 420, + 425, + 430 + ], + "score": 0.71, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "being dependent on", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 506, + 443 + ], + "score": 1.0, + "content": "the number of documents present. For datasets containing a larger number of candidate documents, a", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 442, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 166, + 454 + ], + "score": 1.0, + "content": "larger value of", + "type": "text" + }, + { + "bbox": [ + 167, + 442, + 178, + 452 + ], + "score": 0.78, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 442, + 506, + 454 + ], + "score": 1.0, + "content": "is set to ensure that all documents are assigned unique document ids. In the docid", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 248, + 465 + ], + "score": 1.0, + "content": "re-assignment, the hyper-parameter", + "type": "text" + }, + { + "bbox": [ + 248, + 455, + 254, + 462 + ], + "score": 0.7, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "is set to 1.0, and the Sinkhorn-Knopp algorithm is executed for", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 166, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 166, + 475 + ], + "score": 1.0, + "content": "100 iterations.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 387, + 506, + 475 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 482, + 505, + 581 + ], + "lines": [ + { + "bbox": [ + 105, + 482, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 497 + ], + "score": 1.0, + "content": "Indexing with query generation. Following previous work [47, 41, 40], we use query generation", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 506, + 507 + ], + "score": 1.0, + "content": "models to generate synthetic (query, document) pairs for data augmentation. Specifically, we use the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 505, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 104, + 505, + 506, + 517 + ], + "score": 1.0, + "content": "pre-trained query generation model from DocT5Query [24] to augment the NQ and MS MARCO", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 386, + 528 + ], + "score": 1.0, + "content": "datasets. In query generation, we use nucleus sampling with parameters", + "type": "text" + }, + { + "bbox": [ + 386, + 516, + 452, + 527 + ], + "score": 0.85, + "content": "p = 0 . 8 , t = 0 . 8", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 515, + 505, + 528 + ], + "score": 1.0, + "content": "and generate", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 525, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 104, + 525, + 506, + 540 + ], + "score": 1.0, + "content": "five queries for each document in the collection. For the BEIR datasets, we use the queries generated", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 506, + 550 + ], + "score": 1.0, + "content": "by GPL [40]. GPL uses a DocT5Query [24] generator trained on MS MARCO to generate about", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 506, + 561 + ], + "score": 1.0, + "content": "250K queries for each BEIR dataset. Note that the query generator used for BEIR is purely trained", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 557, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 557, + 505, + 573 + ], + "score": 1.0, + "content": "on MS MARCO (without using any training data of BEIR) and thus conforms to the zero-shot setting", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 570, + 179, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 179, + 582 + ], + "score": 1.0, + "content": "of BEIR [38, 40].", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33, + "bbox_fs": [ + 104, + 482, + 506, + 582 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 589, + 506, + 698 + ], + "lines": [ + { + "bbox": [ + 106, + 589, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 505, + 602 + ], + "score": 1.0, + "content": "Training and inference. The proposed models and the reproduced baselines are implemented with", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "PyTorch 1.7.1 and HuggingFace transformers 4.22.2. We optimize the model using AdamW and set", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 610, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 182, + 624 + ], + "score": 1.0, + "content": "the learning rate to", + "type": "text" + }, + { + "bbox": [ + 182, + 612, + 211, + 622 + ], + "score": 0.83, + "content": "5 e - 4", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 610, + 447, + 624 + ], + "score": 1.0, + "content": ". The batch size is 256, and the model is optimized for up to", + "type": "text" + }, + { + "bbox": [ + 447, + 611, + 469, + 622 + ], + "score": 0.37, + "content": "5 0 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 469, + 610, + 506, + 624 + ], + "score": 1.0, + "content": "steps for", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 622, + 506, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 506, + 635 + ], + "score": 1.0, + "content": "each timestep. During training, we pre-gather documents which share the same docid prefix into a", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 633, + 506, + 646 + ], + "score": 1.0, + "content": "batch. Therefore, the reassignment strategy is applied to a batch, where we aim to have documents", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 644, + 506, + 656 + ], + "score": 1.0, + "content": "with as diverse IDs as possible. We add a factor of 0.1 to the reconstruction losses to balance the scale.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 506, + 667 + ], + "score": 1.0, + "content": "In progressive training, we first warm up the model for 5K steps and then initialize the codebook", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "using the clustering centroids as mentioned in Section 3.2.1. We use constrained clustering4 to obtain", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 675, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 675, + 506, + 690 + ], + "score": 1.0, + "content": "diverse clustering results. During inference, we use beam search with constrained decoding [5] and a", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 687, + 179, + 699 + ], + "spans": [ + { + "bbox": [ + 106, + 687, + 179, + 699 + ], + "score": 1.0, + "content": "beam size of 100.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 589, + 506, + 699 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 139, + 506, + 352 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 71, + 505, + 137 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 71, + 505, + 84 + ], + "spans": [ + { + "bbox": [ + 105, + 71, + 505, + 84 + ], + "score": 1.0, + "content": "Table 1: Results on Natural Questions (NQ320K). The results of the methods marked with † are", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 457, + 96 + ], + "score": 1.0, + "content": "from our own re-implementation, others are from their official implementation. * and", + "type": "text" + }, + { + "bbox": [ + 458, + 84, + 469, + 93 + ], + "score": 0.54, + "content": "^ { * * }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 83, + 505, + 96 + ], + "score": 1.0, + "content": "indicate", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 94, + 424, + 106 + ], + "score": 1.0, + "content": "significant improvements over previous-best generative retrieval baselines with", + "type": "text" + }, + { + "bbox": [ + 425, + 96, + 432, + 106 + ], + "score": 0.31, + "content": "\\mathsf { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 94, + 457, + 106 + ], + "score": 1.0, + "content": "-value", + "type": "text" + }, + { + "bbox": [ + 457, + 95, + 487, + 105 + ], + "score": 0.87, + "content": "< 0 . 0 5", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 104, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 139, + 118 + ], + "score": 1.0, + "content": "p-value", + "type": "text" + }, + { + "bbox": [ + 139, + 105, + 169, + 115 + ], + "score": 0.85, + "content": "< 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 104, + 228, + 118 + ], + "score": 1.0, + "content": ", respectively.", + "type": "text" + }, + { + "bbox": [ + 228, + 105, + 235, + 117 + ], + "score": 0.77, + "content": "\\natural", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 104, + 253, + 118 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 253, + 105, + 259, + 116 + ], + "score": 0.81, + "content": "\\sharp", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 104, + 505, + 118 + ], + "score": 1.0, + "content": "indicate significant improvements over previous-best dense", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 202, + 128 + ], + "score": 1.0, + "content": "retrieval baselines with", + "type": "text" + }, + { + "bbox": [ + 203, + 117, + 209, + 127 + ], + "score": 0.3, + "content": "\\boldsymbol { \\mathrm { p } }", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 115, + 235, + 128 + ], + "score": 1.0, + "content": "-value", + "type": "text" + }, + { + "bbox": [ + 235, + 117, + 265, + 126 + ], + "score": 0.85, + "content": "< 0 . 0 5", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 115, + 283, + 128 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 283, + 117, + 290, + 127 + ], + "score": 0.31, + "content": "\\mathsf { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 115, + 316, + 128 + ], + "score": 1.0, + "content": "-value", + "type": "text" + }, + { + "bbox": [ + 316, + 116, + 345, + 127 + ], + "score": 0.85, + "content": "< 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 115, + 505, + 128 + ], + "score": 1.0, + "content": ", respectively. The best results for each", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 237, + 138 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 237, + 138 + ], + "score": 1.0, + "content": "metric are indicated in boldface.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 139, + 506, + 352 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 139, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 506, + 352 + ], + "score": 0.986, + "html": "
Full testSeen testUnseen test
MethodR@1 R@10 R@100MRR R@1 R@10 R@100 MRR R@1 R@10 R@100 MRR
Sparse retrieval
BM25[32]29.760.382.140.229.159.882.439.532.361.981.242.7
DocT5Query [24]38.069.386.148.935.168.386.446.748.572.985.057.0
Dense retrieval
DPR[13]50.277.790.959.950.278.791.660.250.074.288.758.8
ANCE [42]50.278.591.460.249.779.292.360.152.075.988.060.5
Sentence-T5† [22]53.683.093.864.153.483.994.763.856.579.590.764.9
GTR-Base [23]56.084.493.766.254.484.794.265.361.983.292.169.6
Generative retrieval
GENRE† [5]55.267.375.459.969.583.790.475.06.010.423.47.8
DSI+ [37]55.267.478.059.669.783.690.574.71.37.231.53.5
SEAL [1]59.981.290.967.71---1---
CGR-Contra [17]63.481.1--11------
DSI-QG+ [47]63.180.788.069.568.085.091.474.345.965.876.352.8
NCI [41]66.485.792.473.669.888.594.676.854.575.984.862.4
Ours68.1*88.8*日95.2*75.9*70.2#90.3#96.077.7#62.5**83.6**92.5**70.4*
", + "type": "table", + "image_path": "eb9571d04271d4dc143ca7e94f8da15b98f52a5f3c071fc8755e1ec6ef428a16.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 106, + 139, + 506, + 210.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 106, + 210.0, + 506, + 281.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 106, + 281.0, + 506, + 352.0 + ], + "spans": [], + "index": 8 + } + ] + } + ], + "index": 4.75 + }, + { + "type": "title", + "bbox": [ + 107, + 365, + 233, + 379 + ], + "lines": [ + { + "bbox": [ + 103, + 364, + 234, + 382 + ], + "spans": [ + { + "bbox": [ + 103, + 364, + 234, + 382 + ], + "score": 1.0, + "content": "5 Experimental results", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "title", + "bbox": [ + 107, + 390, + 184, + 402 + ], + "lines": [ + { + "bbox": [ + 105, + 389, + 185, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 185, + 403 + ], + "score": 1.0, + "content": "5.1 Main results", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 410, + 505, + 509 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 423 + ], + "score": 1.0, + "content": "Results on NQ320K. In Table 1, we list the results on NQ320K. GENRET outperforms both the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 421, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 433 + ], + "score": 1.0, + "content": "strong pre-trained dense retrieval model, GTR, and the previous best generative retrieval method,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 433, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 505, + 446 + ], + "score": 1.0, + "content": "NCI, thereby establishing a new state-of-the-art on the NQ320K dataset. Furthermore, our results", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "reveal that existing generative retrieval methods perform well on the seen test but lag behind dense", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 453, + 507, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 387, + 467 + ], + "score": 1.0, + "content": "retrieval methods on the unseen test. For example, NCI obtains an MRR", + "type": "text" + }, + { + "bbox": [ + 387, + 454, + 411, + 465 + ], + "score": 0.57, + "content": "@ 1 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 453, + 507, + 467 + ], + "score": 1.0, + "content": "of 76.8 on the seen test,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 464, + 507, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 228, + 478 + ], + "score": 1.0, + "content": "which is higher than the MRR", + "type": "text" + }, + { + "bbox": [ + 229, + 465, + 254, + 475 + ], + "score": 0.64, + "content": "@ 1 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 464, + 507, + 478 + ], + "score": 1.0, + "content": "of 65.3 obtained by GTR-Base. However, on unseen test data,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 476, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 506, + 488 + ], + "score": 1.0, + "content": "NCI performs worse than GTR-Base. In contrast, GENRET performs well on both seen and unseen", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 487, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 499 + ], + "score": 1.0, + "content": "test data. This result highlights the ability of GENRET to combine the advantages of both dense and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 497, + 491, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 491, + 511 + ], + "score": 1.0, + "content": "generative retrieval by learning discrete docids with semantics through end-to-end optimization.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 517, + 505, + 626 + ], + "lines": [ + { + "bbox": [ + 106, + 517, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 517, + 506, + 528 + ], + "score": 1.0, + "content": "Results on MS MARCO. Table 2 presents the results on the MS MARCO dataset. GENRET", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 528, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 505, + 539 + ], + "score": 1.0, + "content": "outperforms generative retrieval methods such as Ultron and dense retrieval baselines such as ANCE", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 537, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 506, + 552 + ], + "score": 1.0, + "content": "and Sentence-T5. Furthermore, previous generative retrieval methods (e.g., GENRE, Ultron) utilizing", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "metadata such as the title and URL, while exhibiting decent performance on the NQ320K dataset,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "score": 1.0, + "content": "underperform in comparison to dense retrieval and sparse retrieval methods on the MS MARCO", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 570, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 505, + 584 + ], + "score": 1.0, + "content": "dataset. This may be because the NQ320K dataset retrieves Wikipedia documents, where metadata", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "score": 1.0, + "content": "like the title effectively capture the semantics of the document. In the case of the MS MARCO dataset,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 592, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 506, + 606 + ], + "score": 1.0, + "content": "which is a web search dataset, the metadata often does not adequately characterize the documents,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "resulting in a decline in performance of the generative retrieval model. In contrast, GENRET learns to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 615, + 430, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 430, + 627 + ], + "score": 1.0, + "content": "generate semantic docids that effectively enhance the generative retrieval model.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 506, + 646 + ], + "score": 1.0, + "content": "Results on BEIR. Table 3 lists the results of the baselines and GENRET on six datasets of BEIR.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "These datasets represent a diverse range of information retrieval scenarios. On average, GENRET", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "outperforms strong baselines including BM25 and ST5 GPL, and achieves competitive results", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "compared to previous-best sparse and dense retrieval methods. Additionally, GENRET demonstrates", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "a significant improvement over the previous generative retrieval model GENRE that utilizes titles as", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "score": 1.0, + "content": "docids. Furthermore, GENRE performs poorly on some datasets, such as BEIR-Covid and BEIR-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "SciDocs. 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The best results for each", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 127, + 237, + 138 + ], + "spans": [ + { + "bbox": [ + 106, + 127, + 237, + 138 + ], + "score": 1.0, + "content": "metric are indicated in boldface.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "table_body", + "bbox": [ + 106, + 139, + 506, + 352 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 139, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 506, + 352 + ], + "score": 0.986, + "html": "
Full testSeen testUnseen test
MethodR@1 R@10 R@100MRR R@1 R@10 R@100 MRR R@1 R@10 R@100 MRR
Sparse retrieval
BM25[32]29.760.382.140.229.159.882.439.532.361.981.242.7
DocT5Query [24]38.069.386.148.935.168.386.446.748.572.985.057.0
Dense retrieval
DPR[13]50.277.790.959.950.278.791.660.250.074.288.758.8
ANCE [42]50.278.591.460.249.779.292.360.152.075.988.060.5
Sentence-T5† [22]53.683.093.864.153.483.994.763.856.579.590.764.9
GTR-Base [23]56.084.493.766.254.484.794.265.361.983.292.169.6
Generative retrieval
GENRE† [5]55.267.375.459.969.583.790.475.06.010.423.47.8
DSI+ [37]55.267.478.059.669.783.690.574.71.37.231.53.5
SEAL [1]59.981.290.967.71---1---
CGR-Contra [17]63.481.1--11------
DSI-QG+ [47]63.180.788.069.568.085.091.474.345.965.876.352.8
NCI [41]66.485.792.473.669.888.594.676.854.575.984.862.4
Ours68.1*88.8*日95.2*75.9*70.2#90.3#96.077.7#62.5**83.6**92.5**70.4*
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In Table 1, we list the results on NQ320K. GENRET outperforms both the", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 421, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 433 + ], + "score": 1.0, + "content": "strong pre-trained dense retrieval model, GTR, and the previous best generative retrieval method,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 433, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 433, + 505, + 446 + ], + "score": 1.0, + "content": "NCI, thereby establishing a new state-of-the-art on the NQ320K dataset. Furthermore, our results", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "reveal that existing generative retrieval methods perform well on the seen test but lag behind dense", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 453, + 507, + 467 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 387, + 467 + ], + "score": 1.0, + "content": "retrieval methods on the unseen test. For example, NCI obtains an MRR", + "type": "text" + }, + { + "bbox": [ + 387, + 454, + 411, + 465 + ], + "score": 0.57, + "content": "@ 1 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 453, + 507, + 467 + ], + "score": 1.0, + "content": "of 76.8 on the seen test,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 464, + 507, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 464, + 228, + 478 + ], + "score": 1.0, + "content": "which is higher than the MRR", + "type": "text" + }, + { + "bbox": [ + 229, + 465, + 254, + 475 + ], + "score": 0.64, + "content": "@ 1 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 254, + 464, + 507, + 478 + ], + "score": 1.0, + "content": "of 65.3 obtained by GTR-Base. However, on unseen test data,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 476, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 506, + 488 + ], + "score": 1.0, + "content": "NCI performs worse than GTR-Base. In contrast, GENRET performs well on both seen and unseen", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 487, + 505, + 499 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 499 + ], + "score": 1.0, + "content": "test data. This result highlights the ability of GENRET to combine the advantages of both dense and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 497, + 491, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 491, + 511 + ], + "score": 1.0, + "content": "generative retrieval by learning discrete docids with semantics through end-to-end optimization.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 410, + 507, + 511 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 517, + 505, + 626 + ], + "lines": [ + { + "bbox": [ + 106, + 517, + 506, + 528 + ], + "spans": [ + { + "bbox": [ + 106, + 517, + 506, + 528 + ], + "score": 1.0, + "content": "Results on MS MARCO. Table 2 presents the results on the MS MARCO dataset. GENRET", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 528, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 505, + 539 + ], + "score": 1.0, + "content": "outperforms generative retrieval methods such as Ultron and dense retrieval baselines such as ANCE", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 537, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 506, + 552 + ], + "score": 1.0, + "content": "and Sentence-T5. Furthermore, previous generative retrieval methods (e.g., GENRE, Ultron) utilizing", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "metadata such as the title and URL, while exhibiting decent performance on the NQ320K dataset,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 573 + ], + "score": 1.0, + "content": "underperform in comparison to dense retrieval and sparse retrieval methods on the MS MARCO", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 570, + 505, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 505, + 584 + ], + "score": 1.0, + "content": "dataset. This may be because the NQ320K dataset retrieves Wikipedia documents, where metadata", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 506, + 595 + ], + "score": 1.0, + "content": "like the title effectively capture the semantics of the document. In the case of the MS MARCO dataset,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 592, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 506, + 606 + ], + "score": 1.0, + "content": "which is a web search dataset, the metadata often does not adequately characterize the documents,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "resulting in a decline in performance of the generative retrieval model. In contrast, GENRET learns to", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 615, + 430, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 615, + 430, + 627 + ], + "score": 1.0, + "content": "generate semantic docids that effectively enhance the generative retrieval model.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 517, + 506, + 627 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 506, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 506, + 646 + ], + "score": 1.0, + "content": "Results on BEIR. Table 3 lists the results of the baselines and GENRET on six datasets of BEIR.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "These datasets represent a diverse range of information retrieval scenarios. On average, GENRET", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 505, + 668 + ], + "score": 1.0, + "content": "outperforms strong baselines including BM25 and ST5 GPL, and achieves competitive results", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "compared to previous-best sparse and dense retrieval methods. Additionally, GENRET demonstrates", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "a significant improvement over the previous generative retrieval model GENRE that utilizes titles as", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 507, + 702 + ], + "score": 1.0, + "content": "docids. Furthermore, GENRE performs poorly on some datasets, such as BEIR-Covid and BEIR-", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 505, + 712 + ], + "score": 1.0, + "content": "SciDocs. This may be because the titles of the documents in these datasets do not adequately capture", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 710, + 199, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 199, + 722 + ], + "score": 1.0, + "content": "their semantic content.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 635, + 507, + 722 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 149, + 280, + 304 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 83, + 281, + 148 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 83, + 282, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 282, + 94 + ], + "score": 1.0, + "content": "Table 2: Results on MS MARCO. The re-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 281, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 281, + 105 + ], + "score": 1.0, + "content": "sults of the methods marked with † are from", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 281, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 281, + 116 + ], + "score": 1.0, + "content": "our own re-implementation, other results", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 282, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 282, + 127 + ], + "score": 1.0, + "content": "are cited from the original paper or imple-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 281, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 281, + 138 + ], + "score": 1.0, + "content": "mented using official code. The best results", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 210, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 210, + 149 + ], + "score": 1.0, + "content": "are indicated in boldface.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "table_body", + "bbox": [ + 107, + 149, + 280, + 304 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 149, + 280, + 304 + ], + "spans": [ + { + "bbox": [ + 107, + 149, + 280, + 304 + ], + "score": 0.979, + "html": "
Method R@1 R@10 R@100 MRR
Sparse retrieval BM25 [32] 39.1 69.1 86.2 48.6
DocT5Query [24] 46.7 76.5 90.4 56.2
Dense retrieval ANCE [42] 45.6 75.7 89.6 55.6
Sentence-T5t [22] 41.8 75.4 91.2 52.8
Generative retrieval
GENRE+ [5] 35.6 57.6 79.1 42.3 40.0
Ultron-URL [46] 29.6 67.8 -
Ultron-PQ [46] 31.6 73.1 45.4 -
Ultron-Atomic [46] 32.8 74.1 46.9 =
Ours 47.9 79.8 91.6 58.1
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MethodArg Covid NFC SciF. SciD.FiQA Avg.
Sparse retrieval BM25 [32]29.1 58.9 33.5 67.4 14.8 23.6 37.8
DocT5Query [24]34.9 71.3 32.8 67.5 16.2 29.1 41.9 Dense retrieval
ST5 GPL+ [22] 32.1 74.4 30.1 58.6 12.7 26.0 39.0 Contriever [11] 40.0 68.8 33.5 61.4 16.3 30.7 41.8
Generative retrieval
GENRE† [47]
42.514.7 20.0 42.36.8 11.6 30.0
Ours34.3 71.8 31.6 63.9 14.9 30.2 41.1
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\\frac { 1 } { 2 n } \\sum _ { j = 1 } ^ { K } | n _ { j } - n _ { u } | } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 392, + 253, + 416 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 253, + 398, + 263, + 410 + ], + "score": 0.84, + "content": "\\left| \\cdot \\right|", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 392, + 384, + 416 + ], + "score": 1.0, + "content": "represents the absolute value,", + "type": "text" + }, + { + "bbox": [ + 384, + 400, + 392, + 408 + ], + "score": 0.69, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 392, + 506, + 416 + ], + "score": 1.0, + "content": "denotes the total number of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 409, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 104, + 409, + 153, + 425 + ], + "score": 1.0, + "content": "documents,", + "type": "text" + }, + { + "bbox": [ + 154, + 413, + 165, + 423 + ], + "score": 0.86, + "content": "n _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 409, + 370, + 425 + ], + "score": 1.0, + "content": "denotes the number of documents that have a docid", + "type": "text" + }, + { + "bbox": [ + 370, + 411, + 388, + 422 + ], + "score": 0.89, + "content": "= j", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 409, + 408, + 425 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 408, + 411, + 443, + 424 + ], + "score": 0.93, + "content": "\\begin{array} { r } { n _ { u } = \\frac { n } { K } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 409, + 506, + 425 + ], + "score": 1.0, + "content": "is the expected", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 421, + 361, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 361, + 434 + ], + "score": 1.0, + "content": "number of documents per docid under the uniform distribution.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 437, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "The results demonstrate the superiority of GENRET (represented by the yellow line) in terms of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 447, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 327, + 462 + ], + "score": 1.0, + "content": "distribution uniformity. It uses all the potential docid", + "type": "text" + }, + { + "bbox": [ + 327, + 449, + 364, + 459 + ], + "score": 0.9, + "content": "k = 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 447, + 505, + 462 + ], + "score": 1.0, + "content": "and achieves the highest diversity", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 200, + 473 + ], + "score": 1.0, + "content": "metric with a value of", + "type": "text" + }, + { + "bbox": [ + 200, + 460, + 239, + 470 + ], + "score": 0.89, + "content": "d = 0 . 9 0", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 459, + 505, + 473 + ], + "score": 1.0, + "content": ". The method without docid reassignment also yields a relatively", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 300, + 482 + ], + "score": 1.0, + "content": "balanced distribution, with a diversity metric of", + "type": "text" + }, + { + "bbox": [ + 300, + 471, + 338, + 481 + ], + "score": 0.88, + "content": "d = 0 . 7 7", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 470, + 505, + 482 + ], + "score": 1.0, + "content": ". However, the distribution of the method", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 482, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 493 + ], + "score": 1.0, + "content": "without diverse codebook initialization is highly uneven, which could be due to the fact that most", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "of the randomly initialized codebook embeddings are not selected by the model during the initial", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "training phase, leading to a lack of update and further selection in subsequent training. Additionally,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "the models without diverse clustering tend to converge to a trivial solution where all documents are", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 525, + 208, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 208, + 538 + ], + "score": 1.0, + "content": "assigned the same docid.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 43 + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 507, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 507, + 555 + ], + "score": 1.0, + "content": "In Figure 3 (right), the results of two ablated variants are presented. First, GENRET w/o learning is a", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "generative model that has been trained directly using the final output docid from GENRET, without", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "utilizing the proposed learning scheme. Its retrieval performance is comparable to that of GENRET", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 575, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 586 + ], + "score": 1.0, + "content": "on seen test data; however, it is significantly lower on unseen test data. This variant demonstrates that", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "the generative retrieval model jointly trained with auto-encoding objectives can represent documents", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 597, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 608 + ], + "score": 1.0, + "content": "more sensibly based on semantics. This could enhance performance on the less-optimized documents.", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "Contrarily, the parameters obtained via cross-entropy loss on docid generation tasks are less effective", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "in conveying the semantic information of documents. Secondly, GENRET w/ T5-Small uses a small", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 630, + 504, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 504, + 641 + ], + "score": 1.0, + "content": "model, and its performance is inferior to that of GENRET using T5-Base. However, the gap between", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "the performance on seen and unseen test data is smaller, which could be attributed to the limited", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 106, + 651, + 248, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 248, + 663 + ], + "score": 1.0, + "content": "fitting capacity of the small model.", + "type": "text" + } + ], + "index": 58 + } + ], + "index": 53 + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "In Appendix C, we evaluate the proposed model’s capacity to retrieve new documents and find that it", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "performs well in adapting to new documents compared to existing document tokenization approaches.", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "Additionally, in Appendix D, we analyze the efficiency of various retrieval models in comparison to", + "type": "text" + } + ], + "index": 61 + }, + { + "bbox": [ + 105, + 698, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 714 + ], + "score": 1.0, + "content": "the various baselines in terms of memory usage, offline, and online latency, and show the advantages", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 105, + 710, + 201, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 201, + 723 + ], + "score": 1.0, + "content": "of the proposed model.", + "type": "text" + } + ], + "index": 63 + } + ], + "index": 61 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 742, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 301, + 740, + 310, + 752 + ], + "spans": [ + { + "bbox": [ + 301, + 740, + 310, + 752 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 12, + "width": 9 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "table", + "bbox": [ + 107, + 149, + 280, + 304 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 106, + 83, + 281, + 148 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 83, + 282, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 282, + 94 + ], + "score": 1.0, + "content": "Table 2: Results on MS MARCO. The re-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 281, + 105 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 281, + 105 + ], + "score": 1.0, + "content": "sults of the methods marked with † are from", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 281, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 281, + 116 + ], + "score": 1.0, + "content": "our own re-implementation, other results", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 282, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 282, + 127 + ], + "score": 1.0, + "content": "are cited from the original paper or imple-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 127, + 281, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 127, + 281, + 138 + ], + "score": 1.0, + "content": "mented using official code. The best results", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 210, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 210, + 149 + ], + "score": 1.0, + "content": "are indicated in boldface.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "table_body", + "bbox": [ + 107, + 149, + 280, + 304 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 149, + 280, + 304 + ], + "spans": [ + { + "bbox": [ + 107, + 149, + 280, + 304 + ], + "score": 0.979, + "html": "
Method R@1 R@10 R@100 MRR
Sparse retrieval BM25 [32] 39.1 69.1 86.2 48.6
DocT5Query [24] 46.7 76.5 90.4 56.2
Dense retrieval ANCE [42] 45.6 75.7 89.6 55.6
Sentence-T5t [22] 41.8 75.4 91.2 52.8
Generative retrieval
GENRE+ [5] 35.6 57.6 79.1 42.3 40.0
Ultron-URL [46] 29.6 67.8 -
Ultron-PQ [46] 31.6 73.1 45.4 -
Ultron-Atomic [46] 32.8 74.1 46.9 =
Ours 47.9 79.8 91.6 58.1
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MethodArg Covid NFC SciF. SciD.FiQA Avg.
Sparse retrieval BM25 [32]29.1 58.9 33.5 67.4 14.8 23.6 37.8
DocT5Query [24]34.9 71.3 32.8 67.5 16.2 29.1 41.9 Dense retrieval
ST5 GPL+ [22] 32.1 74.4 30.1 58.6 12.7 26.0 39.0 Contriever [11] 40.0 68.8 33.5 61.4 16.3 30.7 41.8
Generative retrieval
GENRE† [47]
42.514.7 20.0 42.36.8 11.6 30.0
Ours34.3 71.8 31.6 63.9 14.9 30.2 41.1
", + "type": "table", + "image_path": "d67ab7e884308b93fa751e68f7b2a9c6d071830dabe59e56ff60eb1e1bad294a.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 291, + 149, + 503, + 162.88888888888889 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 291, + 162.88888888888889, + 503, + 176.77777777777777 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 291, + 176.77777777777777, + 503, + 190.66666666666666 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 291, + 190.66666666666666, + 503, + 204.55555555555554 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 291, + 204.55555555555554, + 503, + 218.44444444444443 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 291, + 218.44444444444443, + 503, + 232.33333333333331 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 291, + 232.33333333333331, + 503, + 246.2222222222222 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 291, + 246.2222222222222, + 503, + 260.1111111111111 + ], + "spans": [], + "index": 30 + }, + { + "bbox": [ + 291, + 260.1111111111111, + 503, + 274.0 + ], + "spans": [], + "index": 31 + } + ] + } + ], + "index": 17.75 + }, + { + "type": "title", + "bbox": [ + 107, + 336, + 229, + 347 + ], + "lines": [ + { + "bbox": [ + 105, + 335, + 230, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 230, + 350 + ], + "score": 1.0, + "content": "5.2 Analytical experiments", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 105, + 358, + 478, + 370 + ], + "lines": [ + { + "bbox": [ + 105, + 357, + 479, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 357, + 479, + 371 + ], + "score": 1.0, + "content": "We further conduct analytical experiments to study the effectiveness of the proposed method.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 357, + 479, + 371 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 374, + 506, + 433 + ], + "lines": [ + { + "bbox": [ + 106, + 374, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 506, + 387 + ], + "score": 1.0, + "content": "In Figure 3 (left), we plot the frequencies of docids at the first timestep of various learning methods.", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 384, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 398, + 398 + ], + "score": 1.0, + "content": "We label each method using a box with a docid and a diversity metric", + "type": "text" + }, + { + "bbox": [ + 398, + 386, + 405, + 396 + ], + "score": 0.79, + "content": "d", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 384, + 506, + 398 + ], + "score": 1.0, + "content": ", which is calculated by:", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 392, + 506, + 416 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 222, + 412 + ], + "score": 0.93, + "content": "\\begin{array} { r } { d = 1 - \\frac { 1 } { 2 n } \\sum _ { j = 1 } ^ { K } | n _ { j } - n _ { u } | } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 392, + 253, + 416 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 253, + 398, + 263, + 410 + ], + "score": 0.84, + "content": "\\left| \\cdot \\right|", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 392, + 384, + 416 + ], + "score": 1.0, + "content": "represents the absolute value,", + "type": "text" + }, + { + "bbox": [ + 384, + 400, + 392, + 408 + ], + "score": 0.69, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 392, + 506, + 416 + ], + "score": 1.0, + "content": "denotes the total number of", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 104, + 409, + 506, + 425 + ], + "spans": [ + { + "bbox": [ + 104, + 409, + 153, + 425 + ], + "score": 1.0, + "content": "documents,", + "type": "text" + }, + { + "bbox": [ + 154, + 413, + 165, + 423 + ], + "score": 0.86, + "content": "n _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 409, + 370, + 425 + ], + "score": 1.0, + "content": "denotes the number of documents that have a docid", + "type": "text" + }, + { + "bbox": [ + 370, + 411, + 388, + 422 + ], + "score": 0.89, + "content": "= j", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 409, + 408, + 425 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 408, + 411, + 443, + 424 + ], + "score": 0.93, + "content": "\\begin{array} { r } { n _ { u } = \\frac { n } { K } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 444, + 409, + 506, + 425 + ], + "score": 1.0, + "content": "is the expected", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 421, + 361, + 434 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 361, + 434 + ], + "score": 1.0, + "content": "number of documents per docid under the uniform distribution.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36, + "bbox_fs": [ + 104, + 374, + 506, + 434 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 437, + 505, + 537 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "The results demonstrate the superiority of GENRET (represented by the yellow line) in terms of", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 447, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 327, + 462 + ], + "score": 1.0, + "content": "distribution uniformity. It uses all the potential docid", + "type": "text" + }, + { + "bbox": [ + 327, + 449, + 364, + 459 + ], + "score": 0.9, + "content": "k = 5 1 2", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 447, + 505, + 462 + ], + "score": 1.0, + "content": "and achieves the highest diversity", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 459, + 505, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 200, + 473 + ], + "score": 1.0, + "content": "metric with a value of", + "type": "text" + }, + { + "bbox": [ + 200, + 460, + 239, + 470 + ], + "score": 0.89, + "content": "d = 0 . 9 0", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 459, + 505, + 473 + ], + "score": 1.0, + "content": ". The method without docid reassignment also yields a relatively", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 300, + 482 + ], + "score": 1.0, + "content": "balanced distribution, with a diversity metric of", + "type": "text" + }, + { + "bbox": [ + 300, + 471, + 338, + 481 + ], + "score": 0.88, + "content": "d = 0 . 7 7", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 470, + 505, + 482 + ], + "score": 1.0, + "content": ". However, the distribution of the method", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 482, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 506, + 493 + ], + "score": 1.0, + "content": "without diverse codebook initialization is highly uneven, which could be due to the fact that most", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "of the randomly initialized codebook embeddings are not selected by the model during the initial", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "training phase, leading to a lack of update and further selection in subsequent training. Additionally,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 505, + 527 + ], + "score": 1.0, + "content": "the models without diverse clustering tend to converge to a trivial solution where all documents are", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 525, + 208, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 208, + 538 + ], + "score": 1.0, + "content": "assigned the same docid.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 43, + "bbox_fs": [ + 105, + 437, + 506, + 538 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 505, + 662 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 507, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 507, + 555 + ], + "score": 1.0, + "content": "In Figure 3 (right), the results of two ablated variants are presented. First, GENRET w/o learning is a", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 565 + ], + "score": 1.0, + "content": "generative model that has been trained directly using the final output docid from GENRET, without", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 506, + 576 + ], + "score": 1.0, + "content": "utilizing the proposed learning scheme. Its retrieval performance is comparable to that of GENRET", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 575, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 505, + 586 + ], + "score": 1.0, + "content": "on seen test data; however, it is significantly lower on unseen test data. This variant demonstrates that", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 506, + 598 + ], + "score": 1.0, + "content": "the generative retrieval model jointly trained with auto-encoding objectives can represent documents", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 597, + 506, + 608 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 506, + 608 + ], + "score": 1.0, + "content": "more sensibly based on semantics. This could enhance performance on the less-optimized documents.", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 505, + 619 + ], + "score": 1.0, + "content": "Contrarily, the parameters obtained via cross-entropy loss on docid generation tasks are less effective", + "type": "text" + } + ], + "index": 54 + }, + { + "bbox": [ + 105, + 618, + 505, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 618, + 505, + 630 + ], + "score": 1.0, + "content": "in conveying the semantic information of documents. Secondly, GENRET w/ T5-Small uses a small", + "type": "text" + } + ], + "index": 55 + }, + { + "bbox": [ + 106, + 630, + 504, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 504, + 641 + ], + "score": 1.0, + "content": "model, and its performance is inferior to that of GENRET using T5-Base. However, the gap between", + "type": "text" + } + ], + "index": 56 + }, + { + "bbox": [ + 106, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 106, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "the performance on seen and unseen test data is smaller, which could be attributed to the limited", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 106, + 651, + 248, + 663 + ], + "spans": [ + { + "bbox": [ + 106, + 651, + 248, + 663 + ], + "score": 1.0, + "content": "fitting capacity of the small model.", + "type": "text" + } + ], + "index": 58 + } + ], + "index": 53, + "bbox_fs": [ + 105, + 540, + 507, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 667, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "In Appendix C, we evaluate the proposed model’s capacity to retrieve new documents and find that it", + "type": "text" + } + ], + "index": 59 + }, + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 678, + 506, + 690 + ], + "score": 1.0, + "content": "performs well in adapting to new documents compared to existing document tokenization approaches.", + "type": "text" + } + ], + "index": 60 + }, + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "Additionally, in Appendix D, we analyze the efficiency of various retrieval models in comparison to", + "type": "text" + } + ], + "index": 61 + }, + { + "bbox": [ + 105, + 698, + 505, + 714 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 714 + ], + "score": 1.0, + "content": "the various baselines in terms of memory usage, offline, and online latency, and show the advantages", + "type": "text" + } + ], + "index": 62 + }, + { + "bbox": [ + 105, + 710, + 201, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 201, + 723 + ], + "score": 1.0, + "content": "of the proposed model.", + "type": "text" + } + ], + "index": 63 + } + ], + "index": 61, + "bbox_fs": [ + 105, + 667, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 167, + 74, + 445, + 186 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 167, + 74, + 445, + 186 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 167, + 74, + 445, + 186 + ], + "spans": [ + { + "bbox": [ + 167, + 74, + 445, + 186 + ], + "score": 0.917, + "type": "image", + "image_path": "8d43b60d1d641a27c2dc33c3ddce1775bab85babe1d7de668aae761986bb9b0a.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 167, + 74, + 445, + 111.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 167, + 111.33333333333334, + 445, + 148.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 167, + 148.66666666666669, + 445, + 186.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 189, + 505, + 212 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 188, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 204 + ], + "score": 1.0, + "content": "Figure 3: Left: Docid distribution on NQ320K. The id are sorted by the assigned frequency. Right:", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 200, + 222, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 222, + 213 + ], + "score": 1.0, + "content": "Ablation study on NQ320K.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "title", + "bbox": [ + 107, + 226, + 214, + 238 + ], + "lines": [ + { + "bbox": [ + 105, + 225, + 216, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 216, + 240 + ], + "score": 1.0, + "content": "5.3 Qualitative analysis", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 247, + 505, + 313 + ], + "lines": [ + { + "bbox": [ + 105, + 246, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 260 + ], + "score": 1.0, + "content": "Figure 4 (left) illustrates the document content (title) and the corresponding docid generated by", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "score": 1.0, + "content": "GENRET on the NQ320K dataset. We observe that documents with more similar docids tend to", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "score": 1.0, + "content": "have more relevant content. For example, documents with docids starting with 338-173 are related", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "to Email, such as Email marketing, Mail merge, and Email address, while documents with docids", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 290, + 507, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 507, + 303 + ], + "score": 1.0, + "content": "starting with 338 relate to information exchange methods (e.g., Business letter, US Postal Service,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 302, + 437, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 437, + 314 + ], + "score": 1.0, + "content": "and Postage stamps), representing a more generalized semantics than Email alone.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 106, + 317, + 505, + 395 + ], + "lines": [ + { + "bbox": [ + 105, + 317, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 506, + 331 + ], + "score": 1.0, + "content": "Figure 4 (right) illustrates a word cloud of documents grouped by docid prefixes. It is evident", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 329, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 506, + 342 + ], + "score": 1.0, + "content": "that documents within the same group are semantically related. For example, major words for", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 340, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 506, + 352 + ], + "score": 1.0, + "content": "documents with the docid prefix 338 are mail and stamp. When a second-level docid 173 is added,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "the corresponding documents become more specifically related to email. With the addition of a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 361, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 506, + 374 + ], + "score": 1.0, + "content": "third-level docid 1, the document group becomes specifically associated with email marketing (docid:", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "338-173-1). Similar patterns can be observed in the other three cases. The case study shows that", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 384, + 375, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 375, + 395 + ], + "score": 1.0, + "content": "there is a hierarchical semantic structure within the learned docids.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 399, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 400, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 505, + 412 + ], + "score": 1.0, + "content": "Figure 5 in Appendix E visualizes the codebook embedding and document embedding. We see that", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 409, + 507, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 507, + 425 + ], + "score": 1.0, + "content": "the codebook embedding appears to distribute uniformly within the document representation space,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 421, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 434 + ], + "score": 1.0, + "content": "producing meaningful clusters when documents are categorized by docids. We also find that the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 432, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 505, + 446 + ], + "score": 1.0, + "content": "uniformity of the embedding distribution decreases with increasing docid-length. This may be due to", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 444, + 497, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 497, + 457 + ], + "score": 1.0, + "content": "the fact that uniform segmentation is more challenging as the semantic granularity becomes finer.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21 + }, + { + "type": "image", + "bbox": [ + 111, + 474, + 494, + 581 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 111, + 474, + 494, + 581 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 111, + 474, + 494, + 581 + ], + "spans": [ + { + "bbox": [ + 111, + 474, + 494, + 581 + ], + "score": 0.967, + "type": "image", + "image_path": "31a018db51d7a4c69de694908e3660a85aa65391c0870460ed5899119292e225.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 111, + 474, + 494, + 509.6666666666667 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 111, + 509.6666666666667, + 494, + 545.3333333333334 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 111, + 545.3333333333334, + 494, + 581.0 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 589, + 505, + 634 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 590, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 505, + 601 + ], + "score": 1.0, + "content": "Figure 4: Left: Document titles along with their corresponding docids. It is observed that documents", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 601, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 613 + ], + "score": 1.0, + "content": "with similar docids tend to have more relevant content. Right: Word cloud representing documents", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 611, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 611, + 506, + 624 + ], + "score": 1.0, + "content": "grouped by docid prefixes. This illustrates that different positions of the docid correspond to different", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 622, + 423, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 423, + 634 + ], + "score": 1.0, + "content": "levels of information, and the semantics within each cluster are closely related.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + } + ], + "index": 26.75 + }, + { + "type": "title", + "bbox": [ + 107, + 660, + 194, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 659, + 196, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 196, + 675 + ], + "score": 1.0, + "content": "6 Related work", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "Sparse and dense retrieval. Traditional sparse retrieval calculates the document score using term", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "matching metrics such as TF-IDF [31], query likelihood [16], or BM25 [32]. Sparse retrieval is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 711, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 724 + ], + "score": 1.0, + "content": "widely used in practice due to its efficiency, but often suffers from the lexical mismatches [18]. Dense", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 302, + 741, + 308, + 750 + ], + "lines": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "spans": [ + { + "bbox": [ + 302, + 741, + 309, + 752 + ], + "score": 1.0, + "content": "9", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 167, + 74, + 445, + 186 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 167, + 74, + 445, + 186 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 167, + 74, + 445, + 186 + ], + "spans": [ + { + "bbox": [ + 167, + 74, + 445, + 186 + ], + "score": 0.917, + "type": "image", + "image_path": "8d43b60d1d641a27c2dc33c3ddce1775bab85babe1d7de668aae761986bb9b0a.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 167, + 74, + 445, + 111.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 167, + 111.33333333333334, + 445, + 148.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 167, + 148.66666666666669, + 445, + 186.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 189, + 505, + 212 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 188, + 505, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 204 + ], + "score": 1.0, + "content": "Figure 3: Left: Docid distribution on NQ320K. The id are sorted by the assigned frequency. Right:", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 200, + 222, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 222, + 213 + ], + "score": 1.0, + "content": "Ablation study on NQ320K.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "title", + "bbox": [ + 107, + 226, + 214, + 238 + ], + "lines": [ + { + "bbox": [ + 105, + 225, + 216, + 240 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 216, + 240 + ], + "score": 1.0, + "content": "5.3 Qualitative analysis", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 247, + 505, + 313 + ], + "lines": [ + { + "bbox": [ + 105, + 246, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 505, + 260 + ], + "score": 1.0, + "content": "Figure 4 (left) illustrates the document content (title) and the corresponding docid generated by", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 258, + 505, + 270 + ], + "score": 1.0, + "content": "GENRET on the NQ320K dataset. We observe that documents with more similar docids tend to", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 505, + 281 + ], + "score": 1.0, + "content": "have more relevant content. For example, documents with docids starting with 338-173 are related", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 280, + 505, + 292 + ], + "score": 1.0, + "content": "to Email, such as Email marketing, Mail merge, and Email address, while documents with docids", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 290, + 507, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 290, + 507, + 303 + ], + "score": 1.0, + "content": "starting with 338 relate to information exchange methods (e.g., Business letter, US Postal Service,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 302, + 437, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 437, + 314 + ], + "score": 1.0, + "content": "and Postage stamps), representing a more generalized semantics than Email alone.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 246, + 507, + 314 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 317, + 505, + 395 + ], + "lines": [ + { + "bbox": [ + 105, + 317, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 317, + 506, + 331 + ], + "score": 1.0, + "content": "Figure 4 (right) illustrates a word cloud of documents grouped by docid prefixes. It is evident", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 329, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 506, + 342 + ], + "score": 1.0, + "content": "that documents within the same group are semantically related. For example, major words for", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 340, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 340, + 506, + 352 + ], + "score": 1.0, + "content": "documents with the docid prefix 338 are mail and stamp. When a second-level docid 173 is added,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 351, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 506, + 363 + ], + "score": 1.0, + "content": "the corresponding documents become more specifically related to email. With the addition of a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 361, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 506, + 374 + ], + "score": 1.0, + "content": "third-level docid 1, the document group becomes specifically associated with email marketing (docid:", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 372, + 505, + 384 + ], + "spans": [ + { + "bbox": [ + 106, + 372, + 505, + 384 + ], + "score": 1.0, + "content": "338-173-1). Similar patterns can be observed in the other three cases. The case study shows that", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 384, + 375, + 395 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 375, + 395 + ], + "score": 1.0, + "content": "there is a hierarchical semantic structure within the learned docids.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 317, + 506, + 395 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 399, + 505, + 455 + ], + "lines": [ + { + "bbox": [ + 106, + 400, + 505, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 505, + 412 + ], + "score": 1.0, + "content": "Figure 5 in Appendix E visualizes the codebook embedding and document embedding. We see that", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 409, + 507, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 507, + 425 + ], + "score": 1.0, + "content": "the codebook embedding appears to distribute uniformly within the document representation space,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 421, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 506, + 434 + ], + "score": 1.0, + "content": "producing meaningful clusters when documents are categorized by docids. We also find that the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 432, + 505, + 446 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 505, + 446 + ], + "score": 1.0, + "content": "uniformity of the embedding distribution decreases with increasing docid-length. This may be due to", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 444, + 497, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 497, + 457 + ], + "score": 1.0, + "content": "the fact that uniform segmentation is more challenging as the semantic granularity becomes finer.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 400, + 507, + 457 + ] + }, + { + "type": "image", + "bbox": [ + 111, + 474, + 494, + 581 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 111, + 474, + 494, + 581 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 111, + 474, + 494, + 581 + ], + "spans": [ + { + "bbox": [ + 111, + 474, + 494, + 581 + ], + "score": 0.967, + "type": "image", + "image_path": "31a018db51d7a4c69de694908e3660a85aa65391c0870460ed5899119292e225.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 111, + 474, + 494, + 509.6666666666667 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 111, + 509.6666666666667, + 494, + 545.3333333333334 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 111, + 545.3333333333334, + 494, + 581.0 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 589, + 505, + 634 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 590, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 106, + 590, + 505, + 601 + ], + "score": 1.0, + "content": "Figure 4: Left: Document titles along with their corresponding docids. It is observed that documents", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 601, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 613 + ], + "score": 1.0, + "content": "with similar docids tend to have more relevant content. Right: Word cloud representing documents", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 611, + 506, + 624 + ], + "spans": [ + { + "bbox": [ + 104, + 611, + 506, + 624 + ], + "score": 1.0, + "content": "grouped by docid prefixes. This illustrates that different positions of the docid correspond to different", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 622, + 423, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 423, + 634 + ], + "score": 1.0, + "content": "levels of information, and the semantics within each cluster are closely related.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + } + ], + "index": 26.75 + }, + { + "type": "title", + "bbox": [ + 107, + 660, + 194, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 659, + 196, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 196, + 675 + ], + "score": 1.0, + "content": "6 Related work", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 689, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 506, + 702 + ], + "score": 1.0, + "content": "Sparse and dense retrieval. Traditional sparse retrieval calculates the document score using term", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "matching metrics such as TF-IDF [31], query likelihood [16], or BM25 [32]. Sparse retrieval is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 711, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 711, + 505, + 724 + ], + "score": 1.0, + "content": "widely used in practice due to its efficiency, but often suffers from the lexical mismatches [18]. Dense", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 104, + 71, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 71, + 506, + 87 + ], + "score": 1.0, + "content": "retrieval (DR) addresses this by presenting queries and documents in dense vectors and calculating", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 506, + 96 + ], + "score": 1.0, + "content": "their similarities with the inner product or cosine similarity [13]. Various techniques have been", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 94, + 507, + 108 + ], + "spans": [ + { + "bbox": [ + 104, + 94, + 507, + 108 + ], + "score": 1.0, + "content": "proposed to improve DR models, such as hard negative mining [42, 26], late interaction [14, 34],", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "knowledge distillation [10, 19], and pre-training [30, 23, 11]. Despite their success, DR approaches", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "have several limitations [5, 21]: (i) DR models employ an index-retrieval pipeline with a fixed", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 126, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 141 + ], + "score": 1.0, + "content": "search procedure (MIPS), making it difficult to optimize the model end-to-end [37, 41]. (ii) Training", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "DR models relies on contrastive learning [13] to distinguish positives from negatives, which is", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 147, + 507, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 507, + 163 + ], + "score": 1.0, + "content": "inconsistent with large LMs training objectives [3] and fails to fully utilize the capabilities of pre-", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 159, + 189, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 189, + 172 + ], + "score": 1.0, + "content": "trained LMs [1, 35].", + "type": "text", + "cross_page": true + } + ], + "index": 8 + } + ], + "index": 33, + "bbox_fs": [ + 105, + 688, + 506, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 72, + 505, + 172 + ], + "lines": [ + { + "bbox": [ + 104, + 71, + 506, + 87 + ], + "spans": [ + { + "bbox": [ + 104, + 71, + 506, + 87 + ], + "score": 1.0, + "content": "retrieval (DR) addresses this by presenting queries and documents in dense vectors and calculating", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 84, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 506, + 96 + ], + "score": 1.0, + "content": "their similarities with the inner product or cosine similarity [13]. Various techniques have been", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 94, + 507, + 108 + ], + "spans": [ + { + "bbox": [ + 104, + 94, + 507, + 108 + ], + "score": 1.0, + "content": "proposed to improve DR models, such as hard negative mining [42, 26], late interaction [14, 34],", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 118 + ], + "score": 1.0, + "content": "knowledge distillation [10, 19], and pre-training [30, 23, 11]. Despite their success, DR approaches", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 506, + 129 + ], + "score": 1.0, + "content": "have several limitations [5, 21]: (i) DR models employ an index-retrieval pipeline with a fixed", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 126, + 506, + 141 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 506, + 141 + ], + "score": 1.0, + "content": "search procedure (MIPS), making it difficult to optimize the model end-to-end [37, 41]. (ii) Training", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 506, + 151 + ], + "score": 1.0, + "content": "DR models relies on contrastive learning [13] to distinguish positives from negatives, which is", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 147, + 507, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 507, + 163 + ], + "score": 1.0, + "content": "inconsistent with large LMs training objectives [3] and fails to fully utilize the capabilities of pre-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 159, + 189, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 159, + 189, + 172 + ], + "score": 1.0, + "content": "trained LMs [1, 35].", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 179, + 505, + 376 + ], + "lines": [ + { + "bbox": [ + 105, + 178, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 178, + 505, + 192 + ], + "score": 1.0, + "content": "Generative retrieval. Generative retrieval is gaining attention. It retrieves documents by generating", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 190, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 506, + 203 + ], + "score": 1.0, + "content": "their docid using a generative model like T5. Generative retrieval presents an end-to-end solution", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 200, + 506, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 506, + 214 + ], + "score": 1.0, + "content": "for document retrieval tasks [37, 21] and allows for better exploitation of the capabilities of large", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 212, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 506, + 225 + ], + "score": 1.0, + "content": "generative LMs [1]. Cao et al. [5] first propose an autoregressive entity retrieval model to retrieve", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 222, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 506, + 236 + ], + "score": 1.0, + "content": "documents by generating titles. Tay et al. [37] propose a differentiable search index (DSI) and", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 233, + 507, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 507, + 247 + ], + "score": 1.0, + "content": "represent the document as atomic id, naive string, or semantic string. Bevilacqua et al. [1] suggest", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 245, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 257 + ], + "score": 1.0, + "content": "using arbitrary spans of a document as docids. Additionally, multiple-stage pre-training [7, 46],", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 255, + 506, + 268 + ], + "score": 1.0, + "content": "query generation [41, 47, 46], contextualized embedding [17], and continual learning [20], have", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 267, + 506, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 267, + 506, + 279 + ], + "score": 1.0, + "content": "been explored in recent studies. Recently, Tang et al. [36] introduce a query-based docid and the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 276, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 104, + 276, + 506, + 290 + ], + "score": 1.0, + "content": "rehearsal-based document indexing to improve DSI. However, existing generative retrieval models", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "have a limitation in that they rely on fixed document tokenization to produce docids, which often fails", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 300, + 504, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 504, + 311 + ], + "score": 1.0, + "content": "to capture the semantic information of a document [37]. It is an open question how one should define", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 309, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 506, + 323 + ], + "score": 1.0, + "content": "the docids. To further capture document semantics in the docid, we propose document tokenization", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 319, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 505, + 335 + ], + "score": 1.0, + "content": "learning methods. The semantic docid is generated by the proposed discrete auto-encoding learning", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 332, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 506, + 345 + ], + "score": 1.0, + "content": "scheme in an end-to-end manner. Concurrently, Rajput et al. [28] propose a RQ-VAE module to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "score": 1.0, + "content": "produce semantic docids for generative recommender systems. As a comparison, our proposed", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "score": 1.0, + "content": "method jointly models the tokenization and retrieval tasks with shared parameters to better align the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 365, + 441, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 441, + 377 + ], + "score": 1.0, + "content": "model’s representation of the two tasks and are optimized in an end-to-end manner.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 505, + 396 + ], + "score": 1.0, + "content": "Discrete representation learning. Learning discrete representations using neural networks is an", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 395, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 506, + 407 + ], + "score": 1.0, + "content": "important research area in machine learning. For images, Rolfe [33] proposes the discrete variational", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 406, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 419 + ], + "score": 1.0, + "content": "autoencoder, and VQ-VAE [39] learns quantized representations via vector quantization. Dall-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 415, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 104, + 415, + 506, + 430 + ], + "score": 1.0, + "content": "E [29] uses an autoregressive model to generate discrete image representation for text-to-image", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "score": 1.0, + "content": "generation. Recently, representation learning has attracted considerable attention in NLP tasks, for", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 506, + 451 + ], + "score": 1.0, + "content": "tasks such as machine translation [48], dialogue generation [45], and text classification [12, 43].", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "For document retrieval, RepCONC [44] uses a discrete representation learning method based on", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 472 + ], + "score": 1.0, + "content": "constrained clustering for vector compression. We propose a document tokenization learning method", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 470, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 506, + 485 + ], + "score": 1.0, + "content": "for generative retrieval, which captures the autoregressive nature of docids by progressive training", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 482, + 386, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 386, + 495 + ], + "score": 1.0, + "content": "and enhances the diversity of docids by diverse clustering techniques.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5 + }, + { + "type": "title", + "bbox": [ + 107, + 505, + 187, + 518 + ], + "lines": [ + { + "bbox": [ + 104, + 502, + 190, + 521 + ], + "spans": [ + { + "bbox": [ + 104, + 502, + 190, + 521 + ], + "score": 1.0, + "content": "7 Conclusions", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "This paper has proposed a document tokenization learning method for generative retrieval, named", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 541, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 506, + 555 + ], + "score": 1.0, + "content": "GENRET. The proposed method learns to tokenize documents into short discrete representations (i.e.,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 553, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 553, + 506, + 565 + ], + "score": 1.0, + "content": "docids) via a discrete auto-encoding approach, which ensures the semantics of the generated docids.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 564, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 576 + ], + "score": 1.0, + "content": "A progressive training method and two diverse clustering techniques have been proposed to enhance", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "the model’s training. Empirical results on various document retrieval datasets have demonstrated", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "the effectiveness of the proposed method. Especially, GENRET achieves outperformance on unseen", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 597, + 372, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 372, + 608 + ], + "score": 1.0, + "content": "documents and can be well generalized to multiple retrieval tasks.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41 + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 612, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 506, + 625 + ], + "score": 1.0, + "content": "The limitations of this work include experiments only on moderately sized datasets like NQ320K.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 624, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 505, + 635 + ], + "score": 1.0, + "content": "The employed data are in sufficient quantity to validate the effectiveness of the proposed method, but", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 634, + 507, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 507, + 648 + ], + "score": 1.0, + "content": "application to larger-scale data may require more model parameters and computational resources.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 646, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 506, + 657 + ], + "score": 1.0, + "content": "Another aspect for improvement is the generalization of the model to unoptimized document collec-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 655, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 669 + ], + "score": 1.0, + "content": "tions in different types or domains, as compared to continuous embedding approaches. We recognize", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "score": 1.0, + "content": "this as an important research question for generative retrieval but believe that addressing this is", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "beyond the scope of this paper. In future work, we would like to extend the approach to large", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "score": 1.0, + "content": "document collections. We also plan to explore generative pre-training for document tokenization", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "using large-scale language models. Additionally, we intend to investigate the dynamic adaptation of", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 710, + 263, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 263, + 724 + ], + "score": 1.0, + "content": "docid prefixes for progressive training.", + "type": "text" + } + ], + "index": 54 + } + ], + "index": 49.5 + } + ], + "page_idx": 9, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 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, + 172 + ], + "lines": [], + "index": 4, + "bbox_fs": [ + 104, + 71, + 507, + 172 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 179, + 505, + 376 + ], + "lines": [ + { + "bbox": [ + 105, + 178, + 505, + 192 + ], + "spans": [ + { + "bbox": [ + 105, + 178, + 505, + 192 + ], + "score": 1.0, + "content": "Generative retrieval. Generative retrieval is gaining attention. It retrieves documents by generating", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 190, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 190, + 506, + 203 + ], + "score": 1.0, + "content": "their docid using a generative model like T5. Generative retrieval presents an end-to-end solution", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 200, + 506, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 506, + 214 + ], + "score": 1.0, + "content": "for document retrieval tasks [37, 21] and allows for better exploitation of the capabilities of large", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 212, + 506, + 225 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 506, + 225 + ], + "score": 1.0, + "content": "generative LMs [1]. Cao et al. [5] first propose an autoregressive entity retrieval model to retrieve", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 222, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 222, + 506, + 236 + ], + "score": 1.0, + "content": "documents by generating titles. Tay et al. [37] propose a differentiable search index (DSI) and", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 233, + 507, + 247 + ], + "spans": [ + { + "bbox": [ + 105, + 233, + 507, + 247 + ], + "score": 1.0, + "content": "represent the document as atomic id, naive string, or semantic string. Bevilacqua et al. [1] suggest", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 245, + 506, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 257 + ], + "score": 1.0, + "content": "using arbitrary spans of a document as docids. 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However, existing generative retrieval models", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 288, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 505, + 300 + ], + "score": 1.0, + "content": "have a limitation in that they rely on fixed document tokenization to produce docids, which often fails", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 300, + 504, + 311 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 504, + 311 + ], + "score": 1.0, + "content": "to capture the semantic information of a document [37]. It is an open question how one should define", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 309, + 506, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 506, + 323 + ], + "score": 1.0, + "content": "the docids. To further capture document semantics in the docid, we propose document tokenization", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 319, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 505, + 335 + ], + "score": 1.0, + "content": "learning methods. The semantic docid is generated by the proposed discrete auto-encoding learning", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 332, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 332, + 506, + 345 + ], + "score": 1.0, + "content": "scheme in an end-to-end manner. Concurrently, Rajput et al. [28] propose a RQ-VAE module to", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 505, + 356 + ], + "score": 1.0, + "content": "produce semantic docids for generative recommender systems. As a comparison, our proposed", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 505, + 366 + ], + "score": 1.0, + "content": "method jointly models the tokenization and retrieval tasks with shared parameters to better align the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 365, + 441, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 441, + 377 + ], + "score": 1.0, + "content": "model’s representation of the two tasks and are optimized in an end-to-end manner.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 17.5, + "bbox_fs": [ + 104, + 178, + 507, + 377 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 493 + ], + "lines": [ + { + "bbox": [ + 106, + 384, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 505, + 396 + ], + "score": 1.0, + "content": "Discrete representation learning. Learning discrete representations using neural networks is an", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 395, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 395, + 506, + 407 + ], + "score": 1.0, + "content": "important research area in machine learning. For images, Rolfe [33] proposes the discrete variational", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 406, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 506, + 419 + ], + "score": 1.0, + "content": "autoencoder, and VQ-VAE [39] learns quantized representations via vector quantization. Dall-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 415, + 506, + 430 + ], + "spans": [ + { + "bbox": [ + 104, + 415, + 506, + 430 + ], + "score": 1.0, + "content": "E [29] uses an autoregressive model to generate discrete image representation for text-to-image", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 506, + 439 + ], + "score": 1.0, + "content": "generation. Recently, representation learning has attracted considerable attention in NLP tasks, for", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 438, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 506, + 451 + ], + "score": 1.0, + "content": "tasks such as machine translation [48], dialogue generation [45], and text classification [12, 43].", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 449, + 506, + 462 + ], + "score": 1.0, + "content": "For document retrieval, RepCONC [44] uses a discrete representation learning method based on", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 460, + 506, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 460, + 506, + 472 + ], + "score": 1.0, + "content": "constrained clustering for vector compression. We propose a document tokenization learning method", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 470, + 506, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 506, + 485 + ], + "score": 1.0, + "content": "for generative retrieval, which captures the autoregressive nature of docids by progressive training", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 482, + 386, + 495 + ], + "spans": [ + { + "bbox": [ + 106, + 482, + 386, + 495 + ], + "score": 1.0, + "content": "and enhances the diversity of docids by diverse clustering techniques.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 31.5, + "bbox_fs": [ + 104, + 384, + 506, + 495 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 505, + 187, + 518 + ], + "lines": [ + { + "bbox": [ + 104, + 502, + 190, + 521 + ], + "spans": [ + { + "bbox": [ + 104, + 502, + 190, + 521 + ], + "score": 1.0, + "content": "7 Conclusions", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 505, + 543 + ], + "score": 1.0, + "content": "This paper has proposed a document tokenization learning method for generative retrieval, named", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 541, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 106, + 541, + 506, + 555 + ], + "score": 1.0, + "content": "GENRET. The proposed method learns to tokenize documents into short discrete representations (i.e.,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 553, + 506, + 565 + ], + "spans": [ + { + "bbox": [ + 106, + 553, + 506, + 565 + ], + "score": 1.0, + "content": "docids) via a discrete auto-encoding approach, which ensures the semantics of the generated docids.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 564, + 506, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 576 + ], + "score": 1.0, + "content": "A progressive training method and two diverse clustering techniques have been proposed to enhance", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "the model’s training. Empirical results on various document retrieval datasets have demonstrated", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "the effectiveness of the proposed method. Especially, GENRET achieves outperformance on unseen", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 597, + 372, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 372, + 608 + ], + "score": 1.0, + "content": "documents and can be well generalized to multiple retrieval tasks.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 531, + 506, + 608 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 612, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 612, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 506, + 625 + ], + "score": 1.0, + "content": "The limitations of this work include experiments only on moderately sized datasets like NQ320K.", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 624, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 505, + 635 + ], + "score": 1.0, + "content": "The employed data are in sufficient quantity to validate the effectiveness of the proposed method, but", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 634, + 507, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 507, + 648 + ], + "score": 1.0, + "content": "application to larger-scale data may require more model parameters and computational resources.", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 646, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 506, + 657 + ], + "score": 1.0, + "content": "Another aspect for improvement is the generalization of the model to unoptimized document collec-", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 105, + 655, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 669 + ], + "score": 1.0, + "content": "tions in different types or domains, as compared to continuous embedding approaches. We recognize", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 680 + ], + "score": 1.0, + "content": "this as an important research question for generative retrieval but believe that addressing this is", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 691 + ], + "score": 1.0, + "content": "beyond the scope of this paper. In future work, we would like to extend the approach to large", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 505, + 702 + ], + "score": 1.0, + "content": "document collections. We also plan to explore generative pre-training for document tokenization", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 712 + ], + "score": 1.0, + "content": "using large-scale language models. Additionally, we intend to investigate the dynamic adaptation of", + "type": "text" + } + ], + "index": 53 + }, + { + "bbox": [ + 105, + 710, + 263, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 263, + 724 + ], + "score": 1.0, + "content": "docid prefixes for progressive training.", + "type": "text" + } + ], + "index": 54 + } + ], + "index": 49.5, + "bbox_fs": [ + 105, + 612, + 507, + 724 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 71, + 207, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 69, + 208, + 87 + ], + "spans": [ + { + "bbox": [ + 106, + 69, + 208, + 87 + ], + "score": 1.0, + "content": "Acknowledgements", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 96, + 506, + 216 + ], + "lines": [ + { + "bbox": [ + 105, + 95, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 95, + 506, + 108 + ], + "score": 1.0, + "content": "This work was supported by the Natural Science Foundation of China (62272274, 61972234,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 106, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 505, + 119 + ], + "score": 1.0, + "content": "62072279, 62102234, 62202271), the Natural Science Foundation of Shandong Province", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 117, + 506, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 117, + 506, + 130 + ], + "score": 1.0, + "content": "(ZR2021QF129, ZR2022QF004), the Key Scientific and Technological Innovation Program of", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 128, + 507, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 128, + 507, + 142 + ], + "score": 1.0, + "content": "Shandong Province (2019JZZY010129), the Fundamental Research Funds of Shandong Univer-", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 139, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 139, + 506, + 153 + ], + "score": 1.0, + "content": "sity, the China Scholarship Council under grant nr. 202206220085, the Hybrid Intelligence Center,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 151, + 506, + 163 + ], + "spans": [ + { + "bbox": [ + 105, + 151, + 506, + 163 + ], + "score": 1.0, + "content": "a 10-year program funded by the Dutch Ministry of Education, Culture and Science through the", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 161, + 506, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 161, + 506, + 174 + ], + "score": 1.0, + "content": "Netherlands Organisation for Scientific Research, https://hybrid-intelligence-centre.nl,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 505, + 185 + ], + "score": 1.0, + "content": "and project LESSEN with project number NWA.1389.20.183 of the research program NWA ORC", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "score": 1.0, + "content": "2020/21, which is (partly) financed by the Dutch Research Council (NWO). 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Dataset#Docs# Test queries# Train pairs
NQ320K MS MARCO323,569 5,187 /109,739 7,830 / 6,075 /1,755 807 /4,380307,373 366,235
1,406
BEIR-Arg BEIR-Covid8,67450
BEIR-NFC171,332 3.633323
BEIR-SciFact5,183300
BEIR-SciDocs25,6571,000
BEIR-FiQA
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NQ320K is a popular dataset for evaluating generative retrieval models [37, 41]. It is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 305, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 482, + 317 + ], + "score": 1.0, + "content": "based on the Natural Questions (NQ) dataset proposed by Google [15]. NQ320K consists of", + "type": "text" + }, + { + "bbox": [ + 483, + 305, + 505, + 315 + ], + "score": 0.35, + "content": "3 2 0 \\mathrm { k }", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 316, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 506, + 329 + ], + "score": 1.0, + "content": "query-document pairs, where the documents are gathered from Wikipedia pages, and the queries are", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 327, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 505, + 339 + ], + "score": 1.0, + "content": "natural language questions. We follow the evaluation setup in NCI [41] and further split the test set", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "into two subsets: seen test, in which the annotated target documents of the queries are included in the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 348, + 465, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 348, + 465, + 361 + ], + "score": 1.0, + "content": "training set; and unseen test, in which no labeled document is included in the training set.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 106, + 365, + 505, + 507 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 505, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 505, + 377 + ], + "score": 1.0, + "content": "Note that the NQ320K dataset we utilized has been pre-processed based on the NCI [41] and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "includes approximately 100k documents. This differs from the DSI approach [37], which processed a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 299, + 399 + ], + "score": 1.0, + "content": "version of the NQ320K dataset containing about", + "type": "text" + }, + { + "bbox": [ + 299, + 387, + 321, + 397 + ], + "score": 0.35, + "content": "2 0 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 386, + 506, + 399 + ], + "score": 1.0, + "content": "documents. The distinction lies in the method", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "score": 1.0, + "content": "used to remove duplicate documents. In our case, we eliminated duplicates by comparing document", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 408, + 507, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 507, + 421 + ], + "score": 1.0, + "content": "titles, whereas DSI employed URLs. For example, pages https://en.wikipedia.org//w/index.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 154, + 432 + ], + "score": 1.0, + "content": "php?title", + "type": "text" + }, + { + "bbox": [ + 154, + 420, + 160, + 429 + ], + "score": 0.36, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 419, + 300, + 432 + ], + "score": 1.0, + "content": "Statue_of_Liberty&oldid", + "type": "text" + }, + { + "bbox": [ + 300, + 420, + 306, + 428 + ], + "score": 0.33, + "content": "\\underset { . } { = }", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "804877528 and https://en.wikipedia.org/", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 429, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 200, + 443 + ], + "score": 1.0, + "content": "/w/index.php?title", + "type": "text" + }, + { + "bbox": [ + 201, + 432, + 206, + 440 + ], + "score": 0.38, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 429, + 346, + 443 + ], + "score": 1.0, + "content": "Statue_of_Liberty&oldid", + "type": "text" + }, + { + "bbox": [ + 347, + 432, + 353, + 439 + ], + "score": 0.27, + "content": "\\underset { . } { = }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 429, + 505, + 443 + ], + "score": 1.0, + "content": "834310497 are two versions of entity", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "score": 1.0, + "content": "“Statue of Liberty”. DSI NQ320K treats them as separate documents, whereas our implementation", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 452, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 506, + 464 + ], + "score": 1.0, + "content": "considers them as a single document. We have found that the content of different versions of the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "score": 1.0, + "content": "same entity’s pages is usually almost identical, with only minor variations, often occurring in later", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "parts of the document. Consequently, we believe that distinguishing between different versions of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "score": 1.0, + "content": "an entity is beyond the model’s capabilities, and that using different versions of the same entity as", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 496, + 347, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 347, + 509 + ], + "score": 1.0, + "content": "negative examples in training may hurt model performance.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 515, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "MS MARCO. MS MARCO is a collection of queries and web pages from Bing search. To create the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 524, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 539 + ], + "score": 1.0, + "content": "document collections, akin to NQ320k and following [46], we sample a subset of original documents", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 537, + 504, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 504, + 549 + ], + "score": 1.0, + "content": "by retaining the top-1 document for each query. We evaluate the models on the queries of the MS", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 546, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 561 + ], + "score": 1.0, + "content": "MARCO dev set and retrieval on the sampled document subset. We did not split the dev set into seen", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 559, + 423, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 187, + 570 + ], + "score": 1.0, + "content": "and unseen because", + "type": "text" + }, + { + "bbox": [ + 187, + 559, + 207, + 569 + ], + "score": 0.85, + "content": "84 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 559, + 423, + 570 + ], + "score": 1.0, + "content": "of the queries in the MS MARCO dev set are unseen.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 578, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 590 + ], + "score": 1.0, + "content": "BEIR. BEIR is a collection of datasets for heterogeneous retrieval tasks. In this paper, we evaluate", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 589, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 505, + 600 + ], + "score": 1.0, + "content": "the models on 6 BEIR datasets, which include distinct retrieval tasks and document collections", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 599, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 506, + 612 + ], + "score": 1.0, + "content": "from NQ and MS MARCO: (i) BEIR-Arg retrieves a counterargument to an argument; (ii) BEIR-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 505, + 623 + ], + "score": 1.0, + "content": "Covid retrieves scientific articles about the COVID-19 pandemic; (iii) BEIR-NFC retrieves medical", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 621, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 506, + 633 + ], + "score": 1.0, + "content": "documents from PubMed; (iv) BEIR-SciFact retrieves scientific papers for fact-checking; (v) BEIR-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 632, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 506, + 645 + ], + "score": 1.0, + "content": "SciDocs retrieves citations for scientific papers; (vi) BEIR-FiQA retrieves financial documents. All", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 643, + 285, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 285, + 656 + ], + "score": 1.0, + "content": "the queries in BEIR test set are unseen [38].", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40 + }, + { + "type": "text", + "bbox": [ + 107, + 659, + 333, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 659, + 334, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 334, + 672 + ], + "score": 1.0, + "content": "We summarize the statistics of above datasets in Table 4.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 681, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 118, + 678, + 507, + 695 + ], + "spans": [ + { + "bbox": [ + 118, + 678, + 507, + 695 + ], + "score": 1.0, + "content": "5A document in our context typically corresponds to a webpage, while a passage is a piece of text within a", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 691, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 505, + 703 + ], + "score": 1.0, + "content": "document. Our study focuses on building docid for documents. Using document retrieval tasks allows us to", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 701, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 701, + 505, + 713 + ], + "score": 1.0, + "content": "make fair comparisons with existing methods that utilize document URLs, titles, etc. And it also aligns with the", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 711, + 502, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 502, + 723 + ], + "score": 1.0, + "content": "settings of NQ320K and BEIR. Passage retrieval, as a different task, could lead to different evaluation results.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "score": 1.0, + "content": "14", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 71, + 208, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 69, + 209, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 209, + 87 + ], + "score": 1.0, + "content": "A Datasets details", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table", + "bbox": [ + 188, + 143, + 423, + 259 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 109, + 504, + 142 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 109, + 505, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 109, + 505, + 123 + ], + "score": 1.0, + "content": "Table 4: Statistics of datasets used in our experiments. The three values split by / on # Test queries", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 121, + 505, + 133 + ], + "spans": [ + { + "bbox": [ + 106, + 121, + 505, + 133 + ], + "score": 1.0, + "content": "denote the number of queries in the full, seen subset, and unseen subset, respectively. In BEIR, all", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 132, + 240, + 144 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 240, + 144 + ], + "score": 1.0, + "content": "queries in the test set are unseen.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2 + }, + { + "type": "table_body", + "bbox": [ + 188, + 143, + 423, + 259 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 188, + 143, + 423, + 259 + ], + "spans": [ + { + "bbox": [ + 188, + 143, + 423, + 259 + ], + "score": 0.978, + "html": "
Dataset#Docs# Test queries# Train pairs
NQ320K MS MARCO323,569 5,187 /109,739 7,830 / 6,075 /1,755 807 /4,380307,373 366,235
1,406
BEIR-Arg BEIR-Covid8,67450
BEIR-NFC171,332 3.633323
BEIR-SciFact5,183300
BEIR-SciDocs25,6571,000
BEIR-FiQA
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NQ320K is a popular dataset for evaluating generative retrieval models [37, 41]. It is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 305, + 505, + 317 + ], + "spans": [ + { + "bbox": [ + 106, + 305, + 482, + 317 + ], + "score": 1.0, + "content": "based on the Natural Questions (NQ) dataset proposed by Google [15]. NQ320K consists of", + "type": "text" + }, + { + "bbox": [ + 483, + 305, + 505, + 315 + ], + "score": 0.35, + "content": "3 2 0 \\mathrm { k }", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 316, + 506, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 316, + 506, + 329 + ], + "score": 1.0, + "content": "query-document pairs, where the documents are gathered from Wikipedia pages, and the queries are", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 327, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 505, + 339 + ], + "score": 1.0, + "content": "natural language questions. We follow the evaluation setup in NCI [41] and further split the test set", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 337, + 506, + 349 + ], + "score": 1.0, + "content": "into two subsets: seen test, in which the annotated target documents of the queries are included in the", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 348, + 465, + 361 + ], + "spans": [ + { + "bbox": [ + 106, + 348, + 465, + 361 + ], + "score": 1.0, + "content": "training set; and unseen test, in which no labeled document is included in the training set.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 15.5, + "bbox_fs": [ + 105, + 293, + 506, + 361 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 365, + 505, + 507 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 505, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 505, + 377 + ], + "score": 1.0, + "content": "Note that the NQ320K dataset we utilized has been pre-processed based on the NCI [41] and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "includes approximately 100k documents. This differs from the DSI approach [37], which processed a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 386, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 299, + 399 + ], + "score": 1.0, + "content": "version of the NQ320K dataset containing about", + "type": "text" + }, + { + "bbox": [ + 299, + 387, + 321, + 397 + ], + "score": 0.35, + "content": "2 0 0 \\mathrm { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 321, + 386, + 506, + 399 + ], + "score": 1.0, + "content": "documents. The distinction lies in the method", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 397, + 506, + 410 + ], + "score": 1.0, + "content": "used to remove duplicate documents. In our case, we eliminated duplicates by comparing document", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 408, + 507, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 507, + 421 + ], + "score": 1.0, + "content": "titles, whereas DSI employed URLs. For example, pages https://en.wikipedia.org//w/index.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 154, + 432 + ], + "score": 1.0, + "content": "php?title", + "type": "text" + }, + { + "bbox": [ + 154, + 420, + 160, + 429 + ], + "score": 0.36, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 419, + 300, + 432 + ], + "score": 1.0, + "content": "Statue_of_Liberty&oldid", + "type": "text" + }, + { + "bbox": [ + 300, + 420, + 306, + 428 + ], + "score": 0.33, + "content": "\\underset { . } { = }", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "804877528 and https://en.wikipedia.org/", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 429, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 429, + 200, + 443 + ], + "score": 1.0, + "content": "/w/index.php?title", + "type": "text" + }, + { + "bbox": [ + 201, + 432, + 206, + 440 + ], + "score": 0.38, + "content": "=", + "type": "inline_equation" + }, + { + "bbox": [ + 207, + 429, + 346, + 443 + ], + "score": 1.0, + "content": "Statue_of_Liberty&oldid", + "type": "text" + }, + { + "bbox": [ + 347, + 432, + 353, + 439 + ], + "score": 0.27, + "content": "\\underset { . } { = }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 429, + 505, + 443 + ], + "score": 1.0, + "content": "834310497 are two versions of entity", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 506, + 454 + ], + "score": 1.0, + "content": "“Statue of Liberty”. DSI NQ320K treats them as separate documents, whereas our implementation", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 452, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 506, + 464 + ], + "score": 1.0, + "content": "considers them as a single document. We have found that the content of different versions of the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 506, + 476 + ], + "score": 1.0, + "content": "same entity’s pages is usually almost identical, with only minor variations, often occurring in later", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 506, + 486 + ], + "score": 1.0, + "content": "parts of the document. Consequently, we believe that distinguishing between different versions of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 484, + 506, + 497 + ], + "score": 1.0, + "content": "an entity is beyond the model’s capabilities, and that using different versions of the same entity as", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 496, + 347, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 347, + 509 + ], + "score": 1.0, + "content": "negative examples in training may hurt model performance.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 365, + 507, + 509 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 515, + 505, + 569 + ], + "lines": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "MS MARCO. MS MARCO is a collection of queries and web pages from Bing search. To create the", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 524, + 505, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 505, + 539 + ], + "score": 1.0, + "content": "document collections, akin to NQ320k and following [46], we sample a subset of original documents", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 537, + 504, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 504, + 549 + ], + "score": 1.0, + "content": "by retaining the top-1 document for each query. We evaluate the models on the queries of the MS", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 546, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 506, + 561 + ], + "score": 1.0, + "content": "MARCO dev set and retrieval on the sampled document subset. We did not split the dev set into seen", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 559, + 423, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 187, + 570 + ], + "score": 1.0, + "content": "and unseen because", + "type": "text" + }, + { + "bbox": [ + 187, + 559, + 207, + 569 + ], + "score": 0.85, + "content": "84 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 559, + 423, + 570 + ], + "score": 1.0, + "content": "of the queries in the MS MARCO dev set are unseen.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 514, + 506, + 570 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 578, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 505, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 590 + ], + "score": 1.0, + "content": "BEIR. BEIR is a collection of datasets for heterogeneous retrieval tasks. In this paper, we evaluate", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 589, + 505, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 505, + 600 + ], + "score": 1.0, + "content": "the models on 6 BEIR datasets, which include distinct retrieval tasks and document collections", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 599, + 506, + 612 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 506, + 612 + ], + "score": 1.0, + "content": "from NQ and MS MARCO: (i) BEIR-Arg retrieves a counterargument to an argument; (ii) BEIR-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 505, + 623 + ], + "score": 1.0, + "content": "Covid retrieves scientific articles about the COVID-19 pandemic; (iii) BEIR-NFC retrieves medical", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 621, + 506, + 633 + ], + "spans": [ + { + "bbox": [ + 106, + 621, + 506, + 633 + ], + "score": 1.0, + "content": "documents from PubMed; (iv) BEIR-SciFact retrieves scientific papers for fact-checking; (v) BEIR-", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 632, + 506, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 506, + 645 + ], + "score": 1.0, + "content": "SciDocs retrieves citations for scientific papers; (vi) BEIR-FiQA retrieves financial documents. All", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 643, + 285, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 285, + 656 + ], + "score": 1.0, + "content": "the queries in BEIR test set are unseen [38].", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 577, + 506, + 656 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 659, + 333, + 671 + ], + "lines": [ + { + "bbox": [ + 106, + 659, + 334, + 672 + ], + "spans": [ + { + "bbox": [ + 106, + 659, + 334, + 672 + ], + "score": 1.0, + "content": "We summarize the statistics of above datasets in Table 4.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44, + "bbox_fs": [ + 106, + 659, + 334, + 672 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 175, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 69, + 177, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 177, + 87 + ], + "score": 1.0, + "content": "B Baselines", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 108, + 96, + 285, + 108 + ], + "lines": [ + { + "bbox": [ + 106, + 96, + 286, + 109 + ], + "spans": [ + { + "bbox": [ + 106, + 96, + 286, + 109 + ], + "score": 1.0, + "content": "The sparse retrieval baselines are as follows:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 130, + 116, + 505, + 166 + ], + "lines": [ + { + "bbox": [ + 133, + 115, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 133, + 115, + 505, + 129 + ], + "score": 1.0, + "content": "• BM25, uses the tf-idf feature to measure term weights; we use the implementation from", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 141, + 128, + 246, + 141 + ], + "spans": [ + { + "bbox": [ + 141, + 128, + 246, + 141 + ], + "score": 1.0, + "content": "http://pyserini.io/.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 132, + 141, + 506, + 158 + ], + "spans": [ + { + "bbox": [ + 132, + 141, + 506, + 158 + ], + "score": 1.0, + "content": "• DocT5Query, expands a document with possible queries predicted by a finetuned T5 with", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 141, + 154, + 252, + 167 + ], + "spans": [ + { + "bbox": [ + 141, + 154, + 252, + 167 + ], + "score": 1.0, + "content": "this document as the input.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 107, + 175, + 283, + 186 + ], + "lines": [ + { + "bbox": [ + 106, + 174, + 284, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 174, + 284, + 187 + ], + "score": 1.0, + "content": "The dense retrieval baselines are as follows:", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 133, + 195, + 506, + 323 + ], + "lines": [ + { + "bbox": [ + 132, + 195, + 492, + 208 + ], + "spans": [ + { + "bbox": [ + 132, + 195, + 492, + 208 + ], + "score": 1.0, + "content": "• DPR [13], a dual-encoder model using the representation of the [CLS] token of BERT.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 132, + 211, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 132, + 211, + 505, + 223 + ], + "score": 1.0, + "content": "• ANCE [42], an asynchronously updated ANN indexer is utilized to mine hard negatives for", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 222, + 335, + 234 + ], + "spans": [ + { + "bbox": [ + 141, + 222, + 335, + 234 + ], + "score": 1.0, + "content": "training a RoBERTa-based dual-encoder model.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 133, + 237, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 133, + 237, + 505, + 250 + ], + "score": 1.0, + "content": "• Sentence-T5 [22], a dual-encoder model that uses T5 to produce continuous sentence", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 142, + 249, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 142, + 249, + 505, + 260 + ], + "score": 1.0, + "content": "embeddings. We reproduce Sentence-T5 (ST5 for short) on our datasets, the model is based", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 259, + 406, + 271 + ], + "spans": [ + { + "bbox": [ + 141, + 259, + 406, + 271 + ], + "score": 1.0, + "content": "on T5-Base EncDec model and is trained with in-batch negatives.", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 136, + 274, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 136, + 274, + 505, + 287 + ], + "score": 1.0, + "content": "• GTR [23], a state-of-the-art dense retrieval model that pre-trains sentence-T5 on billions of", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 140, + 285, + 297, + 299 + ], + "spans": [ + { + "bbox": [ + 140, + 285, + 297, + 299 + ], + "score": 1.0, + "content": "paired data using contrastive learning.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 132, + 300, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 132, + 300, + 505, + 315 + ], + "score": 1.0, + "content": "• Contriever [11], a dual-encoder model pre-trained using unsupervised contrastive learning", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 312, + 343, + 325 + ], + "spans": [ + { + "bbox": [ + 141, + 312, + 343, + 325 + ], + "score": 1.0, + "content": "with independent cropping and inverse cloze task.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 333, + 317, + 344 + ], + "lines": [ + { + "bbox": [ + 106, + 333, + 318, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 318, + 345 + ], + "score": 1.0, + "content": "And the generative retrieval baselines are as follows:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 131, + 353, + 506, + 578 + ], + "lines": [ + { + "bbox": [ + 139, + 353, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 139, + 353, + 505, + 367 + ], + "score": 1.0, + "content": "GENRE [5], an autoregressive retrieval model that generates the document’s title. The", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 142, + 365, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 142, + 365, + 505, + 376 + ], + "score": 1.0, + "content": "original GENRE is trained on the KILT dataset [25] using BART, and we reproduce GENRE", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 142, + 375, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 142, + 375, + 505, + 387 + ], + "score": 1.0, + "content": "on our datasets using T5 for a fair comparison. For datasets without title, we use the first 32", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 142, + 387, + 300, + 398 + ], + "spans": [ + { + "bbox": [ + 142, + 387, + 300, + 398 + ], + "score": 1.0, + "content": "tokens of the document as pseudo-title.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 139, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 139, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "DSI [37], which represents documents using hierarchical K-means clustering results, and", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 142, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 142, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "indexes documents using the first 32 tokens as pseudo-queries. As the original code is not", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 424, + 441, + 436 + ], + "spans": [ + { + "bbox": [ + 141, + 424, + 441, + 436 + ], + "score": 1.0, + "content": "open source, we reproduce DSI using T5-base and the docids of NCI [41].", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 133, + 439, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 133, + 439, + 505, + 452 + ], + "score": 1.0, + "content": "• SEAL [1] uses arbitrary n-grams in documents as docids, and retrieves documents under the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 450, + 499, + 463 + ], + "spans": [ + { + "bbox": [ + 141, + 450, + 499, + 463 + ], + "score": 1.0, + "content": "constraint of a pre-built FM-indexer. We refer to the results reported by Wang et al. [41].", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 137, + 464, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 137, + 464, + 505, + 479 + ], + "score": 1.0, + "content": "• CGR-Contra [17], a title generation model with a contextualized vocabulary embedding", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 142, + 478, + 267, + 488 + ], + "spans": [ + { + "bbox": [ + 142, + 478, + 267, + 488 + ], + "score": 1.0, + "content": "and a contrastive learning loss.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 139, + 491, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 139, + 491, + 505, + 506 + ], + "score": 1.0, + "content": "DSI-QG [47], uses a query generation model to augment the document collection. We", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 141, + 502, + 367, + 515 + ], + "spans": [ + { + "bbox": [ + 141, + 502, + 367, + 515 + ], + "score": 1.0, + "content": "reproduce the DSI-QG results using T5 and our dataset.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 138, + 518, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 138, + 518, + 506, + 532 + ], + "score": 1.0, + "content": "NCI [41], uses a prefix-aware weight-adaptive decoder and various query generation strate-", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 529, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 141, + 529, + 505, + 543 + ], + "score": 1.0, + "content": "gies, including DocAsQuery and DocT5Query. In particular, NCI augments training data by", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 541, + 309, + 553 + ], + "spans": [ + { + "bbox": [ + 141, + 541, + 309, + 553 + ], + "score": 1.0, + "content": "generating 15 queries for each document.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 133, + 555, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 133, + 555, + 505, + 569 + ], + "score": 1.0, + "content": "• Ultron [46], uses a three-stage training pipeline and represents the document as three types", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 141, + 567, + 333, + 579 + ], + "spans": [ + { + "bbox": [ + 141, + 567, + 333, + 579 + ], + "score": 1.0, + "content": "of identifiers, including URL, PQ, and Atomic.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 26.5 + }, + { + "type": "title", + "bbox": [ + 107, + 598, + 345, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 596, + 346, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 346, + 614 + ], + "score": 1.0, + "content": "C Performance on retrieving new documents", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 623, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 505, + 636 + ], + "score": 1.0, + "content": "In this experiment, we investigate the impact of various document tokenization techniques on the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 634, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 506, + 647 + ], + "score": 1.0, + "content": "ability of generative retrieval models to retrieve new documents. The generative models with different", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "tokenization methods are trained on NQ320K data, excluding unseen documents, and are evaluated on", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "NQ320K Unseen test set and BEIR-{Arg, NFC, SciDocs} datasets. For the baseline methods, which", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "use rule-based document tokenization methods, the docids are generated for the target document", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 678, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 506, + 691 + ], + "score": 1.0, + "content": "collection using their respective tokenization techniques. In contrast, our proposed method uses a", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "tokenization model to tokenize the documents in the target collection, producing the docids. However,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "our method may result in duplicate docids. In such cases, all corresponding documents are retrieved", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 711, + 471, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 471, + 723 + ], + "score": 1.0, + "content": "and shuffled in an arbitrary order. The results of this evaluation are summarized in Table 5.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 312, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 312, + 754 + ], + "score": 1.0, + "content": "15", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 71, + 175, + 84 + ], + "lines": [ + { + "bbox": [ + 105, + 69, + 177, + 87 + ], + "spans": [ + { + "bbox": [ + 105, + 69, + 177, + 87 + ], + "score": 1.0, + "content": "B Baselines", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 108, + 96, + 285, + 108 + ], + "lines": [ + { + "bbox": [ + 106, + 96, + 286, + 109 + ], + "spans": [ + { + "bbox": [ + 106, + 96, + 286, + 109 + ], + "score": 1.0, + "content": "The sparse retrieval baselines are as follows:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1, + "bbox_fs": [ + 106, + 96, + 286, + 109 + ] + }, + { + "type": "list", + "bbox": [ + 130, + 116, + 505, + 166 + ], + "lines": [ + { + "bbox": [ + 133, + 115, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 133, + 115, + 505, + 129 + ], + "score": 1.0, + "content": "• BM25, uses the tf-idf feature to measure term weights; we use the implementation from", + "type": "text" + } + ], + "index": 2, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 128, + 246, + 141 + ], + "spans": [ + { + "bbox": [ + 141, + 128, + 246, + 141 + ], + "score": 1.0, + "content": "http://pyserini.io/.", + "type": "text" + } + ], + "index": 3, + "is_list_end_line": true + }, + { + "bbox": [ + 132, + 141, + 506, + 158 + ], + "spans": [ + { + "bbox": [ + 132, + 141, + 506, + 158 + ], + "score": 1.0, + "content": "• DocT5Query, expands a document with possible queries predicted by a finetuned T5 with", + "type": "text" + } + ], + "index": 4, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 154, + 252, + 167 + ], + "spans": [ + { + "bbox": [ + 141, + 154, + 252, + 167 + ], + "score": 1.0, + "content": "this document as the input.", + "type": "text" + } + ], + "index": 5, + "is_list_end_line": true + } + ], + "index": 3.5, + "bbox_fs": [ + 132, + 115, + 506, + 167 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 175, + 283, + 186 + ], + "lines": [ + { + "bbox": [ + 106, + 174, + 284, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 174, + 284, + 187 + ], + "score": 1.0, + "content": "The dense retrieval baselines are as follows:", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 106, + 174, + 284, + 187 + ] + }, + { + "type": "list", + "bbox": [ + 133, + 195, + 506, + 323 + ], + "lines": [ + { + "bbox": [ + 132, + 195, + 492, + 208 + ], + "spans": [ + { + "bbox": [ + 132, + 195, + 492, + 208 + ], + "score": 1.0, + "content": "• DPR [13], a dual-encoder model using the representation of the [CLS] token of BERT.", + "type": "text" + } + ], + "index": 7, + "is_list_start_line": true + }, + { + "bbox": [ + 132, + 211, + 505, + 223 + ], + "spans": [ + { + "bbox": [ + 132, + 211, + 505, + 223 + ], + "score": 1.0, + "content": "• ANCE [42], an asynchronously updated ANN indexer is utilized to mine hard negatives for", + "type": "text" + } + ], + "index": 8, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 222, + 335, + 234 + ], + "spans": [ + { + "bbox": [ + 141, + 222, + 335, + 234 + ], + "score": 1.0, + "content": "training a RoBERTa-based dual-encoder model.", + "type": "text" + } + ], + "index": 9, + "is_list_end_line": true + }, + { + "bbox": [ + 133, + 237, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 133, + 237, + 505, + 250 + ], + "score": 1.0, + "content": "• Sentence-T5 [22], a dual-encoder model that uses T5 to produce continuous sentence", + "type": "text" + } + ], + "index": 10, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 249, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 142, + 249, + 505, + 260 + ], + "score": 1.0, + "content": "embeddings. We reproduce Sentence-T5 (ST5 for short) on our datasets, the model is based", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 259, + 406, + 271 + ], + "spans": [ + { + "bbox": [ + 141, + 259, + 406, + 271 + ], + "score": 1.0, + "content": "on T5-Base EncDec model and is trained with in-batch negatives.", + "type": "text" + } + ], + "index": 12, + "is_list_end_line": true + }, + { + "bbox": [ + 136, + 274, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 136, + 274, + 505, + 287 + ], + "score": 1.0, + "content": "• GTR [23], a state-of-the-art dense retrieval model that pre-trains sentence-T5 on billions of", + "type": "text" + } + ], + "index": 13, + "is_list_start_line": true + }, + { + "bbox": [ + 140, + 285, + 297, + 299 + ], + "spans": [ + { + "bbox": [ + 140, + 285, + 297, + 299 + ], + "score": 1.0, + "content": "paired data using contrastive learning.", + "type": "text" + } + ], + "index": 14, + "is_list_end_line": true + }, + { + "bbox": [ + 132, + 300, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 132, + 300, + 505, + 315 + ], + "score": 1.0, + "content": "• Contriever [11], a dual-encoder model pre-trained using unsupervised contrastive learning", + "type": "text" + } + ], + "index": 15, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 312, + 343, + 325 + ], + "spans": [ + { + "bbox": [ + 141, + 312, + 343, + 325 + ], + "score": 1.0, + "content": "with independent cropping and inverse cloze task.", + "type": "text" + } + ], + "index": 16, + "is_list_end_line": true + } + ], + "index": 11.5, + "bbox_fs": [ + 132, + 195, + 505, + 325 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 333, + 317, + 344 + ], + "lines": [ + { + "bbox": [ + 106, + 333, + 318, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 318, + 345 + ], + "score": 1.0, + "content": "And the generative retrieval baselines are as follows:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17, + "bbox_fs": [ + 106, + 333, + 318, + 345 + ] + }, + { + "type": "list", + "bbox": [ + 131, + 353, + 506, + 578 + ], + "lines": [ + { + "bbox": [ + 139, + 353, + 505, + 367 + ], + "spans": [ + { + "bbox": [ + 139, + 353, + 505, + 367 + ], + "score": 1.0, + "content": "GENRE [5], an autoregressive retrieval model that generates the document’s title. The", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 365, + 505, + 376 + ], + "spans": [ + { + "bbox": [ + 142, + 365, + 505, + 376 + ], + "score": 1.0, + "content": "original GENRE is trained on the KILT dataset [25] using BART, and we reproduce GENRE", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 142, + 375, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 142, + 375, + 505, + 387 + ], + "score": 1.0, + "content": "on our datasets using T5 for a fair comparison. For datasets without title, we use the first 32", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 142, + 387, + 300, + 398 + ], + "spans": [ + { + "bbox": [ + 142, + 387, + 300, + 398 + ], + "score": 1.0, + "content": "tokens of the document as pseudo-title.", + "type": "text" + } + ], + "index": 21, + "is_list_end_line": true + }, + { + "bbox": [ + 139, + 401, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 139, + 401, + 505, + 414 + ], + "score": 1.0, + "content": "DSI [37], which represents documents using hierarchical K-means clustering results, and", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 142, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "indexes documents using the first 32 tokens as pseudo-queries. As the original code is not", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 424, + 441, + 436 + ], + "spans": [ + { + "bbox": [ + 141, + 424, + 441, + 436 + ], + "score": 1.0, + "content": "open source, we reproduce DSI using T5-base and the docids of NCI [41].", + "type": "text" + } + ], + "index": 24, + "is_list_end_line": true + }, + { + "bbox": [ + 133, + 439, + 505, + 452 + ], + "spans": [ + { + "bbox": [ + 133, + 439, + 505, + 452 + ], + "score": 1.0, + "content": "• SEAL [1] uses arbitrary n-grams in documents as docids, and retrieves documents under the", + "type": "text" + } + ], + "index": 25, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 450, + 499, + 463 + ], + "spans": [ + { + "bbox": [ + 141, + 450, + 499, + 463 + ], + "score": 1.0, + "content": "constraint of a pre-built FM-indexer. We refer to the results reported by Wang et al. [41].", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 137, + 464, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 137, + 464, + 505, + 479 + ], + "score": 1.0, + "content": "• CGR-Contra [17], a title generation model with a contextualized vocabulary embedding", + "type": "text" + } + ], + "index": 27, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 478, + 267, + 488 + ], + "spans": [ + { + "bbox": [ + 142, + 478, + 267, + 488 + ], + "score": 1.0, + "content": "and a contrastive learning loss.", + "type": "text" + } + ], + "index": 28, + "is_list_end_line": true + }, + { + "bbox": [ + 139, + 491, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 139, + 491, + 505, + 506 + ], + "score": 1.0, + "content": "DSI-QG [47], uses a query generation model to augment the document collection. We", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 502, + 367, + 515 + ], + "spans": [ + { + "bbox": [ + 141, + 502, + 367, + 515 + ], + "score": 1.0, + "content": "reproduce the DSI-QG results using T5 and our dataset.", + "type": "text" + } + ], + "index": 30, + "is_list_end_line": true + }, + { + "bbox": [ + 138, + 518, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 138, + 518, + 506, + 532 + ], + "score": 1.0, + "content": "NCI [41], uses a prefix-aware weight-adaptive decoder and various query generation strate-", + "type": "text" + } + ], + "index": 31, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 529, + 505, + 543 + ], + "spans": [ + { + "bbox": [ + 141, + 529, + 505, + 543 + ], + "score": 1.0, + "content": "gies, including DocAsQuery and DocT5Query. In particular, NCI augments training data by", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 141, + 541, + 309, + 553 + ], + "spans": [ + { + "bbox": [ + 141, + 541, + 309, + 553 + ], + "score": 1.0, + "content": "generating 15 queries for each document.", + "type": "text" + } + ], + "index": 33, + "is_list_end_line": true + }, + { + "bbox": [ + 133, + 555, + 505, + 569 + ], + "spans": [ + { + "bbox": [ + 133, + 555, + 505, + 569 + ], + "score": 1.0, + "content": "• Ultron [46], uses a three-stage training pipeline and represents the document as three types", + "type": "text" + } + ], + "index": 34, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 567, + 333, + 579 + ], + "spans": [ + { + "bbox": [ + 141, + 567, + 333, + 579 + ], + "score": 1.0, + "content": "of identifiers, including URL, PQ, and Atomic.", + "type": "text" + } + ], + "index": 35, + "is_list_end_line": true + } + ], + "index": 26.5, + "bbox_fs": [ + 133, + 353, + 506, + 579 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 598, + 345, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 596, + 346, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 346, + 614 + ], + "score": 1.0, + "content": "C Performance on retrieving new documents", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 623, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 623, + 505, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 505, + 636 + ], + "score": 1.0, + "content": "In this experiment, we investigate the impact of various document tokenization techniques on the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 634, + 506, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 634, + 506, + 647 + ], + "score": 1.0, + "content": "ability of generative retrieval models to retrieve new documents. The generative models with different", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 505, + 657 + ], + "score": 1.0, + "content": "tokenization methods are trained on NQ320K data, excluding unseen documents, and are evaluated on", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 656, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 505, + 669 + ], + "score": 1.0, + "content": "NQ320K Unseen test set and BEIR-{Arg, NFC, SciDocs} datasets. For the baseline methods, which", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "score": 1.0, + "content": "use rule-based document tokenization methods, the docids are generated for the target document", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 678, + 506, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 506, + 691 + ], + "score": 1.0, + "content": "collection using their respective tokenization techniques. In contrast, our proposed method uses a", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 689, + 506, + 702 + ], + "spans": [ + { + "bbox": [ + 106, + 689, + 506, + 702 + ], + "score": 1.0, + "content": "tokenization model to tokenize the documents in the target collection, producing the docids. However,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "our method may result in duplicate docids. In such cases, all corresponding documents are retrieved", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 711, + 471, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 471, + 723 + ], + "score": 1.0, + "content": "and shuffled in an arbitrary order. The results of this evaluation are summarized in Table 5.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 623, + 506, + 723 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 159, + 122, + 452, + 230 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 107, + 77, + 506, + 121 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 104, + 77, + 507, + 90 + ], + "spans": [ + { + "bbox": [ + 104, + 77, + 507, + 90 + ], + "score": 1.0, + "content": "Table 5: Zero-shot evaluation on retrieving new documents with different document tokeniza-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 88, + 507, + 100 + ], + "spans": [ + { + "bbox": [ + 105, + 88, + 507, + 100 + ], + "score": 1.0, + "content": "tion methods. The second column indicates the type of docid, where BERT-HC denotes BERT-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 98, + 507, + 112 + ], + "spans": [ + { + "bbox": [ + 105, + 98, + 507, + 112 + ], + "score": 1.0, + "content": "Hierarchical-Clustering [37], Prefix-HC denotes Prefix-aware BERT-Hierarchical-Clustering [41],", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 109, + 272, + 123 + ], + "spans": [ + { + "bbox": [ + 105, + 109, + 272, + 123 + ], + "score": 1.0, + "content": "and dAE denotes discrete auto-encoding.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "table_body", + "bbox": [ + 159, + 122, + 452, + 230 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 159, + 122, + 452, + 230 + ], + "spans": [ + { + "bbox": [ + 159, + 122, + 452, + 230 + ], + "score": 0.98, + "html": "
NQ (R@1)BEIR (nDCG@ 10)
MethodDocidUnseenArgNFCSciDocs
DSI-Naive† [37]Naive String0.00.11.00.1
DSI-Atomic† [37]Atomic0.00.20.80.1
GENRE† [5]Title6.00.02.40.6
DSIt [37]BERT-HC1.31.811.15.9
NCI [41]Prefix-HC15.50.94.31.2
OursdAE34.212.112.112.3
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MethodMemoryTime ( (Offline)Top-KTime (Online)
ANCE1160MB145min1000.69s
GTR-Base1430MB140min1001.97s
GENRE851MB0min1001.41s
100.69s
DSI851MB310min1000.32s
100.21s
Ours860MB220min1000.16s
100.10s
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NQ (R@1)BEIR (nDCG@ 10)
MethodDocidUnseenArgNFCSciDocs
DSI-Naive† [37]Naive String0.00.11.00.1
DSI-Atomic† [37]Atomic0.00.20.80.1
GENRE† [5]Title6.00.02.40.6
DSIt [37]BERT-HC1.31.811.15.9
NCI [41]Prefix-HC15.50.94.31.2
OursdAE34.212.112.112.3
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MethodMemoryTime ( (Offline)Top-KTime (Online)
ANCE1160MB145min1000.69s
GTR-Base1430MB140min1001.97s
GENRE851MB0min1001.41s
100.69s
DSI851MB310min1000.32s
100.21s
Ours860MB220min1000.16s
100.10s
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The codebook embedding is uniformly scattered in the document representation space.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5 + } + ], + "index": 3.25 + } + ] + } + ], + "_backend": "pipeline", + "_version_name": "2.2.2" +} \ No newline at end of file diff --git a/parse/dev/WcZUevpX3H3/WcZUevpX3H3.md b/parse/dev/WcZUevpX3H3/WcZUevpX3H3.md new file mode 100644 index 0000000000000000000000000000000000000000..39a805a6bd69ed830d0b5f9cf5cebee4dd03c7fe --- /dev/null +++ b/parse/dev/WcZUevpX3H3/WcZUevpX3H3.md @@ -0,0 +1,251 @@ +# PERSONALIZED NEURAL ARCHITECTURE SEARCH FOR FEDERATED LEARNING + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +Federated Learning (FL) is a recently proposed learning paradigm for decentralized devices to collaboratively train a predictive model without exchanging private data. Existing FL frameworks, however, assume a one-size-fit-all model architecture to be collectively trained by local devices, which is determined prior to observing their data. Even with good engineering acumen, this often falls apart when local tasks are different and require diverging choices of architecture modelling to learn effectively. This motivates us to develop a novel personalized neural architecture search (NAS) algorithm for FL. Our algorithm, FEDPNAS, learns a base architecture that can be structurally personalized for quick adaptation to each local task. We empirically show that FEDPNAS significantly outperforms other NAS and FL benchmarks on several real-world datasets. + +# 1 INTRODUCTION + +Federated Learning (FL) (McMahan et al., 2017) is a variant of distributed learning where the objective function can be decomposed into a linear combination of $M$ local objective functions. Each function depends on its private data hosted by a local client and a set of shared parameters $w$ , + +$$ +\underset { w } { \mathrm { a r g m i n } } \ : \mathcal { L } ( w ) \equiv \underset { w } { \mathrm { a r g m i n } } \ : \sum _ { i = 1 } ^ { M } \mathcal { L } _ { i } ( w \mid \mathcal { D } _ { i } ) , +$$ + +where $\mathcal { D } _ { i }$ denotes the $i ^ { \mathrm { t h } }$ local training dataset comprising input-output tuples $( x , y )$ . In a standard supervised learning task where the predictive model is modeled as a fixed deep neural network $\psi$ with learnable weights $w$ , let $\ell ( x , y )$ denote the loss incurred by predicting $\psi ( x ; w )$ when the true output is $y$ . The expected loss of $\psi ( x ; w )$ on $\mathcal { D } _ { i }$ is given as + +$$ +\begin{array} { r l r } { \mathcal { L } _ { i } ( w \mid \mathcal { D } _ { i } ) } & { = } & { \mathbb { E } _ { ( x , y ) \sim \mathcal { D } _ { i } } \Big [ \ell ( x , y ; \psi ) \Big ] ~ . } \end{array} +$$ + +This is not applicable to scenarios where local models are expected to solve different tasks which are similar in broad sense yet diverge in finer details. For example, consider the task of recognizing the outcome of a coin flip given images collected by two clients: one capture the coin from above, the other from below. This setting implies that when the same input image is provided by both clients, the correct classifications must be the opposite of one another. However, since existing FL methods converge on a single model architecture and weight, there can only be one predictive outcome which cannot satisfy both tasks. + +To relax this constraint, the recent work of Fallah et al. (2020) extends FL by incorporating ideas from meta learning (Finn et al., 2017) which results in a new framework of personalized FL. The new framework can accommodate for such task heterogeneity but still requires all client models to agree on a single architecture beforehand, which is sub-optimal. To address this shortcoming, one naive idea is to adopt existing ideas in Neural Architecture Search (NAS) via Reinforcement Learning (Zoph and Le, 2016; Pham et al., 2018) which act as an outer loop to the existing FL routine. + +However, this simple approach does not allow client models to adapt to local tasks on an architecture level and is often not preferred due to the cost of repeated FL training. This paper proposes a novel personalized NAS algorithm for federated learning, which generalizes ideas in respective areas of NAS (Zoph and Le, 2016; Pham et al., 2018) originally developed for single-task scenarios, and + +FL (Fallah et al., 2020) under a unified len of federated personalized neural architecture search (FEDPNAS). + +In particular, to customize the model architecture for each task in the FL workflow, FEDPNAS first represents the model architecture for each task as a sub-network sampled from a large, overparameterized network. The sampling distribution is (collaboratively) learned along with the parameters of the sampled network via a generalization of the recently proposed Discrete Stochastic NAS (DSNAS) method (Hu et al., 2020). Unlike DSNAS, which lacks the ability to customize architecture for individual tasks, our generalized FEDPNAS incorporates model personalization on an architecture level. Our contributions include: + +1. A novel architecture that factorizes into a base component (shared across tasks) and a personalizable component, which respectively capture the task-agnostic and task-specific information (Section 3.2). + +2. A context-aware sampling distribution conditioned on specific task instance, which captures taskspecific information and naturally incorporates personalization into architecture search (Section 3.4). + +3. An FL algorithm that optimizes for a common architecture, followed by a personalization phase where each client subsequently adapts only the personalized component to fit its own task via finetuning with local data (Section 3.1). To ensure that the common architecture distribution converges at a vantage point that is relevant and beneficial to all clients, we generalize the vanilla FL objective in Eq. equation 1 such that local gradient steps directly optimize for expected improvement resulting from future fine-tuning (Section 3.3). + +4. A theoretical perspective on our FL objective (Section 3.5 and thorough empirical analysis showing significant performance gain compared to state-of-the-art FL and NAS methods (Section 4). + +# 2 RELATED WORKS + +# 2.1 TWO-STAGE NEURAL ARCHITECTURE SEARCH + +Most existing NAS frameworks separately optimize for the optimal architecture and its parameters in two stages: searching and evaluation. The former stage usually employs evolutionary-based strategies (Floreano et al., 2008; Real et al., 2019), Bayesian optimization surrogates (Bergstra et al., 2013; Hu et al., 2018) or Reinforcement Learning controllers (Baker et al., 2016; Zoph and Le, 2016; Pham et al., 2018) to propose candidate architectures based on random mutations and/or observed experience; while the latter optimizes the parameters of these architectures given task data and provide feedback to improve the search agent. Naturally, an extension of such methods to the FL setting is through distributing the evaluation workload over many clients, which does not require exposing private data. In practice, however, two-stage federated NAS frameworks are generally not suitable for the personalized FL setting for two reasons: (a) the clients often lack the computational capacity to repeatedly optimize the parameters for many candidate architectures; and (b) the clients have to converge on a single architecture proposed by the central search agent. + +# 2.2 DISCRETE STOCHASTIC NEURAL ARCHITECTURE SEARCH + +Discrete stochastic neural architecture search (DSNAS) (Hu et al., 2020) addresses the computational issue of two-stage NAS by jointly optimizing the optimal architecture and its weight in an end-to-end fashion, which allows users to continually train a single network on demand over time as opposed to performing full parameter optimization for every candidate until a good architecture is discovered. + +The main idea of DSNAS is to combine weight training for an over-parameterized master architecture with discrete computational path sampling. DSNAS parameterizes the master architecture as a stack of modular cells: $\psi ( x ) \bar { = } \psi _ { C } \circ \bar { \psi } _ { C - 1 } \cdot \cdot \cdot \circ \psi _ { 1 } ( \bar { x } ) ^ { 1 }$ , where $x$ is an arbitrary input, $C$ is the number of cells, $\psi _ { t }$ denotes the $t ^ { \mathrm { t h } }$ cell in the stack, and $\circ$ denotes the compositional operator. The inner computation of $\psi _ { t }$ is in turn characterized by a directed acyclic graph (DAG) with $V$ nodes $\{ v _ { i } \} _ { i = 1 } ^ { | V | }$ , where each node represents some intermediate feature map. For each directed edge $( v _ { i } , v _ { j } )$ + +![](images/718e70d9fa976c50deca97062d523901e363ff96a3953e515fd8e35fb90486f0.jpg) +Figure 1: Our proposed method FEDPNAS consists of (1) a federated learning phase, where each client updates both the base component $( \psi ^ { b } )$ and the personalized component $( \psi _ { p } )$ the architecture using the FEDPNAS update (Section 3.3) and sends its parameters to the central server for aggregation; and (2) a fine-tune phase, where each client updates only the personalized component of the architecture using standard gradient update. + +there is an associated list of $D$ possible network operations $\mathbf O _ { i j } = \left[ o _ { i j } ^ { 1 } , o _ { i j } ^ { 2 } \ldots o _ { i j } ^ { D } \right] ^ { 2 }$ where each operainput on w $o _ { i j } ^ { k }$ rms ). W $v _ { i }$ to rec $v _ { j }$ . Here, ively de $v _ { 1 }$ corresponds to the oe intermediate nodes $\psi _ { t - 1 }$ (orhere $x$ $t = 1$ $\begin{array} { r } { v _ { j } = \sum _ { i = 1 } ^ { j - 1 } \mathbf { Z } _ { i j } ^ { \top } \mathbf { O } _ { i j } ( v _ { i } ) } \end{array}$ distribution learnable. E $\mathbf { O } _ { i j } ( v _ { i } ) \triangleq \big [ o _ { i j } ^ { 1 } ( v _ { i } ) , o _ { i j } ^ { 2 } ( v _ { i } ) \dots o _ { i j } ^ { D } ( v _ { i } ) \big ]$ $p ( \mathbf { Z } \mid \mathbf { \pi } \mathbf { \Pi } \mathbf { \Pi } )$ where the event probabi learning the distribution and $\mathbf { Z } _ { i j }$ is a one-hot vector sampled from the categorical $\mathbf { H } = \{ \pi _ { 1 } , \pi _ { 2 } , . . . , \pi _ { D } \mid \sum _ { i = 1 } ^ { D } \pi _ { i } = 1 \}$ ares or $p ( \mathbf { Z } )$ +sub-graphs of the original DAG that correspond to high-performing, compact architecture from the over-parameterized master network. Sampling discrete random variables from $p ( \mathbf { Z } )$ , however, does not result in a gradient amenable to back-propagation. To sidestep this issue, DSNAS adopts the straight-through Gumbel-softmax trick (Jang et al., 2016), which re-parameterizes the $k ^ { \mathrm { t h } }$ index of the one-hot variable as $\mathbf { Z } _ { i j } [ k ] = \mathbb { I } \left( k \triangleq { \arg \operatorname* { m a x } _ { t } } \Big [ g _ { t } + \log \pi _ { t } \Big ] \right)$ , where $g _ { t } \sim \mathrm { G u m b e l } ( 0 , 1 )$ . While this forward computation does not have a gradient by itself, we can estimate the gradient through a proxy during the backward pass: + +$$ +\nabla { \mathbf Z } _ { i j } [ k ] ~ \simeq ~ \nabla \tilde { \mathbf Z } _ { i j } [ k ] ~ \triangleq ~ \nabla \left( \frac { \exp \big ( \big ( g _ { k } + \log \pi _ { k } \big ) / \tau \big ) } { \sum _ { t = 1 } ^ { D } \exp \big ( \big ( g _ { t } + \log \pi _ { t } \big ) / \tau \big ) } \right) +$$ + +which is unbiased when converged as the temperature $\tau$ is steadily annealed to 0 (Jang et al., 2016). This formulation, however, is not easily extended to the FL setting, especially when local tasks are not homogeneous. The key challenges in doing so are described in Section 3, together with our proposed approaches. + +# 3 PERSONALIZED NAS FOR FEDERATED LEARNING + +# 3.1 FEDERATED LEARNING OF DSNAS + +Let W denote the concatenated weights of all network operations in the network architecture. The set up above of DSNAS (Jang et al., 2016) is then naïvely extendable to a $\mathrm { F L }$ setting via the following objective formulation: + +$$ +\underset { \mathbf { W } , \mathbf { \Pi } } { \arg \operatorname* { m i n } } \mathcal { L } ( \mathbf { W } , \mathbf { \Pi } \mathbf { I } ) \equiv \underset { \mathbf { W } , \mathbf { \Pi } \mathbf { \Pi } } { \arg \operatorname* { m i n } } \frac { 1 } { M } \sum _ { i = 1 } ^ { M } \mathcal { L } _ { i } ( \mathbf { W } , \mathbf { \Pi } \mathbf { I } \mid \mathcal { D } _ { i } ) . +$$ + +McMahan et al. (2017) optimizes this objective by alternating between (a) central agent broadcasting aggregated weights to local clients and (b) local clients sending gradient descent updated weights (given local data) to the central agent for aggregation. This, however, implies that after the last central aggregation step, all clients will follow the same architecture distribution induced by the final broadcasted copy of W and Π. As previously argued, this is not optimal in a heterogenous task setting which requires task-specific adaptation for local clients to achieve good performance. + +Furthermore, having the same sampling distribution $p ( \mathbf { Z } )$ regardless of context (i.e., feature maps received as cell input) limits the architecture discovery to those that perform reasonably on average over the entire dataset. However, we remark that restricting the architecture to be the same for every input samples is unnecessary and undermines the expressiveness of an over-parameterized search space. On the other hand, letting the architecture be determined on a per-sample basis makes better use of the search space and potentially improves the predictive performance. + +The focus of this work is therefore to incorporate both task-wise and context-wise personalization to federated neural architecture search in multitask scenarios, which is achieved through our proposed algorithm FEDPNAS. In general, FEDPNAS functions similarly to the vanilla FEDDSNAS algorithm described above, with an addition of a fine-tuning phase at each local client after the FL phase to adapt the aggregated common model for local task data, as shown in Fig. 1. To make this work, however, we need to address the following key challenges: + +C1. First, as previously argued in Section 1, tasks across federated clients tend to share similarities in broad sense, and diverge in finer details. A good federated personalization search space, therefore, need to capture this fundamental observation through design and appropriate resource distribution. We address this challenge in Section 3.2. + +C2. Second, a major advantage of having an over-parameterized architecture search space is the flexibility of having specific computation paths for different samples, which is not exploited by DSNAS as reflected in its choice of context-independent sampling distribution $p ( \mathbf { Z } )$ . To address this, Section 3.4 proposes a novel parameterization of $p ( \mathbf { Z } )$ to incorporate context information into operator sampling. + +C3. Last, while the fine-tuning phase is designed to incorporate task-personalization, there is no guarantee that the common model can be quickly adapted to client tasks (Fallah et al., 2020). The common model may end up in a localization that favors one client over another, which makes it difficult for the latter to fine-tune. To address this concern, Section 3.3 proposes a new personalized federated NAS objective inspired by Finn et al. (2017) to optimize the common model in anticipation of further fine-tuning by the client models. + +# 3.2 PERSONALIZABLE ARCHITECTURE SEARCH SPACE + +Similar to DSNAS (Hu et al., 2020), our framework adopts a cell-based representation (Section 2.2) to trade-off search space expressiveness for efficiency, which is extremely suitable for FL where clients tend to have low-end computational capacity. Unlike the original design which assumes similar role for every cell in the architecture stack (i.e., as reflected by their choice of fully factorizable path sampling distribution $p ( \mathbf { Z } ) ,$ , we instead split our cell stack into two components with separate metaroles catering to the ftask: (a) a base stack $\psi _ { \mathrm { b } } = \{ \dot { \psi } _ { 1 } ^ { b } , \psi _ { 2 } ^ { b } \cdot \hdots \psi _ { C _ { b } } ^ { b } \}$ which aims to capture the broad commonalities of data samples across client tasks; and (b) personalized stack $\psi _ { \mathrm { { p } } } ~ = ~ \{ \psi _ { 1 } ^ { p } , \psi _ { 2 } ^ { p } \ldots \psi _ { C _ { p } } ^ { p } \}$ which will be fine-tuned with local data to capture task-specific details. + +![](images/3116f74b935bbe36c806df305e40cbbc96cf386169136d98b85b7351797e33ce.jpg) +Figure 2: Feature mapping down the component stacks of our architecture space. Every base cell takes as inputs (a) the outputs from its immediate predecessor and (b) the one before it through a skip-ahead connection. On the other hand, every personalization cell takes as input only the output from the previous cell. + +We explain the main difference between these components to account for different level of expressiveness requirements below: + +Base stack. Every cell $\psi _ { t } ^ { b }$ in the base stack takes as inputs the outputs of its previous two cells $\psi _ { t - 1 } ^ { b }$ and $\psi _ { t - 2 } ^ { b }$ (replaced with raw input $x$ when necessary for $t \leq 2$ ). The output of the skip-ahead cell $\psi _ { t - 2 } ^ { b }$ is additionally passed through a $1 \times 1$ convolution layer as a cost-effective way to control the number of channels. Additionally, the operators available to the base cell include large convolution layers with size $5 \times 5$ and $7 \times 7$ . To compensate for the growing number of channels, we periodically employ a reduction convolution (with stride larger than 1) similar to DSNAS (Hu et al., 2020) to reduce the feature dimension down the stack. + +Personalized stack. As opposed to the design of the base cells above, every cell $\psi _ { t } ^ { p }$ in the personalized stack has minimal expressiveness. That is, $\psi _ { t } ^ { p }$ excludes large operators and only takes as input the output of its immediate predecessor $\psi _ { t - 1 } ^ { p }$ (or $\dot { \psi } _ { C _ { b } } ^ { b }$ when $t = 1$ ). There are two reasons for this choice. First, as the fine-tuning phase has access to fewer data samples than the federated phase, having a more compact fine-tuning space helps to improve the rate of convergence. Second, as we will discuss in Section 3.4 below, our personalized FL objective requires the Hessian of the personalized parameters, which is computationally expensive. As such, we only restrict the personalization to happen on the more compact personalized stack. + +# 3.3 PERSONALIZED FEDERATED LEARNING OBJECTIVE + +Unlike FEDAVERAGING (McMahan et al., 2017), which assumes the clients will follow the consensus base model obtained after the federated phase, FEDPNAS expects clients to further personalize the base model with local task data. That said, while the base model is trained to work well in the expected sense over the task distribution, there is no guarantee that it is a good initial point for every client model to improve upon via fine-tuning. To address this, we adopt the concept of training in anticipation of future adaptation introduced by MAML (Finn et al., 2017). That is, during client update, instead of optimizing the loss with respect to the same consensus weight, each client will instead optimize the weight perturbed by a small gradient step in the fine-tuning direction. + +# Algorithm 1 FEDPNAS - FEDERATED PHASE + +1: CENTRALAGGREGATION: +2: $\theta _ { 0 } \gets$ INITIALIZEPARAMETER +3: for $t = 1 , 2 \dots T _ { s }$ do +4: for $k = 1 , 2 \dots M$ in parallel do +5: $\theta _ { t } ^ { k } \gets \mathrm { C L I E N T U P D A T E } ( k , \theta _ { t - 1 } )$ +$\begin{array} { r } { \theta _ { t } \sum _ { k = 1 } ^ { M } \frac { 1 } { M } \theta _ { t } ^ { k } } \end{array}$ +7: CLIENTUPDATE $( k , \theta )$ : +8: for $t = 1 , 2 \dots T _ { \mathrm { c } }$ do +9: for batch $( x , y ) \in \mathcal { D } _ { k }$ do +10: $\mathcal { L } _ { k }$ $\mathrm { , } \nabla \mathcal { L } _ { k } \gets \mathrm { E v A L } ( x , y ; \theta _ { b } , \theta _ { p } )$ +11: $ { \widetilde { \theta } } _ { p } \gets { \mathrm { G R A D U P D A T E } } \big ( \nabla _ { { \widetilde { \theta } } _ { p } } \mathcal { L } _ { k } \big )$ +12: $\tilde { \mathcal { L } } _ { k } , \nabla \tilde { \mathcal { L } } _ { k } \gets \mathrm { E v A L } ( x , y ; \theta _ { b } , \tilde { \theta } _ { p } )$ +13: $\nabla _ { \boldsymbol { \theta } _ { p } } \tilde { \mathcal { L } } _ { k } \gets \mathrm { E Q } . \mathrm { 5 }$ +14: θb, θp ← GRADUPDATE(∇θb,θpL˜k) +15: return $\theta$ to central server + +# Algorithm 2 FEDPNAS - EVAL + +1: Input: x, y, θ +2: SKIP, PREV ← x, x +3: W,Π ← θ +4: for CELL $\psi \in \psi$ do +5: Z ← SAMPLEOPS $( x , { \mathrm { P R E V } } ; \mathbf { I I } )$ +6: ψ ← EXTRACTCHILDNET $( \mathbf { Z } , \mathbf { W } )$ +7: if $\psi \in \psi _ { b }$ then +8: OUTPUT $ \psi ( \mathrm { P R E V } , \mathrm { S K I P } )$ +9: else if $\psi \in \psi _ { p }$ then +10: $\mathrm { O U T P U T } \psi ( \mathrm { P R E V } )$ +11: $\mathbf { S K I P } \mathbf { P R E V }$ +12: PREV $\gets$ OUTPUT +13: $\mathcal { L } \gets \mathrm { L o s s } ( \mathbf { O u T P U T } , y )$ +14: $\nabla { \mathcal { L } } \gets \mathbf { B A C K P R O P } ( { \mathcal { L } } )$ +15: return L, ∇L + +For simplicity, let $\theta = \{ \theta _ { b } , \theta _ { p } \}$ respectively denote all trainable parameters of the base stack and the personalized stack, i.e., $\partial _ { b } = \mathbf { \bar { \{ W } } _ { b } , \mathbf { \bar { \Pi } } _ { b } \} , \boldsymbol { \hat { \theta _ { p } } } = \{ \mathbf { W } _ { p } , \mathbf { \Pi } _ { \Pi _ { p } } \}$ . The personalized $\mathrm { F L }$ objective at client $i$ is then given by $\tilde { \mathcal { L } } _ { i } ( \theta _ { b } , \theta _ { p } ) \triangleq \mathcal { L } _ { i } ( \theta _ { b } , \tilde { \theta } _ { p } )$ where $\tilde { \theta } _ { p } \triangleq \tilde { \theta } _ { p } - \eta \nabla _ { \theta _ { p } } \mathcal { L } _ { i } ( \theta _ { b } , \theta _ { p } )$ adjusts the parameters of the personalized component to account for a small fine-tuning gradient step. The adjusted local loss only depends on the respective client data and is amenable to federated learning. The local update gradient, however, involves a Hessian term whose computation is expensive to repeat over many epochs. To circumvent this problem, we use the first-order Taylor approximation to estimate the Hessian term by the outer product of Jacobian, which results in a gradient that requires exactly two forward/backward passes to compute: + +$$ +\begin{array} { r c l } { \nabla _ { \theta _ { p } } \tilde { \mathcal { L } } _ { i } } & { = } & { \left( \nabla _ { \theta _ { p } } \tilde { \theta } _ { p } \right) \left( \nabla _ { \tilde { \theta } _ { p } } \tilde { \mathcal { L } } _ { i } \right) } \\ & { = } & { \left( \mathbf { I } - \eta \nabla _ { \theta _ { p } } ^ { 2 } \mathcal { L } _ { i } \right) \left( \nabla _ { \tilde { \theta } _ { p } } \tilde { \mathcal { L } } _ { i } \right) } \\ & { \simeq } & { \left( \mathbf { I } - \eta \nabla _ { \theta _ { p } } ^ { \top } \mathcal { L } _ { i } \nabla _ { \theta _ { p } } \mathcal { L } _ { i } \right) \left( \nabla _ { \tilde { \theta } _ { p } } \tilde { \mathcal { L } } _ { i } \right) } \end{array} +$$ + +where $\mathcal { L } _ { i }$ and $\tilde { \mathcal { L } } _ { i }$ are short-hands for $\mathcal { L } _ { i } ( \theta _ { b } , \theta _ { p } )$ and $\tilde { \mathcal { L } } _ { i } ( \theta _ { b } , \theta _ { p } )$ respectively. The FL phase of our FEDPNAS framework is detailed in Alg. 1. An instance of FEDPNAS’s forward and backward pass which sequentially unrolls down the component stacks, alternating between sampling and evaluation, is in turn given in Alg. 2. + +# 3.4 CONTEXT-AWARE OPERATOR SAMPLER + +The choice of a fully factorizable sampling distribution $p ( \mathbf { Z } )$ in DSNAS follows that of SNAS (Xie et al., 2018), which argues that the Markov assumption for $p ( \mathbf { Z } )$ is not necessary because NAS has fully delayed rewards in a deterministic environment. However, this generally only holds for two-stage NAS (Section 2.1) and does not apply to end-to-end frameworks such as SNAS and DSNAS. We instead to take advantage of the over-parameterized architecture via factorizing the conditional $p ( \mathbf { Z } \mid x )$ , which takes into account the temporal dependency of structural decisions: + +$$ +\begin{array} { l l l } { { p ( { \bf Z } \mid x ) } } & { { = } } & { { \displaystyle p ( { \bf Z } _ { 1 } \mid x ) \prod _ { t = 2 } ^ { C } p ( { \bf Z } _ { t } \mid { \bf Z } _ { t - 1 } \dots { \bf Z } _ { 1 } , x ) } } \\ { { } } & { { } } & { { } } \\ { { \displaystyle } } & { { \simeq } } & { { \displaystyle p ( { \bf Z } _ { 1 } \mid x ) \prod _ { t = 2 } ^ { C } p ( { \bf Z } _ { t } \mid v _ { 1 } ^ { t } , x ) } } \\ { { } } & { { } } & { { } } \\ { { \displaystyle } } & { { = } } & { { \displaystyle p ( { \bf Z } _ { 1 } \mid x ) \prod _ { t = 2 } ^ { C } \prod _ { ( i , j ) } p ( { \bf Z } _ { i j } ^ { t } \mid v _ { 1 } ^ { t } , x ) , } } \end{array} +$$ + +where $\mathbf { Z } _ { t }$ , $\mathbf { Z } _ { i j } ^ { t }$ and $v _ { 1 } ^ { t }$ respectively denote all the samples, the sample at edge $( i , j )$ and the input at cell $\psi _ { t }$ . We have also assumed a single stack setting since the parameterization of $p ( \mathbf { Z } )$ does not differ between base and personalized cells. + +To reduce computational complexity, instead of conditioning the samples of subsequent cells on previous $\mathbf { Z }$ samples, we approximate $p ( \mathbf { Z } _ { t } \mid \mathbf { Z } _ { t - 1 } \ldots \mathbf { Z } _ { 1 } , x ) \bumpeq p ( \mathbf { Z } _ { t } \mid v _ { 1 } ^ { t } , x )$ by the assumption that the cell contents are conditionally independent given the immediate cell input and the original input. Finally, we assume that $p ( \mathbf { Z } _ { t } \mid v _ { 1 } ^ { t } , x )$ is fully factorizable across edges in the same cell and parameterize $p ( \mathbf { Z } _ { i j } ^ { t } \mid v _ { 1 } ^ { t } , x ) = \phi ^ { ( i , j ) } ( v _ { 1 } ^ { t } , x )$ where $\phi$ is a deep classification network whose output dimension equal the number of edges in cell $\psi _ { t }$ . Samples of $\mathbf { Z } _ { i j } ^ { t }$ can then be generated using the straight-through Gumbel-softmax reparameterization similar to Jang et al. (2016). + +# 3.5 THEORETICAL CONNECTION TO STANDARD GRADIENT UPDATE + +Finally, we analyze the connection of our gradient update framework to the standard gradient update, and explain why it is critical in achieving a vantage point that improves average objective value without compromising any local objective. First, we note that the gradient update Eq. 5 in Section 3.3 at the $t$ -th iteration can be written as: + +$$ +\begin{array} { r c l } { \displaystyle \theta _ { p } ^ { t + 1 } } & { = } & { \displaystyle \theta _ { p } ^ { t } - \frac { \eta _ { 2 } } { M } \sum _ { i = 1 } ^ { M } \nabla _ { \theta _ { p } } \mathcal { L } _ { i } \big ( \theta _ { b } ^ { t } , \tilde { \theta } _ { p , i } ^ { t } \big ) + \frac { \eta _ { 1 } \eta _ { 2 } } { M } \sum _ { i = 1 } ^ { M } \alpha _ { i } \nabla _ { \theta _ { p } } \mathcal { L } _ { i } \big ( \theta _ { b } ^ { t } , \theta _ { p } ^ { t } \big ) , } \\ { \displaystyle \theta _ { b } ^ { t + 1 } } & { = } & { \displaystyle \theta _ { b } ^ { t } - \frac { \eta _ { 2 } } { M } \sum _ { i = 1 } ^ { M } \nabla _ { \theta _ { b } } \mathcal { L } _ { i } \big ( \theta _ { b } ^ { t } , \tilde { \theta } _ { p , i } ^ { t } \big ) , } \end{array} +$$ + +where $\tilde { \theta } _ { p , i } ^ { t }$ denotes the $i$ -th local personalized parameters; $\eta _ { 1 }$ and $\eta _ { 2 }$ are two separate learning rates and $\boldsymbol { \alpha } _ { i } \triangleq \nabla _ { \boldsymbol { \theta } _ { p } } ^ { \intercal } \mathcal { L } ( \boldsymbol { \theta } _ { b } ^ { t } , \boldsymbol { \theta } _ { p , i } ^ { t } ) \nabla _ { \boldsymbol { \theta } _ { p , i } } \mathcal { L } ( \boldsymbol { \theta } _ { b } ^ { t } , \tilde { \boldsymbol { \theta } } _ { p , i } ^ { t } )$ (See Appendix A for detailed derivation). This implies that our federated personalize update corresponds to a federated update scheme with three gradient steps: (1) $\theta _ { p }$ takes a local gradient (w.r.t. locally updated parameters) step of size $\eta _ { 1 }$ ; (2) Both $\theta _ { b }$ and $\theta _ { p }$ take a federated gradient (w.r.t. server-wide parameters averaging) step of size $\eta _ { 2 }$ ; $( 3 ) \theta _ { p }$ takes a weighted federated gradient step of size $\eta _ { 1 } \eta _ { 2 }$ , where the weight of client $i$ is given by $\alpha _ { i }$ . + +Explicitly, Step 1 and 2 together comprise a special instance of FEDAVERAGING (McMahan et al., 2017), where $\theta _ { b }$ take one gradient step for every two gradient steps taken by $\theta _ { p }$ . Step 3, on the other hand, takes the information of the two gradient steps of $\theta _ { p }$ and adjust the magnitude of the local gradient step (whose direction is given by $\nabla _ { \theta _ { p } } \mathcal { L } _ { i } ( \theta _ { b } ^ { t } , \bar { \theta } _ { p } ^ { t } ) )$ accordingly to trade-off between preserving local objective value and improving average objective value. We then theorize the scenario in which such an update is beneficial and state the following assumption to lay the foundation of our analysis: + +Assumption 1 For a fixed instance of $\theta _ { b }$ , let $\tilde { \theta } _ { p , i } = \theta _ { p , i } - \eta \nabla _ { \theta _ { p } } \mathcal { L } ( \theta _ { b } , \theta _ { p , i } )$ denote the personalized parameters after a local update step (i.e., step $^ { l }$ above) at client $i$ , then there exists a distribution $s$ on matrix $\mathbf { S } \in \mathbb { R } ^ { k \times | \theta _ { p } | }$ that satisfies + +$$ +\forall \mathbf { x } \in \mathbb { R } ^ { n } , \| \mathbf { x } \| _ { 2 } = 1 : \mathbb { E } _ { \mathbf { S } \sim { \mathcal { S } } } \left[ | \| \mathbf { S } \mathbf { x } \| _ { 2 } ^ { 2 } - 1 | ^ { \ell } \right] \ \leq \ \epsilon ^ { \ell } \cdot \delta , +$$ + +$$ +\operatorname* { P r } _ { \mathbf { S } \in \mathcal { S } } \left( \Big | \nabla _ { \theta _ { p } } \mathcal { L } \big ( \theta _ { b } , \tilde { \theta } _ { p , i } \big ) - \mathbf { S } ^ { \top } \mathbf { S } \Big ( \frac { 1 } { M } \sum _ { i = 1 } ^ { M } \nabla _ { \theta _ { p } } \mathcal { L } \big ( \theta _ { b } , \tilde { \theta } _ { p , i } \big ) \Big ) \Big | \leq \sqrt { \frac { 6 } { k \delta } } \right) ~ \geq ~ 1 - \delta +$$ + +where $k = \mathcal { O } \left( C \| \theta _ { b } - \theta _ { b } ^ { * } \| _ { 2 } ^ { - 2 } \right)$ for some constant $C > 0$ and $\theta _ { b } ^ { * }$ denotes the optimal base parameters. + +The above assumption implies that, as $\theta _ { b }$ improves and better captures the broad similarity across tasks, the local personalized components will diverge to capture the differences. It then becomes less likely for the FEDAVG personalized gradient to capture all these differences simultaneously. That is, suppose there exists an affine transformation to reconstruct the local component $\nabla _ { \boldsymbol { \theta } _ { p } } \mathcal { L } _ { i } \dot { ( \theta _ { b } ^ { t } , \tilde { \theta } _ { p } ^ { t } ) }$ from the federated gradient 1M PMi=1 ∇θp Li(θtb, ˜θtp), then the rank of this affine transformation would be inversely proportionate to $\lVert \theta _ { b } - \theta _ { b } ^ { * } \rVert _ { 2 }$ . + +Finally, Proposition 1 below shows that when this assumption holds and $\theta _ { b }$ converges to the optimal parameter $\theta _ { b } ^ { * }$ (i.e., the error term tends to 0), then with very high probability, the coefficient $\alpha _ { i }$ of the weighted federated gradient step (i.e., step 3 above) accurately captures the cosine similarity between the local gradient (step 1) and the federated gradient (step 2). + +Proposition 1 Suppose assumption $^ { l }$ holds, then with probability at least $1 - 2 \delta$ and normalized gradients, we have: + +$$ +\begin{array} { r l r } { \bigg | \alpha _ { i } - \nabla _ { \theta _ { p } } ^ { \top } \mathcal { L } _ { i } ( \theta _ { b } ^ { t } , \theta _ { p } ^ { t } ) \mathbf { L } \bigg | } & { = } & { \mathcal { O } ( \| \theta _ { b } - \theta _ { b } ^ { * } \| / \delta ) } \end{array} +$$ + +Proof. See Appendix B + +This result has strong implication with respect to the scenario with multiple heterogeneous tasks, whose local gradients contradict in directions. Per this setting, we expect a standard federated gradient update scheme to encourage parameters drifting in the general direction of the majority (i.e., captured by the federated gradient), thus worsening the performance of tasks that are in the minority. Proposition 1, however, implies that whenever the local gradient contradicts the federated gradient, $\alpha _ { i }$ will be close to the cosine similarity term, which is negative. This in turn results in a dampening effect on the federated gradient and helps to preserve the client performance on its own local task. + +# 4 EXPERIMENTS + +This section describes our experiments to showcase the performance of FEDPNAS compared to different NAS and FL benchmarks on various scenarios. All of our empirical studies are conducted on two image recognition datasets: (a) the CIFAR-10 dataset (Krizhevsky et al., 2009) which aims to predict image labels from 10 classes given a train/test set of 50000/10000 colour images of dimension $3 2 \times 3 2$ pixels; and (b) the MNIST dataset (LeCun et al., 2010) which aims to predict handwritten digits (i.e. 0 to 9) given a train/test set of 60000/10000 grayscale images of dimension $2 8 \times 2 8$ pixels. Our search space entails $2 ^ { 4 0 }$ possible architectures, which is detailed in Appendix D. We compare two variants of our framework, CA-FEDPNAS (with context-aware operation sampler) and FEDPNAS (without the operation sampler), against: (a) FEDAVERAGING of a fixed architecture to justify the need for NAS in FL; (b) FEDDSNAS - the federated extension of DSNAS (Section 3.1) to show the effectiveness of our proposed context-aware sampler on NAS performance; and finally (c) CA-FEDDSNAS, which extends FEDDSNAS with our context-aware sampler. + +On simulate heterogenous predictive tasks. To simulate this scenario, we first distribute the data i.i.d across clients (10000/2000 and 12000/2000 training/test images per client for CIFAR-10 and MNIST datasets respectively). Then, we independently apply a different transformation to each partitioned dataset. Input images within the same train/test set is subject to the same transformation. In both our experiments, the client datasets are subjected to rotations of $- 3 0 ^ { \circ }$ , $- 1 5 ^ { \circ } , 0 ^ { \circ }$ , $1 5 ^ { \circ }$ and $3 0 ^ { \circ }$ respectively. This data generation protocol reflects a realistic and frequently seen scenario where independently collected data of the same phenomenon might contain systematic bias due to measurement errors and/or different collection protocols. Fig. 3 below shows the performance of all the methods in comparison, plotted against number of search epochs and averaged over the above rotated variants of CIFAR-10 and MNIST datasets. + +![](images/08d3fd76b4111ac26e3461c4df7498289f564056a7c3a605aede072b6240b1a0.jpg) +Figure 3: Plotting average classification accuracy of various methods against no. training epochs on heterogeneous tasks derived from (a) MNIST dataset; and (b) CIFAR-10 dataset. Figure (c) compares cumulative running time of various methods against no. training epochs on CIFAR-10 dataset. + +On the MNIST dataset (Fig. 3b), all methods eventually converge to a similar performance. Among the NAS benchmarks, FEDPNAS and FEDDSNAS both converge slower than FEDAVG and start off with worse performance in early iterations, which is expected since FEDAVG does not have to search for the architecture and it is likely that the default architecture is sufficient for the MNIST task. On the other hand, we observe that both CA-FEDPNAS and CA-FEDDSNAS converge much faster than their counterparts without the context-aware operation sampler component. This shows that making use of contextual information helps to quickly locate regions of high-performing architectures, especially on similar inputs. + +On the CIFAR-10 dataset (Fig. 3a), we instead observe significant gaps between the worst performing FEDAVG and other NAS methods. This is likely because the default architecture does not have sufficient learning capability, which confirms the need for customizing solutions. Among the NAS benchmarks, we again observe that both CA-FEDPNAS and CA-FEDDSNAS outperform their counterparts without our operation sampler, which confirms the intuition above. Most remarkably, our proposed framework CA-FEDPNAS achieves the best performance (0.8) and significantly outperformed both variants of federated DSNAS (0.71 for CA-FEDDSNAS and 0.63 for FEDDSNAS). + +Lastly, Fig. 3c shows the runtime comparison between three methods on the CIFAR-10 experiment. In terms of sampling time, we observe that there is negligible overhead incurred by using our context-aware sampler (CA-FEDDSNAS vs. FEDDSNAS). The time incurred by our update (CA-FEDPNAS) scales by a constant factor compared to CA-FEDDSNAS since we use exactly one extra forward/backward pass per update. + +On objectives with varying heterogeneity. We expand the above study by investigating respective performance of CA-FEDPNAS and FEDDSNAS on tasks with varying levels of heterogeneity. At low level of heterogeneity, we deploy these methods on 5 sets of slightly rotated MNIST images. At high level of heterogeneity, we employ a more diverse set of transformations on MNIST images, such as hue jitter and large angle rotations of $9 0 ^ { \circ }$ and $- 9 0 ^ { \circ }$ . Table 1 show the respective result of each task from these two settings. We observe that our method CA-FEDPNAS achieves better performance on most tasks and the performance gaps on tasks with higher heterogeneity are more pronounced (i.e., up to $7 \%$ improvement on ROTATE 90 task). This clearly shows the importance of architecture personalization when the training tasks are significantly different and justifies our research goal. + +Table 1: Predictive accuracy of CA-FEDPNAS FEDDSNAS on tasks with varying heterogeneity levels. ROTATE X denotes a rotation transformation of $\mathbf { X } ^ { \circ }$ on client data; VANILLA denotes the original MNIST images; and HUEJITTER X denotes a hue jitter transformation of training images by a factor of X. The best performance in each row is in bold font. + +
HETEROGENEITYTASKDESCRIPTIONFEDDSNASCA-FEDPNAS
LowROTATE -300.9470.978
ROTATE -150.9730.976
VANILLA0.9880.985
ROTATE 150.9860.987
ROTATE 300.9720.981
HIGHHUEJITTER-0.50.9660.978
HUEJITTER 0.50.9670.972
VANILLA0.9880.989
ROTATE -900.8920.932
ROTATE 900.8660.932
+ +On knowledge transfer to completely new tasks. Finally, we investigate a scenario where the architecture distributions discovered by CA-FEDPNAS and FEDDSNAS are required to generalize to completely unseen tasks. Particularly, we train both methods on five clients whose local data consist of 12000 slightly rotated CIFAR-10 images (i.e., in the range of $\pm 3 0 ^ { \circ }$ ), similar to the setting of the first experiment. During testing, however, we supply each local client with 2000 test images subjected to related but completely unseen transformations (i.e., $9 0 °$ and $- 9 0 ^ { \circ }$ rotations). + +Our results are summarized in Table 2. First, we measure the performance of CA-FEDPNAS and FEDDSNAS without any weight retraining. When received no additional information from the unseen tasks, both methods perform poorly as expected. While CA-FEDPNAS achieves better predictive accuracy, the performance gap in this scenario is negligible. To provide additional clues for adaptation, albeit minimal, we retrain the weights of each local model with 200 images rotated according to respective unseen task description. Here, the parameters of our operator sampler component, (and respectively, FEDDSNAS’s categorical distribution parameters), are frozen to gauge the quality of the learned architecture distributions. Our results show that, with only 100 retraining iterations on limited data, CA-FEDPSNAS already outperforms FEDDSNAS $5 \%$ and $8 \%$ improvement respectively on two unseen tasks). This implies that CA-FEDPNAS has more accurately capture the broad similarity of the task spectrum through the personalized architecture distribution, which requires minimal additional information to successfully adapt to unseen tasks. + +Table 2: Predictive accuracy (averaged over 5 clients) and standard deviation of CA-FEDPNAS and FEDDSNAS on two unseen tasks (CIFAR-10). The best performance in each row is in bold font. + +
UNSEEN TASKDESCRIPTIONFEDDSNASCA-FEDPNASFEDDSNAS(RETRAINED)CA-FEDPNAS(RETRAINED)
ROTATE -900.545 ± 0.040.578 ± 0.090.699± 0.120.734 ± 0.17
ROTATE 900.553 ± 0.120.569 ± 0.060.673 ± 0.130.727 ± 0.22
+ +# 5 CONCLUSION + +We demonstrate that federated learning for multi-task scenarios requires extensive personalization on the architecture level to obtain good predictive performance. This paper identifies two potential sources of model personalization: (1) task-personalization, which aims to select architectures best suited for specific learning objectives; and (2) context-personalization, which aims to select architectures best suited for specific input samples. To incorporate these aspects of personalization into Federated NAS, we propose FEDPNAS which consists of two main components: (1) a context-aware operator sampler which learns a sampling distribution for feature maps along a master architecture; and (2) a personalized federated learning objective which anticipates client fine-tuning and guides the federated model update to regions that tolerate future local updates. + +# 6 REPRODUCIBILITY & ETHIC STATEMENT + +This work contributes to the literature of Federated Learning through improving the state-of-theart performance. As such, it could have significant broader impact by allowing users to more accurately solve practical problems. While applications of our work to real data could result in ethical considerations, this is an indirect (and unpredictable) side-effect of our work. Our experimental work uses publicly available datasets to evaluate the performance of our algorithms; no ethical considerations are raised. Our implementation code is published anonymously at https://github.com/icml2021fedpnas/fedpnas. All proofs and details of various architectures are included in the Appendix of this paper. + +# REFERENCES + +B. Baker, O. Gupta, N. Naik, and R. Raskar. Designing neural network architectures using reinforcement learning. arXiv preprint arXiv:1611.02167, 2016. +J. Bergstra, D. Yamins, and D. Cox. Making a science of model search: Hyperparameter optimization in hundreds of dimensions for vision architectures. In International conference on machine learning, pages 115–123. PMLR, 2013. +A. Fallah, A. Mokhtari, and A. Ozdaglar. Personalized federated learning: Model-agnostic metalearning approach. In Proc. NeurIPS, 2020. +C. Finn, P. Abbeel, and S. Levine. Model-agnostic meta-learning for fast adaptation of deep networks. In Proc. ICML, pages 1126–1135, 2017. +D. Floreano, P. Dürr, and C. Mattiussi. Neuroevolution: from architectures to learning. Evolutionary Intelligence, 1(1):47–62, 2008. +J. Hu, L. Shen, and G. Sun. Squeeze-and-excitation networks. In Proceedings of the IEEE conference on computer vision and pattern recognition, pages 7132–7141, 2018. +S. Hu, S. Xie, H. Zheng, C. Liu, J. Shi, X. Liu, and D. Lin. DSNAS: Direct neural architecture search without parameter retraining. In Proceedings of the IEEE/CVF Conference on Computer Vision and Pattern Recognition, pages 12084–12092, 2020. +E. Jang, S. Gu, and B. Poole. Categorical reparameterization with gumbel-softmax. arXiv preprint arXiv:1611.01144, 2016. +A. Krizhevsky et al. Learning multiple layers of features from tiny images. Citeseer, 2009. +Y. LeCun, C. Cortes, and C. Burges. Mnist handwritten digit database. ATT Labs [Online]. Available: http://yann. lecun. com/exdb/mnist, 2, 2010. +H. B. McMahan, E. Moore, D. Ramage, S. Hampson, and B. A. y Arcas. Communication-efficient learning of deep networks from decentralized data. In Proc. AISTATS, pages 1273–1282, 2017. +H. Pham, M. Y. Guan, B. Zoph, Q. V. Le, and J. Dean. Efficient neural architecture search via parameter sharing. arXiv preprint arXiv:1802.03268, 2018. +E. Real, A. Aggarwal, Y. Huang, and Q. V. Le. Regularized evolution for image classifier architecture search. In Proceedings of the AAAI conference on Artificial Intelligence, volume 33, pages 4780–4789, 2019. +S. Xie, H. Zheng, C. Liu, and L. Lin. SNAS: stochastic neural architecture search. arXiv preprint arXiv:1812.09926, 2018. +B. Zoph and Q. V. Le. Neural architecture search with reinforcement learning. arXiv preprint arXiv:1611.01578, 2016. \ No newline at end of file diff --git a/parse/dev/WcZUevpX3H3/WcZUevpX3H3_content_list.json b/parse/dev/WcZUevpX3H3/WcZUevpX3H3_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..af18084b8ad5e541c19f37a649b8260ed8287918 --- /dev/null +++ b/parse/dev/WcZUevpX3H3/WcZUevpX3H3_content_list.json @@ -0,0 +1,1096 @@ +[ + { + "type": "text", + "text": "PERSONALIZED NEURAL ARCHITECTURE SEARCH FOR FEDERATED LEARNING ", + "text_level": 1, + "bbox": [ + 176, + 99, + 823, + 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": [ + 452, + 234, + 544, + 251 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Federated Learning (FL) is a recently proposed learning paradigm for decentralized devices to collaboratively train a predictive model without exchanging private data. Existing FL frameworks, however, assume a one-size-fit-all model architecture to be collectively trained by local devices, which is determined prior to observing their data. Even with good engineering acumen, this often falls apart when local tasks are different and require diverging choices of architecture modelling to learn effectively. This motivates us to develop a novel personalized neural architecture search (NAS) algorithm for FL. Our algorithm, FEDPNAS, learns a base architecture that can be structurally personalized for quick adaptation to each local task. We empirically show that FEDPNAS significantly outperforms other NAS and FL benchmarks on several real-world datasets. ", + "bbox": [ + 232, + 265, + 766, + 417 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 444, + 336, + 460 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Federated Learning (FL) (McMahan et al., 2017) is a variant of distributed learning where the objective function can be decomposed into a linear combination of $M$ local objective functions. Each function depends on its private data hosted by a local client and a set of shared parameters $w$ , ", + "bbox": [ + 174, + 474, + 825, + 517 + ], + "page_idx": 0 + }, + { + "type": "equation", + "img_path": "images/e46a32c199c69a51110d2f9b14c6f20b9fa55e0ee8f5076013fff7470987204d.jpg", + "text": "$$\n\\underset { w } { \\mathrm { a r g m i n } } \\ : \\mathcal { L } ( w ) \\equiv \\underset { w } { \\mathrm { a r g m i n } } \\ : \\sum _ { i = 1 } ^ { M } \\mathcal { L } _ { i } ( w \\mid \\mathcal { D } _ { i } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 344, + 522, + 650, + 566 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "where $\\mathcal { D } _ { i }$ denotes the $i ^ { \\mathrm { t h } }$ local training dataset comprising input-output tuples $( x , y )$ . In a standard supervised learning task where the predictive model is modeled as a fixed deep neural network $\\psi$ with learnable weights $w$ , let $\\ell ( x , y )$ denote the loss incurred by predicting $\\psi ( x ; w )$ when the true output is $y$ . The expected loss of $\\psi ( x ; w )$ on $\\mathcal { D } _ { i }$ is given as ", + "bbox": [ + 173, + 571, + 825, + 628 + ], + "page_idx": 0 + }, + { + "type": "equation", + "img_path": "images/90e0dc9100a6fd7943eab9ddf8a785feb9537549e1df351e8a99038eb3f1c845.jpg", + "text": "$$\n\\begin{array} { r l r } { \\mathcal { L } _ { i } ( w \\mid \\mathcal { D } _ { i } ) } & { = } & { \\mathbb { E } _ { ( x , y ) \\sim \\mathcal { D } _ { i } } \\Big [ \\ell ( x , y ; \\psi ) \\Big ] ~ . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 361, + 633, + 635, + 661 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "This is not applicable to scenarios where local models are expected to solve different tasks which are similar in broad sense yet diverge in finer details. For example, consider the task of recognizing the outcome of a coin flip given images collected by two clients: one capture the coin from above, the other from below. This setting implies that when the same input image is provided by both clients, the correct classifications must be the opposite of one another. However, since existing FL methods converge on a single model architecture and weight, there can only be one predictive outcome which cannot satisfy both tasks. ", + "bbox": [ + 173, + 671, + 825, + 770 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "To relax this constraint, the recent work of Fallah et al. (2020) extends FL by incorporating ideas from meta learning (Finn et al., 2017) which results in a new framework of personalized FL. The new framework can accommodate for such task heterogeneity but still requires all client models to agree on a single architecture beforehand, which is sub-optimal. To address this shortcoming, one naive idea is to adopt existing ideas in Neural Architecture Search (NAS) via Reinforcement Learning (Zoph and Le, 2016; Pham et al., 2018) which act as an outer loop to the existing FL routine. ", + "bbox": [ + 174, + 776, + 825, + 861 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "However, this simple approach does not allow client models to adapt to local tasks on an architecture level and is often not preferred due to the cost of repeated FL training. This paper proposes a novel personalized NAS algorithm for federated learning, which generalizes ideas in respective areas of NAS (Zoph and Le, 2016; Pham et al., 2018) originally developed for single-task scenarios, and ", + "bbox": [ + 174, + 867, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "FL (Fallah et al., 2020) under a unified len of federated personalized neural architecture search (FEDPNAS). ", + "bbox": [ + 173, + 103, + 823, + 132 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In particular, to customize the model architecture for each task in the FL workflow, FEDPNAS first represents the model architecture for each task as a sub-network sampled from a large, overparameterized network. The sampling distribution is (collaboratively) learned along with the parameters of the sampled network via a generalization of the recently proposed Discrete Stochastic NAS (DSNAS) method (Hu et al., 2020). Unlike DSNAS, which lacks the ability to customize architecture for individual tasks, our generalized FEDPNAS incorporates model personalization on an architecture level. Our contributions include: ", + "bbox": [ + 174, + 138, + 825, + 236 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "1. A novel architecture that factorizes into a base component (shared across tasks) and a personalizable component, which respectively capture the task-agnostic and task-specific information (Section 3.2). ", + "bbox": [ + 173, + 243, + 823, + 272 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2. A context-aware sampling distribution conditioned on specific task instance, which captures taskspecific information and naturally incorporates personalization into architecture search (Section 3.4). ", + "bbox": [ + 171, + 279, + 823, + 306 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3. An FL algorithm that optimizes for a common architecture, followed by a personalization phase where each client subsequently adapts only the personalized component to fit its own task via finetuning with local data (Section 3.1). To ensure that the common architecture distribution converges at a vantage point that is relevant and beneficial to all clients, we generalize the vanilla FL objective in Eq. equation 1 such that local gradient steps directly optimize for expected improvement resulting from future fine-tuning (Section 3.3). ", + "bbox": [ + 173, + 313, + 825, + 397 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "4. A theoretical perspective on our FL objective (Section 3.5 and thorough empirical analysis showing significant performance gain compared to state-of-the-art FL and NAS methods (Section 4). ", + "bbox": [ + 173, + 404, + 821, + 433 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORKS ", + "text_level": 1, + "bbox": [ + 176, + 455, + 352, + 472 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.1 TWO-STAGE NEURAL ARCHITECTURE SEARCH ", + "text_level": 1, + "bbox": [ + 174, + 489, + 540, + 503 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Most existing NAS frameworks separately optimize for the optimal architecture and its parameters in two stages: searching and evaluation. The former stage usually employs evolutionary-based strategies (Floreano et al., 2008; Real et al., 2019), Bayesian optimization surrogates (Bergstra et al., 2013; Hu et al., 2018) or Reinforcement Learning controllers (Baker et al., 2016; Zoph and Le, 2016; Pham et al., 2018) to propose candidate architectures based on random mutations and/or observed experience; while the latter optimizes the parameters of these architectures given task data and provide feedback to improve the search agent. Naturally, an extension of such methods to the FL setting is through distributing the evaluation workload over many clients, which does not require exposing private data. In practice, however, two-stage federated NAS frameworks are generally not suitable for the personalized FL setting for two reasons: (a) the clients often lack the computational capacity to repeatedly optimize the parameters for many candidate architectures; and (b) the clients have to converge on a single architecture proposed by the central search agent. ", + "bbox": [ + 174, + 516, + 825, + 683 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2.2 DISCRETE STOCHASTIC NEURAL ARCHITECTURE SEARCH ", + "text_level": 1, + "bbox": [ + 176, + 703, + 622, + 718 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Discrete stochastic neural architecture search (DSNAS) (Hu et al., 2020) addresses the computational issue of two-stage NAS by jointly optimizing the optimal architecture and its weight in an end-to-end fashion, which allows users to continually train a single network on demand over time as opposed to performing full parameter optimization for every candidate until a good architecture is discovered. ", + "bbox": [ + 174, + 731, + 825, + 786 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The main idea of DSNAS is to combine weight training for an over-parameterized master architecture with discrete computational path sampling. DSNAS parameterizes the master architecture as a stack of modular cells: $\\psi ( x ) \\bar { = } \\psi _ { C } \\circ \\bar { \\psi } _ { C - 1 } \\cdot \\cdot \\cdot \\circ \\psi _ { 1 } ( \\bar { x } ) ^ { 1 }$ , where $x$ is an arbitrary input, $C$ is the number of cells, $\\psi _ { t }$ denotes the $t ^ { \\mathrm { t h } }$ cell in the stack, and $\\circ$ denotes the compositional operator. The inner computation of $\\psi _ { t }$ is in turn characterized by a directed acyclic graph (DAG) with $V$ nodes $\\{ v _ { i } \\} _ { i = 1 } ^ { | V | }$ , where each node represents some intermediate feature map. For each directed edge $( v _ { i } , v _ { j } )$ ", + "bbox": [ + 174, + 792, + 825, + 881 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/718e70d9fa976c50deca97062d523901e363ff96a3953e515fd8e35fb90486f0.jpg", + "image_caption": [ + "Figure 1: Our proposed method FEDPNAS consists of (1) a federated learning phase, where each client updates both the base component $( \\psi ^ { b } )$ and the personalized component $( \\psi _ { p } )$ the architecture using the FEDPNAS update (Section 3.3) and sends its parameters to the central server for aggregation; and (2) a fine-tune phase, where each client updates only the personalized component of the architecture using standard gradient update. " + ], + "image_footnote": [], + "bbox": [ + 187, + 102, + 808, + 243 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "there is an associated list of $D$ possible network operations $\\mathbf O _ { i j } = \\left[ o _ { i j } ^ { 1 } , o _ { i j } ^ { 2 } \\ldots o _ { i j } ^ { D } \\right] ^ { 2 }$ where each operainput on w $o _ { i j } ^ { k }$ rms ). W $v _ { i }$ to rec $v _ { j }$ . Here, ively de $v _ { 1 }$ corresponds to the oe intermediate nodes $\\psi _ { t - 1 }$ (orhere $x$ $t = 1$ $\\begin{array} { r } { v _ { j } = \\sum _ { i = 1 } ^ { j - 1 } \\mathbf { Z } _ { i j } ^ { \\top } \\mathbf { O } _ { i j } ( v _ { i } ) } \\end{array}$ distribution learnable. E $\\mathbf { O } _ { i j } ( v _ { i } ) \\triangleq \\big [ o _ { i j } ^ { 1 } ( v _ { i } ) , o _ { i j } ^ { 2 } ( v _ { i } ) \\dots o _ { i j } ^ { D } ( v _ { i } ) \\big ]$ $p ( \\mathbf { Z } \\mid \\mathbf { \\pi } \\mathbf { \\Pi } \\mathbf { \\Pi } )$ where the event probabi learning the distribution and $\\mathbf { Z } _ { i j }$ is a one-hot vector sampled from the categorical $\\mathbf { H } = \\{ \\pi _ { 1 } , \\pi _ { 2 } , . . . , \\pi _ { D } \\mid \\sum _ { i = 1 } ^ { D } \\pi _ { i } = 1 \\}$ ares or $p ( \\mathbf { Z } )$ \nsub-graphs of the original DAG that correspond to high-performing, compact architecture from the over-parameterized master network. Sampling discrete random variables from $p ( \\mathbf { Z } )$ , however, does not result in a gradient amenable to back-propagation. To sidestep this issue, DSNAS adopts the straight-through Gumbel-softmax trick (Jang et al., 2016), which re-parameterizes the $k ^ { \\mathrm { t h } }$ index of the one-hot variable as $\\mathbf { Z } _ { i j } [ k ] = \\mathbb { I } \\left( k \\triangleq { \\arg \\operatorname* { m a x } _ { t } } \\Big [ g _ { t } + \\log \\pi _ { t } \\Big ] \\right)$ , where $g _ { t } \\sim \\mathrm { G u m b e l } ( 0 , 1 )$ . While this forward computation does not have a gradient by itself, we can estimate the gradient through a proxy during the backward pass: ", + "bbox": [ + 173, + 352, + 826, + 568 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/e26e34a69ce9d148521c6bdd32a2cad7876c9774ad025d60c9c66e4276f7fab2.jpg", + "text": "$$\n\\nabla { \\mathbf Z } _ { i j } [ k ] ~ \\simeq ~ \\nabla \\tilde { \\mathbf Z } _ { i j } [ k ] ~ \\triangleq ~ \\nabla \\left( \\frac { \\exp \\big ( \\big ( g _ { k } + \\log \\pi _ { k } \\big ) / \\tau \\big ) } { \\sum _ { t = 1 } ^ { D } \\exp \\big ( \\big ( g _ { t } + \\log \\pi _ { t } \\big ) / \\tau \\big ) } \\right)\n$$", + "text_format": "latex", + "bbox": [ + 266, + 573, + 705, + 617 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "which is unbiased when converged as the temperature $\\tau$ is steadily annealed to 0 (Jang et al., 2016). This formulation, however, is not easily extended to the FL setting, especially when local tasks are not homogeneous. The key challenges in doing so are described in Section 3, together with our proposed approaches. ", + "bbox": [ + 173, + 622, + 826, + 679 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 PERSONALIZED NAS FOR FEDERATED LEARNING ", + "text_level": 1, + "bbox": [ + 174, + 699, + 620, + 715 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 FEDERATED LEARNING OF DSNAS ", + "text_level": 1, + "bbox": [ + 176, + 731, + 460, + 746 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Let W denote the concatenated weights of all network operations in the network architecture. The set up above of DSNAS (Jang et al., 2016) is then naïvely extendable to a $\\mathrm { F L }$ setting via the following objective formulation: ", + "bbox": [ + 174, + 757, + 825, + 799 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/53fb6f86bf79e8538a970f7dc17aac4f97b1180428aad1f222980eff1770d3dc.jpg", + "text": "$$\n\\underset { \\mathbf { W } , \\mathbf { \\Pi } } { \\arg \\operatorname* { m i n } } \\mathcal { L } ( \\mathbf { W } , \\mathbf { \\Pi } \\mathbf { I } ) \\equiv \\underset { \\mathbf { W } , \\mathbf { \\Pi } \\mathbf { \\Pi } } { \\arg \\operatorname* { m i n } } \\frac { 1 } { M } \\sum _ { i = 1 } ^ { M } \\mathcal { L } _ { i } ( \\mathbf { W } , \\mathbf { \\Pi } \\mathbf { I } \\mid \\mathcal { D } _ { i } ) .\n$$", + "text_format": "latex", + "bbox": [ + 310, + 806, + 668, + 851 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "McMahan et al. (2017) optimizes this objective by alternating between (a) central agent broadcasting aggregated weights to local clients and (b) local clients sending gradient descent updated weights (given local data) to the central agent for aggregation. This, however, implies that after the last central aggregation step, all clients will follow the same architecture distribution induced by the final broadcasted copy of W and Π. As previously argued, this is not optimal in a heterogenous task setting which requires task-specific adaptation for local clients to achieve good performance. ", + "bbox": [ + 174, + 856, + 825, + 900 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 146 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Furthermore, having the same sampling distribution $p ( \\mathbf { Z } )$ regardless of context (i.e., feature maps received as cell input) limits the architecture discovery to those that perform reasonably on average over the entire dataset. However, we remark that restricting the architecture to be the same for every input samples is unnecessary and undermines the expressiveness of an over-parameterized search space. On the other hand, letting the architecture be determined on a per-sample basis makes better use of the search space and potentially improves the predictive performance. ", + "bbox": [ + 174, + 152, + 825, + 236 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The focus of this work is therefore to incorporate both task-wise and context-wise personalization to federated neural architecture search in multitask scenarios, which is achieved through our proposed algorithm FEDPNAS. In general, FEDPNAS functions similarly to the vanilla FEDDSNAS algorithm described above, with an addition of a fine-tuning phase at each local client after the FL phase to adapt the aggregated common model for local task data, as shown in Fig. 1. To make this work, however, we need to address the following key challenges: ", + "bbox": [ + 174, + 243, + 825, + 327 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "C1. First, as previously argued in Section 1, tasks across federated clients tend to share similarities in broad sense, and diverge in finer details. A good federated personalization search space, therefore, need to capture this fundamental observation through design and appropriate resource distribution. We address this challenge in Section 3.2. ", + "bbox": [ + 174, + 334, + 825, + 390 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "C2. Second, a major advantage of having an over-parameterized architecture search space is the flexibility of having specific computation paths for different samples, which is not exploited by DSNAS as reflected in its choice of context-independent sampling distribution $p ( \\mathbf { Z } )$ . To address this, Section 3.4 proposes a novel parameterization of $p ( \\mathbf { Z } )$ to incorporate context information into operator sampling. ", + "bbox": [ + 174, + 397, + 825, + 467 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "C3. Last, while the fine-tuning phase is designed to incorporate task-personalization, there is no guarantee that the common model can be quickly adapted to client tasks (Fallah et al., 2020). The common model may end up in a localization that favors one client over another, which makes it difficult for the latter to fine-tune. To address this concern, Section 3.3 proposes a new personalized federated NAS objective inspired by Finn et al. (2017) to optimize the common model in anticipation of further fine-tuning by the client models. ", + "bbox": [ + 173, + 473, + 825, + 558 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 PERSONALIZABLE ARCHITECTURE SEARCH SPACE ", + "text_level": 1, + "bbox": [ + 174, + 575, + 568, + 589 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Similar to DSNAS (Hu et al., 2020), our framework adopts a cell-based representation (Section 2.2) to trade-off search space expressiveness for efficiency, which is extremely suitable for FL where clients tend to have low-end computational capacity. Unlike the original design which assumes similar role for every cell in the architecture stack (i.e., as reflected by their choice of fully factorizable path sampling distribution $p ( \\mathbf { Z } ) ,$ , we instead split our cell stack into two components with separate metaroles catering to the ftask: (a) a base stack $\\psi _ { \\mathrm { b } } = \\{ \\dot { \\psi } _ { 1 } ^ { b } , \\psi _ { 2 } ^ { b } \\cdot \\hdots \\psi _ { C _ { b } } ^ { b } \\}$ which aims to capture the broad commonalities of data samples across client tasks; and (b) personalized stack $\\psi _ { \\mathrm { { p } } } ~ = ~ \\{ \\psi _ { 1 } ^ { p } , \\psi _ { 2 } ^ { p } \\ldots \\psi _ { C _ { p } } ^ { p } \\}$ which will be fine-tuned with local data to capture task-specific details. ", + "bbox": [ + 174, + 601, + 475, + 852 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/3116f74b935bbe36c806df305e40cbbc96cf386169136d98b85b7351797e33ce.jpg", + "image_caption": [ + "Figure 2: Feature mapping down the component stacks of our architecture space. Every base cell takes as inputs (a) the outputs from its immediate predecessor and (b) the one before it through a skip-ahead connection. On the other hand, every personalization cell takes as input only the output from the previous cell. " + ], + "image_footnote": [], + "bbox": [ + 504, + 593, + 812, + 731 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We explain the main difference between these components to account for different level of expressiveness requirements below: ", + "bbox": [ + 171, + 858, + 823, + 886 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Base stack. Every cell $\\psi _ { t } ^ { b }$ in the base stack takes as inputs the outputs of its previous two cells $\\psi _ { t - 1 } ^ { b }$ and $\\psi _ { t - 2 } ^ { b }$ (replaced with raw input $x$ when necessary for $t \\leq 2$ ). The output of the skip-ahead cell $\\psi _ { t - 2 } ^ { b }$ is additionally passed through a $1 \\times 1$ convolution layer as a cost-effective way to control the number of channels. Additionally, the operators available to the base cell include large convolution layers with size $5 \\times 5$ and $7 \\times 7$ . To compensate for the growing number of channels, we periodically employ a reduction convolution (with stride larger than 1) similar to DSNAS (Hu et al., 2020) to reduce the feature dimension down the stack. ", + "bbox": [ + 174, + 892, + 821, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 172 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Personalized stack. As opposed to the design of the base cells above, every cell $\\psi _ { t } ^ { p }$ in the personalized stack has minimal expressiveness. That is, $\\psi _ { t } ^ { p }$ excludes large operators and only takes as input the output of its immediate predecessor $\\psi _ { t - 1 } ^ { p }$ (or $\\dot { \\psi } _ { C _ { b } } ^ { b }$ when $t = 1$ ). There are two reasons for this choice. First, as the fine-tuning phase has access to fewer data samples than the federated phase, having a more compact fine-tuning space helps to improve the rate of convergence. Second, as we will discuss in Section 3.4 below, our personalized FL objective requires the Hessian of the personalized parameters, which is computationally expensive. As such, we only restrict the personalization to happen on the more compact personalized stack. ", + "bbox": [ + 173, + 180, + 825, + 291 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 PERSONALIZED FEDERATED LEARNING OBJECTIVE ", + "text_level": 1, + "bbox": [ + 174, + 297, + 573, + 311 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Unlike FEDAVERAGING (McMahan et al., 2017), which assumes the clients will follow the consensus base model obtained after the federated phase, FEDPNAS expects clients to further personalize the base model with local task data. That said, while the base model is trained to work well in the expected sense over the task distribution, there is no guarantee that it is a good initial point for every client model to improve upon via fine-tuning. To address this, we adopt the concept of training in anticipation of future adaptation introduced by MAML (Finn et al., 2017). That is, during client update, instead of optimizing the loss with respect to the same consensus weight, each client will instead optimize the weight perturbed by a small gradient step in the fine-tuning direction. ", + "bbox": [ + 173, + 321, + 825, + 435 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Algorithm 1 FEDPNAS - FEDERATED PHASE ", + "text_level": 1, + "bbox": [ + 174, + 458, + 488, + 473 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "1: CENTRALAGGREGATION: \n2: $\\theta _ { 0 } \\gets$ INITIALIZEPARAMETER \n3: for $t = 1 , 2 \\dots T _ { s }$ do \n4: for $k = 1 , 2 \\dots M$ in parallel do \n5: $\\theta _ { t } ^ { k } \\gets \\mathrm { C L I E N T U P D A T E } ( k , \\theta _ { t - 1 } )$ \n$\\begin{array} { r } { \\theta _ { t } \\sum _ { k = 1 } ^ { M } \\frac { 1 } { M } \\theta _ { t } ^ { k } } \\end{array}$ \n7: CLIENTUPDATE $( k , \\theta )$ : \n8: for $t = 1 , 2 \\dots T _ { \\mathrm { c } }$ do \n9: for batch $( x , y ) \\in \\mathcal { D } _ { k }$ do \n10: $\\mathcal { L } _ { k }$ $\\mathrm { , } \\nabla \\mathcal { L } _ { k } \\gets \\mathrm { E v A L } ( x , y ; \\theta _ { b } , \\theta _ { p } )$ \n11: $ { \\widetilde { \\theta } } _ { p } \\gets { \\mathrm { G R A D U P D A T E } } \\big ( \\nabla _ { { \\widetilde { \\theta } } _ { p } } \\mathcal { L } _ { k } \\big )$ \n12: $\\tilde { \\mathcal { L } } _ { k } , \\nabla \\tilde { \\mathcal { L } } _ { k } \\gets \\mathrm { E v A L } ( x , y ; \\theta _ { b } , \\tilde { \\theta } _ { p } )$ \n13: $\\nabla _ { \\boldsymbol { \\theta } _ { p } } \\tilde { \\mathcal { L } } _ { k } \\gets \\mathrm { E Q } . \\mathrm { 5 }$ \n14: θb, θp ← GRADUPDATE(∇θb,θpL˜k) \n15: return $\\theta$ to central server ", + "bbox": [ + 178, + 477, + 478, + 708 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Algorithm 2 FEDPNAS - EVAL ", + "text_level": 1, + "bbox": [ + 544, + 460, + 759, + 473 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "1: Input: x, y, θ \n2: SKIP, PREV ← x, x \n3: W,Π ← θ \n4: for CELL $\\psi \\in \\psi$ do \n5: Z ← SAMPLEOPS $( x , { \\mathrm { P R E V } } ; \\mathbf { I I } )$ \n6: ψ ← EXTRACTCHILDNET $( \\mathbf { Z } , \\mathbf { W } )$ \n7: if $\\psi \\in \\psi _ { b }$ then \n8: OUTPUT $ \\psi ( \\mathrm { P R E V } , \\mathrm { S K I P } )$ \n9: else if $\\psi \\in \\psi _ { p }$ then \n10: $\\mathrm { O U T P U T } \\psi ( \\mathrm { P R E V } )$ \n11: $\\mathbf { S K I P } \\mathbf { P R E V }$ \n12: PREV $\\gets$ OUTPUT \n13: $\\mathcal { L } \\gets \\mathrm { L o s s } ( \\mathbf { O u T P U T } , y )$ \n14: $\\nabla { \\mathcal { L } } \\gets \\mathbf { B A C K P R O P } ( { \\mathcal { L } } )$ \n15: return L, ∇L ", + "bbox": [ + 544, + 477, + 825, + 702 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "For simplicity, let $\\theta = \\{ \\theta _ { b } , \\theta _ { p } \\}$ respectively denote all trainable parameters of the base stack and the personalized stack, i.e., $\\partial _ { b } = \\mathbf { \\bar { \\{ W } } _ { b } , \\mathbf { \\bar { \\Pi } } _ { b } \\} , \\boldsymbol { \\hat { \\theta _ { p } } } = \\{ \\mathbf { W } _ { p } , \\mathbf { \\Pi } _ { \\Pi _ { p } } \\}$ . The personalized $\\mathrm { F L }$ objective at client $i$ is then given by $\\tilde { \\mathcal { L } } _ { i } ( \\theta _ { b } , \\theta _ { p } ) \\triangleq \\mathcal { L } _ { i } ( \\theta _ { b } , \\tilde { \\theta } _ { p } )$ where $\\tilde { \\theta } _ { p } \\triangleq \\tilde { \\theta } _ { p } - \\eta \\nabla _ { \\theta _ { p } } \\mathcal { L } _ { i } ( \\theta _ { b } , \\theta _ { p } )$ adjusts the parameters of the personalized component to account for a small fine-tuning gradient step. The adjusted local loss only depends on the respective client data and is amenable to federated learning. The local update gradient, however, involves a Hessian term whose computation is expensive to repeat over many epochs. To circumvent this problem, we use the first-order Taylor approximation to estimate the Hessian term by the outer product of Jacobian, which results in a gradient that requires exactly two forward/backward passes to compute: ", + "bbox": [ + 173, + 717, + 825, + 844 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/07e81c7ee6f7e22b845daf04fe1a061bb16af80b33ebb744d4e02812683257fa.jpg", + "text": "$$\n\\begin{array} { r c l } { \\nabla _ { \\theta _ { p } } \\tilde { \\mathcal { L } } _ { i } } & { = } & { \\left( \\nabla _ { \\theta _ { p } } \\tilde { \\theta } _ { p } \\right) \\left( \\nabla _ { \\tilde { \\theta } _ { p } } \\tilde { \\mathcal { L } } _ { i } \\right) } \\\\ & { = } & { \\left( \\mathbf { I } - \\eta \\nabla _ { \\theta _ { p } } ^ { 2 } \\mathcal { L } _ { i } \\right) \\left( \\nabla _ { \\tilde { \\theta } _ { p } } \\tilde { \\mathcal { L } } _ { i } \\right) } \\\\ & { \\simeq } & { \\left( \\mathbf { I } - \\eta \\nabla _ { \\theta _ { p } } ^ { \\top } \\mathcal { L } _ { i } \\nabla _ { \\theta _ { p } } \\mathcal { L } _ { i } \\right) \\left( \\nabla _ { \\tilde { \\theta } _ { p } } \\tilde { \\mathcal { L } } _ { i } \\right) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 346, + 844, + 650, + 931 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\mathcal { L } _ { i }$ and $\\tilde { \\mathcal { L } } _ { i }$ are short-hands for $\\mathcal { L } _ { i } ( \\theta _ { b } , \\theta _ { p } )$ and $\\tilde { \\mathcal { L } } _ { i } ( \\theta _ { b } , \\theta _ { p } )$ respectively. The FL phase of our FEDPNAS framework is detailed in Alg. 1. An instance of FEDPNAS’s forward and backward pass which sequentially unrolls down the component stacks, alternating between sampling and evaluation, is in turn given in Alg. 2. ", + "bbox": [ + 173, + 102, + 826, + 160 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.4 CONTEXT-AWARE OPERATOR SAMPLER", + "text_level": 1, + "bbox": [ + 176, + 176, + 490, + 190 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The choice of a fully factorizable sampling distribution $p ( \\mathbf { Z } )$ in DSNAS follows that of SNAS (Xie et al., 2018), which argues that the Markov assumption for $p ( \\mathbf { Z } )$ is not necessary because NAS has fully delayed rewards in a deterministic environment. However, this generally only holds for two-stage NAS (Section 2.1) and does not apply to end-to-end frameworks such as SNAS and DSNAS. We instead to take advantage of the over-parameterized architecture via factorizing the conditional $p ( \\mathbf { Z } \\mid x )$ , which takes into account the temporal dependency of structural decisions: ", + "bbox": [ + 174, + 202, + 825, + 286 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/95c56dc93d7337b4f6b2a359ce8f707c38cc25ef6f669c8131b975f1ad1da60f.jpg", + "text": "$$\n\\begin{array} { l l l } { { p ( { \\bf Z } \\mid x ) } } & { { = } } & { { \\displaystyle p ( { \\bf Z } _ { 1 } \\mid x ) \\prod _ { t = 2 } ^ { C } p ( { \\bf Z } _ { t } \\mid { \\bf Z } _ { t - 1 } \\dots { \\bf Z } _ { 1 } , x ) } } \\\\ { { } } & { { } } & { { } } \\\\ { { \\displaystyle } } & { { \\simeq } } & { { \\displaystyle p ( { \\bf Z } _ { 1 } \\mid x ) \\prod _ { t = 2 } ^ { C } p ( { \\bf Z } _ { t } \\mid v _ { 1 } ^ { t } , x ) } } \\\\ { { } } & { { } } & { { } } \\\\ { { \\displaystyle } } & { { = } } & { { \\displaystyle p ( { \\bf Z } _ { 1 } \\mid x ) \\prod _ { t = 2 } ^ { C } \\prod _ { ( i , j ) } p ( { \\bf Z } _ { i j } ^ { t } \\mid v _ { 1 } ^ { t } , x ) , } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 326, + 292, + 669, + 428 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\mathbf { Z } _ { t }$ , $\\mathbf { Z } _ { i j } ^ { t }$ and $v _ { 1 } ^ { t }$ respectively denote all the samples, the sample at edge $( i , j )$ and the input at cell $\\psi _ { t }$ . We have also assumed a single stack setting since the parameterization of $p ( \\mathbf { Z } )$ does not differ between base and personalized cells. ", + "bbox": [ + 173, + 434, + 823, + 478 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "To reduce computational complexity, instead of conditioning the samples of subsequent cells on previous $\\mathbf { Z }$ samples, we approximate $p ( \\mathbf { Z } _ { t } \\mid \\mathbf { Z } _ { t - 1 } \\ldots \\mathbf { Z } _ { 1 } , x ) \\bumpeq p ( \\mathbf { Z } _ { t } \\mid v _ { 1 } ^ { t } , x )$ by the assumption that the cell contents are conditionally independent given the immediate cell input and the original input. Finally, we assume that $p ( \\mathbf { Z } _ { t } \\mid v _ { 1 } ^ { t } , x )$ is fully factorizable across edges in the same cell and parameterize $p ( \\mathbf { Z } _ { i j } ^ { t } \\mid v _ { 1 } ^ { t } , x ) = \\phi ^ { ( i , j ) } ( v _ { 1 } ^ { t } , x )$ where $\\phi$ is a deep classification network whose output dimension equal the number of edges in cell $\\psi _ { t }$ . Samples of $\\mathbf { Z } _ { i j } ^ { t }$ can then be generated using the straight-through Gumbel-softmax reparameterization similar to Jang et al. (2016). ", + "bbox": [ + 173, + 484, + 825, + 587 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.5 THEORETICAL CONNECTION TO STANDARD GRADIENT UPDATE ", + "text_level": 1, + "bbox": [ + 174, + 603, + 650, + 618 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Finally, we analyze the connection of our gradient update framework to the standard gradient update, and explain why it is critical in achieving a vantage point that improves average objective value without compromising any local objective. First, we note that the gradient update Eq. 5 in Section 3.3 at the $t$ -th iteration can be written as: ", + "bbox": [ + 174, + 628, + 825, + 685 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/42acb3ae0217fcf329e868c814ea318ffa8ed7edc54532abe0bb9bf67ed12e4b.jpg", + "text": "$$\n\\begin{array} { r c l } { \\displaystyle \\theta _ { p } ^ { t + 1 } } & { = } & { \\displaystyle \\theta _ { p } ^ { t } - \\frac { \\eta _ { 2 } } { M } \\sum _ { i = 1 } ^ { M } \\nabla _ { \\theta _ { p } } \\mathcal { L } _ { i } \\big ( \\theta _ { b } ^ { t } , \\tilde { \\theta } _ { p , i } ^ { t } \\big ) + \\frac { \\eta _ { 1 } \\eta _ { 2 } } { M } \\sum _ { i = 1 } ^ { M } \\alpha _ { i } \\nabla _ { \\theta _ { p } } \\mathcal { L } _ { i } \\big ( \\theta _ { b } ^ { t } , \\theta _ { p } ^ { t } \\big ) , } \\\\ { \\displaystyle \\theta _ { b } ^ { t + 1 } } & { = } & { \\displaystyle \\theta _ { b } ^ { t } - \\frac { \\eta _ { 2 } } { M } \\sum _ { i = 1 } ^ { M } \\nabla _ { \\theta _ { b } } \\mathcal { L } _ { i } \\big ( \\theta _ { b } ^ { t } , \\tilde { \\theta } _ { p , i } ^ { t } \\big ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 290, + 689, + 759, + 779 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\tilde { \\theta } _ { p , i } ^ { t }$ denotes the $i$ -th local personalized parameters; $\\eta _ { 1 }$ and $\\eta _ { 2 }$ are two separate learning rates and $\\boldsymbol { \\alpha } _ { i } \\triangleq \\nabla _ { \\boldsymbol { \\theta } _ { p } } ^ { \\intercal } \\mathcal { L } ( \\boldsymbol { \\theta } _ { b } ^ { t } , \\boldsymbol { \\theta } _ { p , i } ^ { t } ) \\nabla _ { \\boldsymbol { \\theta } _ { p , i } } \\mathcal { L } ( \\boldsymbol { \\theta } _ { b } ^ { t } , \\tilde { \\boldsymbol { \\theta } } _ { p , i } ^ { t } )$ (See Appendix A for detailed derivation). This implies that our federated personalize update corresponds to a federated update scheme with three gradient steps: (1) $\\theta _ { p }$ takes a local gradient (w.r.t. locally updated parameters) step of size $\\eta _ { 1 }$ ; (2) Both $\\theta _ { b }$ and $\\theta _ { p }$ take a federated gradient (w.r.t. server-wide parameters averaging) step of size $\\eta _ { 2 }$ ; $( 3 ) \\theta _ { p }$ takes a weighted federated gradient step of size $\\eta _ { 1 } \\eta _ { 2 }$ , where the weight of client $i$ is given by $\\alpha _ { i }$ . ", + "bbox": [ + 173, + 784, + 826, + 876 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Explicitly, Step 1 and 2 together comprise a special instance of FEDAVERAGING (McMahan et al., 2017), where $\\theta _ { b }$ take one gradient step for every two gradient steps taken by $\\theta _ { p }$ . Step 3, on the other hand, takes the information of the two gradient steps of $\\theta _ { p }$ and adjust the magnitude of the local gradient step (whose direction is given by $\\nabla _ { \\theta _ { p } } \\mathcal { L } _ { i } ( \\theta _ { b } ^ { t } , \\bar { \\theta } _ { p } ^ { t } ) )$ accordingly to trade-off between preserving local objective value and improving average objective value. We then theorize the scenario in which such an update is beneficial and state the following assumption to lay the foundation of our analysis: ", + "bbox": [ + 173, + 895, + 825, + 924 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 160 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Assumption 1 For a fixed instance of $\\theta _ { b }$ , let $\\tilde { \\theta } _ { p , i } = \\theta _ { p , i } - \\eta \\nabla _ { \\theta _ { p } } \\mathcal { L } ( \\theta _ { b } , \\theta _ { p , i } )$ denote the personalized parameters after a local update step (i.e., step $^ { l }$ above) at client $i$ , then there exists a distribution $s$ on matrix $\\mathbf { S } \\in \\mathbb { R } ^ { k \\times | \\theta _ { p } | }$ that satisfies ", + "bbox": [ + 174, + 171, + 825, + 215 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/e21700b725bbae65bc8c894897c574cc558cc932dbf118b04215f210256f52fc.jpg", + "text": "$$\n\\forall \\mathbf { x } \\in \\mathbb { R } ^ { n } , \\| \\mathbf { x } \\| _ { 2 } = 1 : \\mathbb { E } _ { \\mathbf { S } \\sim { \\mathcal { S } } } \\left[ | \\| \\mathbf { S } \\mathbf { x } \\| _ { 2 } ^ { 2 } - 1 | ^ { \\ell } \\right] \\ \\leq \\ \\epsilon ^ { \\ell } \\cdot \\delta ,\n$$", + "text_format": "latex", + "bbox": [ + 308, + 223, + 687, + 244 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/302ed0fe3554dede9f35da9c497e6b3c0ce8a03567fa1f061e64c89c57d929c0.jpg", + "text": "$$\n\\operatorname* { P r } _ { \\mathbf { S } \\in \\mathcal { S } } \\left( \\Big | \\nabla _ { \\theta _ { p } } \\mathcal { L } \\big ( \\theta _ { b } , \\tilde { \\theta } _ { p , i } \\big ) - \\mathbf { S } ^ { \\top } \\mathbf { S } \\Big ( \\frac { 1 } { M } \\sum _ { i = 1 } ^ { M } \\nabla _ { \\theta _ { p } } \\mathcal { L } \\big ( \\theta _ { b } , \\tilde { \\theta } _ { p , i } \\big ) \\Big ) \\Big | \\leq \\sqrt { \\frac { 6 } { k \\delta } } \\right) ~ \\geq ~ 1 - \\delta\n$$", + "text_format": "latex", + "bbox": [ + 235, + 260, + 761, + 304 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "where $k = \\mathcal { O } \\left( C \\| \\theta _ { b } - \\theta _ { b } ^ { * } \\| _ { 2 } ^ { - 2 } \\right)$ for some constant $C > 0$ and $\\theta _ { b } ^ { * }$ denotes the optimal base parameters. ", + "bbox": [ + 171, + 311, + 823, + 329 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The above assumption implies that, as $\\theta _ { b }$ improves and better captures the broad similarity across tasks, the local personalized components will diverge to capture the differences. It then becomes less likely for the FEDAVG personalized gradient to capture all these differences simultaneously. That is, suppose there exists an affine transformation to reconstruct the local component $\\nabla _ { \\boldsymbol { \\theta } _ { p } } \\mathcal { L } _ { i } \\dot { ( \\theta _ { b } ^ { t } , \\tilde { \\theta } _ { p } ^ { t } ) }$ from the federated gradient 1M PMi=1 ∇θp Li(θtb, ˜θtp), then the rank of this affine transformation would be inversely proportionate to $\\lVert \\theta _ { b } - \\theta _ { b } ^ { * } \\rVert _ { 2 }$ . ", + "bbox": [ + 173, + 338, + 825, + 433 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Finally, Proposition 1 below shows that when this assumption holds and $\\theta _ { b }$ converges to the optimal parameter $\\theta _ { b } ^ { * }$ (i.e., the error term tends to 0), then with very high probability, the coefficient $\\alpha _ { i }$ of the weighted federated gradient step (i.e., step 3 above) accurately captures the cosine similarity between the local gradient (step 1) and the federated gradient (step 2). ", + "bbox": [ + 174, + 438, + 825, + 494 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Proposition 1 Suppose assumption $^ { l }$ holds, then with probability at least $1 - 2 \\delta$ and normalized gradients, we have: ", + "bbox": [ + 174, + 507, + 821, + 536 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/8518cc1a25e7fbb7889ca9d800f160854230be5d789f0fa6d0b12b74ceffd67e.jpg", + "text": "$$\n\\begin{array} { r l r } { \\bigg | \\alpha _ { i } - \\nabla _ { \\theta _ { p } } ^ { \\top } \\mathcal { L } _ { i } ( \\theta _ { b } ^ { t } , \\theta _ { p } ^ { t } ) \\mathbf { L } \\bigg | } & { = } & { \\mathcal { O } ( \\| \\theta _ { b } - \\theta _ { b } ^ { * } \\| / \\delta ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 343, + 542, + 653, + 571 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Proof. See Appendix B ", + "bbox": [ + 178, + 578, + 330, + 592 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "This result has strong implication with respect to the scenario with multiple heterogeneous tasks, whose local gradients contradict in directions. Per this setting, we expect a standard federated gradient update scheme to encourage parameters drifting in the general direction of the majority (i.e., captured by the federated gradient), thus worsening the performance of tasks that are in the minority. Proposition 1, however, implies that whenever the local gradient contradicts the federated gradient, $\\alpha _ { i }$ will be close to the cosine similarity term, which is negative. This in turn results in a dampening effect on the federated gradient and helps to preserve the client performance on its own local task. ", + "bbox": [ + 173, + 604, + 826, + 704 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 724, + 326, + 741 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "This section describes our experiments to showcase the performance of FEDPNAS compared to different NAS and FL benchmarks on various scenarios. All of our empirical studies are conducted on two image recognition datasets: (a) the CIFAR-10 dataset (Krizhevsky et al., 2009) which aims to predict image labels from 10 classes given a train/test set of 50000/10000 colour images of dimension $3 2 \\times 3 2$ pixels; and (b) the MNIST dataset (LeCun et al., 2010) which aims to predict handwritten digits (i.e. 0 to 9) given a train/test set of 60000/10000 grayscale images of dimension $2 8 \\times 2 8$ pixels. Our search space entails $2 ^ { 4 0 }$ possible architectures, which is detailed in Appendix D. We compare two variants of our framework, CA-FEDPNAS (with context-aware operation sampler) and FEDPNAS (without the operation sampler), against: (a) FEDAVERAGING of a fixed architecture to justify the need for NAS in FL; (b) FEDDSNAS - the federated extension of DSNAS (Section 3.1) to show the effectiveness of our proposed context-aware sampler on NAS performance; and finally (c) CA-FEDDSNAS, which extends FEDDSNAS with our context-aware sampler. ", + "bbox": [ + 173, + 757, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "On simulate heterogenous predictive tasks. To simulate this scenario, we first distribute the data i.i.d across clients (10000/2000 and 12000/2000 training/test images per client for CIFAR-10 and MNIST datasets respectively). Then, we independently apply a different transformation to each partitioned dataset. Input images within the same train/test set is subject to the same transformation. In both our experiments, the client datasets are subjected to rotations of $- 3 0 ^ { \\circ }$ , $- 1 5 ^ { \\circ } , 0 ^ { \\circ }$ , $1 5 ^ { \\circ }$ and $3 0 ^ { \\circ }$ respectively. This data generation protocol reflects a realistic and frequently seen scenario where independently collected data of the same phenomenon might contain systematic bias due to measurement errors and/or different collection protocols. Fig. 3 below shows the performance of all the methods in comparison, plotted against number of search epochs and averaged over the above rotated variants of CIFAR-10 and MNIST datasets. ", + "bbox": [ + 173, + 103, + 825, + 242 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/08d3fd76b4111ac26e3461c4df7498289f564056a7c3a605aede072b6240b1a0.jpg", + "image_caption": [ + "Figure 3: Plotting average classification accuracy of various methods against no. training epochs on heterogeneous tasks derived from (a) MNIST dataset; and (b) CIFAR-10 dataset. Figure (c) compares cumulative running time of various methods against no. training epochs on CIFAR-10 dataset. " + ], + "image_footnote": [], + "bbox": [ + 186, + 272, + 812, + 401 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "On the MNIST dataset (Fig. 3b), all methods eventually converge to a similar performance. Among the NAS benchmarks, FEDPNAS and FEDDSNAS both converge slower than FEDAVG and start off with worse performance in early iterations, which is expected since FEDAVG does not have to search for the architecture and it is likely that the default architecture is sufficient for the MNIST task. On the other hand, we observe that both CA-FEDPNAS and CA-FEDDSNAS converge much faster than their counterparts without the context-aware operation sampler component. This shows that making use of contextual information helps to quickly locate regions of high-performing architectures, especially on similar inputs. ", + "bbox": [ + 174, + 484, + 825, + 597 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "On the CIFAR-10 dataset (Fig. 3a), we instead observe significant gaps between the worst performing FEDAVG and other NAS methods. This is likely because the default architecture does not have sufficient learning capability, which confirms the need for customizing solutions. Among the NAS benchmarks, we again observe that both CA-FEDPNAS and CA-FEDDSNAS outperform their counterparts without our operation sampler, which confirms the intuition above. Most remarkably, our proposed framework CA-FEDPNAS achieves the best performance (0.8) and significantly outperformed both variants of federated DSNAS (0.71 for CA-FEDDSNAS and 0.63 for FEDDSNAS). ", + "bbox": [ + 174, + 603, + 825, + 702 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Lastly, Fig. 3c shows the runtime comparison between three methods on the CIFAR-10 experiment. In terms of sampling time, we observe that there is negligible overhead incurred by using our context-aware sampler (CA-FEDDSNAS vs. FEDDSNAS). The time incurred by our update (CA-FEDPNAS) scales by a constant factor compared to CA-FEDDSNAS since we use exactly one extra forward/backward pass per update. ", + "bbox": [ + 174, + 708, + 825, + 777 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "On objectives with varying heterogeneity. We expand the above study by investigating respective performance of CA-FEDPNAS and FEDDSNAS on tasks with varying levels of heterogeneity. At low level of heterogeneity, we deploy these methods on 5 sets of slightly rotated MNIST images. At high level of heterogeneity, we employ a more diverse set of transformations on MNIST images, such as hue jitter and large angle rotations of $9 0 ^ { \\circ }$ and $- 9 0 ^ { \\circ }$ . Table 1 show the respective result of each task from these two settings. We observe that our method CA-FEDPNAS achieves better performance on most tasks and the performance gaps on tasks with higher heterogeneity are more pronounced (i.e., up to $7 \\%$ improvement on ROTATE 90 task). This clearly shows the importance of architecture personalization when the training tasks are significantly different and justifies our research goal. ", + "bbox": [ + 174, + 797, + 825, + 924 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/54d993c8bf9f3fa29d07bb7937339fab1a162de34e3ded9e8a7c9d00ec8acdc4.jpg", + "table_caption": [ + "Table 1: Predictive accuracy of CA-FEDPNAS FEDDSNAS on tasks with varying heterogeneity levels. ROTATE X denotes a rotation transformation of $\\mathbf { X } ^ { \\circ }$ on client data; VANILLA denotes the original MNIST images; and HUEJITTER X denotes a hue jitter transformation of training images by a factor of X. The best performance in each row is in bold font. " + ], + "table_footnote": [], + "table_body": "
HETEROGENEITYTASKDESCRIPTIONFEDDSNASCA-FEDPNAS
LowROTATE -300.9470.978
ROTATE -150.9730.976
VANILLA0.9880.985
ROTATE 150.9860.987
ROTATE 300.9720.981
HIGHHUEJITTER-0.50.9660.978
HUEJITTER 0.50.9670.972
VANILLA0.9880.989
ROTATE -900.8920.932
ROTATE 900.8660.932
", + "bbox": [ + 243, + 101, + 746, + 271 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "On knowledge transfer to completely new tasks. Finally, we investigate a scenario where the architecture distributions discovered by CA-FEDPNAS and FEDDSNAS are required to generalize to completely unseen tasks. Particularly, we train both methods on five clients whose local data consist of 12000 slightly rotated CIFAR-10 images (i.e., in the range of $\\pm 3 0 ^ { \\circ }$ ), similar to the setting of the first experiment. During testing, however, we supply each local client with 2000 test images subjected to related but completely unseen transformations (i.e., $9 0 °$ and $- 9 0 ^ { \\circ }$ rotations). ", + "bbox": [ + 173, + 363, + 825, + 446 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Our results are summarized in Table 2. First, we measure the performance of CA-FEDPNAS and FEDDSNAS without any weight retraining. When received no additional information from the unseen tasks, both methods perform poorly as expected. While CA-FEDPNAS achieves better predictive accuracy, the performance gap in this scenario is negligible. To provide additional clues for adaptation, albeit minimal, we retrain the weights of each local model with 200 images rotated according to respective unseen task description. Here, the parameters of our operator sampler component, (and respectively, FEDDSNAS’s categorical distribution parameters), are frozen to gauge the quality of the learned architecture distributions. Our results show that, with only 100 retraining iterations on limited data, CA-FEDPSNAS already outperforms FEDDSNAS $5 \\%$ and $8 \\%$ improvement respectively on two unseen tasks). This implies that CA-FEDPNAS has more accurately capture the broad similarity of the task spectrum through the personalized architecture distribution, which requires minimal additional information to successfully adapt to unseen tasks. ", + "bbox": [ + 173, + 454, + 825, + 621 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/931c6f41e8c0f1bcdf0b86c0f96967d82b117c3a89c72d81dd70c8b1f642352b.jpg", + "table_caption": [ + "Table 2: Predictive accuracy (averaged over 5 clients) and standard deviation of CA-FEDPNAS and FEDDSNAS on two unseen tasks (CIFAR-10). The best performance in each row is in bold font. " + ], + "table_footnote": [], + "table_body": "
UNSEEN TASKDESCRIPTIONFEDDSNASCA-FEDPNASFEDDSNAS(RETRAINED)CA-FEDPNAS(RETRAINED)
ROTATE -900.545 ± 0.040.578 ± 0.090.699± 0.120.734 ± 0.17
ROTATE 900.553 ± 0.120.569 ± 0.060.673 ± 0.130.727 ± 0.22
", + "bbox": [ + 194, + 633, + 795, + 694 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 CONCLUSION ", + "text_level": 1, + "bbox": [ + 174, + 767, + 318, + 782 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We demonstrate that federated learning for multi-task scenarios requires extensive personalization on the architecture level to obtain good predictive performance. This paper identifies two potential sources of model personalization: (1) task-personalization, which aims to select architectures best suited for specific learning objectives; and (2) context-personalization, which aims to select architectures best suited for specific input samples. To incorporate these aspects of personalization into Federated NAS, we propose FEDPNAS which consists of two main components: (1) a context-aware operator sampler which learns a sampling distribution for feature maps along a master architecture; and (2) a personalized federated learning objective which anticipates client fine-tuning and guides the federated model update to regions that tolerate future local updates. ", + "bbox": [ + 173, + 797, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 REPRODUCIBILITY & ETHIC STATEMENT ", + "text_level": 1, + "bbox": [ + 174, + 102, + 547, + 118 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This work contributes to the literature of Federated Learning through improving the state-of-theart performance. As such, it could have significant broader impact by allowing users to more accurately solve practical problems. While applications of our work to real data could result in ethical considerations, this is an indirect (and unpredictable) side-effect of our work. Our experimental work uses publicly available datasets to evaluate the performance of our algorithms; no ethical considerations are raised. Our implementation code is published anonymously at https://github.com/icml2021fedpnas/fedpnas. All proofs and details of various architectures are included in the Appendix of this paper. ", + "bbox": [ + 174, + 135, + 825, + 246 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 174, + 268, + 285, + 284 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "B. Baker, O. Gupta, N. Naik, and R. Raskar. Designing neural network architectures using reinforcement learning. arXiv preprint arXiv:1611.02167, 2016. \nJ. Bergstra, D. Yamins, and D. Cox. Making a science of model search: Hyperparameter optimization in hundreds of dimensions for vision architectures. In International conference on machine learning, pages 115–123. PMLR, 2013. \nA. Fallah, A. Mokhtari, and A. Ozdaglar. Personalized federated learning: Model-agnostic metalearning approach. In Proc. NeurIPS, 2020. \nC. Finn, P. Abbeel, and S. Levine. Model-agnostic meta-learning for fast adaptation of deep networks. In Proc. ICML, pages 1126–1135, 2017. \nD. Floreano, P. Dürr, and C. Mattiussi. Neuroevolution: from architectures to learning. Evolutionary Intelligence, 1(1):47–62, 2008. \nJ. Hu, L. Shen, and G. Sun. Squeeze-and-excitation networks. In Proceedings of the IEEE conference on computer vision and pattern recognition, pages 7132–7141, 2018. \nS. Hu, S. Xie, H. Zheng, C. Liu, J. Shi, X. Liu, and D. Lin. DSNAS: Direct neural architecture search without parameter retraining. In Proceedings of the IEEE/CVF Conference on Computer Vision and Pattern Recognition, pages 12084–12092, 2020. \nE. Jang, S. Gu, and B. Poole. Categorical reparameterization with gumbel-softmax. arXiv preprint arXiv:1611.01144, 2016. \nA. Krizhevsky et al. Learning multiple layers of features from tiny images. Citeseer, 2009. \nY. LeCun, C. Cortes, and C. Burges. Mnist handwritten digit database. ATT Labs [Online]. Available: http://yann. lecun. com/exdb/mnist, 2, 2010. \nH. B. McMahan, E. Moore, D. Ramage, S. Hampson, and B. A. y Arcas. Communication-efficient learning of deep networks from decentralized data. In Proc. AISTATS, pages 1273–1282, 2017. \nH. Pham, M. Y. Guan, B. Zoph, Q. V. Le, and J. Dean. Efficient neural architecture search via parameter sharing. arXiv preprint arXiv:1802.03268, 2018. \nE. Real, A. Aggarwal, Y. Huang, and Q. V. Le. Regularized evolution for image classifier architecture search. In Proceedings of the AAAI conference on Artificial Intelligence, volume 33, pages 4780–4789, 2019. \nS. Xie, H. Zheng, C. Liu, and L. Lin. SNAS: stochastic neural architecture search. arXiv preprint arXiv:1812.09926, 2018. \nB. Zoph and Q. V. Le. Neural architecture search with reinforcement learning. arXiv preprint arXiv:1611.01578, 2016. 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To address this shortcoming, one naive", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 658, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 506, + 674 + ], + "score": 1.0, + "content": "idea is to adopt existing ideas in Neural Architecture Search (NAS) via Reinforcement Learning", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 671, + 479, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 479, + 684 + ], + "score": 1.0, + "content": "(Zoph and Le, 2016; Pham et al., 2018) which act as an outer loop to the existing FL routine.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 616, + 506, + 684 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 687, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "However, this simple approach does not allow client models to adapt to local tasks on an architecture", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "level and is often not preferred due to the cost of repeated FL training. 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(2017) optimizes this objective by alternating between (a) central agent broadcasting", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 689, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 703 + ], + "score": 1.0, + "content": "aggregated weights to local clients and (b) local clients sending gradient descent updated weights", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 700, + 506, + 713 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 506, + 713 + ], + "score": 1.0, + "content": "(given local data) to the central agent for aggregation. This, however, implies that after the last", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 82, + 505, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 94 + ], + "score": 1.0, + "content": "central aggregation step, all clients will follow the same architecture distribution induced by the final", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "broadcasted copy of W and Π. As previously argued, this is not optimal in a heterogenous task", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 478, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 478, + 117 + ], + "score": 1.0, + "content": "setting which requires task-specific adaptation for local clients to achieve good performance.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 35, + "bbox_fs": [ + 105, + 678, + 506, + 713 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 504, + 116 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 94 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 94 + ], + "score": 1.0, + "content": "central aggregation step, all clients will follow the same architecture distribution induced by the final", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "broadcasted copy of W and Π. As previously argued, this is not optimal in a heterogenous task", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 478, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 478, + 117 + ], + "score": 1.0, + "content": "setting which requires task-specific adaptation for local clients to achieve good performance.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 121, + 505, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 120, + 505, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 120, + 320, + 134 + ], + "score": 1.0, + "content": "Furthermore, having the same sampling distribution", + "type": "text" + }, + { + "bbox": [ + 320, + 121, + 341, + 133 + ], + "score": 0.92, + "content": "p ( \\mathbf { Z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 341, + 120, + 505, + 134 + ], + "score": 1.0, + "content": "regardless of context (i.e., feature maps", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 131, + 505, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 131, + 505, + 145 + ], + "score": 1.0, + "content": "received as cell input) limits the architecture discovery to those that perform reasonably on average", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 143, + 505, + 156 + ], + "score": 1.0, + "content": "over the entire dataset. However, we remark that restricting the architecture to be the same for every", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "input samples is unnecessary and undermines the expressiveness of an over-parameterized search", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 506, + 178 + ], + "score": 1.0, + "content": "space. On the other hand, letting the architecture be determined on a per-sample basis makes better", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 177, + 413, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 413, + 189 + ], + "score": 1.0, + "content": "use of the search space and potentially improves the predictive performance.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 107, + 193, + 505, + 259 + ], + "lines": [ + { + "bbox": [ + 106, + 192, + 505, + 205 + ], + "spans": [ + { + "bbox": [ + 106, + 192, + 505, + 205 + ], + "score": 1.0, + "content": "The focus of this work is therefore to incorporate both task-wise and context-wise personalization to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 203, + 506, + 217 + ], + "score": 1.0, + "content": "federated neural architecture search in multitask scenarios, which is achieved through our proposed", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 214, + 507, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 507, + 228 + ], + "score": 1.0, + "content": "algorithm FEDPNAS. In general, FEDPNAS functions similarly to the vanilla FEDDSNAS algo-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 226, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 505, + 239 + ], + "score": 1.0, + "content": "rithm described above, with an addition of a fine-tuning phase at each local client after the FL phase", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 237, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 506, + 249 + ], + "score": 1.0, + "content": "to adapt the aggregated common model for local task data, as shown in Fig. 1. To make this work,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 246, + 344, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 344, + 261 + ], + "score": 1.0, + "content": "however, we need to address the following key challenges:", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 265, + 505, + 309 + ], + "lines": [ + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "C1. First, as previously argued in Section 1, tasks across federated clients tend to share similarities in", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 276, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 288 + ], + "score": 1.0, + "content": "broad sense, and diverge in finer details. A good federated personalization search space, therefore,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 287, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 506, + 299 + ], + "score": 1.0, + "content": "need to capture this fundamental observation through design and appropriate resource distribution.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 298, + 271, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 271, + 310 + ], + "score": 1.0, + "content": "We address this challenge in Section 3.2.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 315, + 505, + 370 + ], + "lines": [ + { + "bbox": [ + 106, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "C2. Second, a major advantage of having an over-parameterized architecture search space is the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 324, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 505, + 339 + ], + "score": 1.0, + "content": "flexibility of having specific computation paths for different samples, which is not exploited by", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 335, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 431, + 349 + ], + "score": 1.0, + "content": "DSNAS as reflected in its choice of context-independent sampling distribution", + "type": "text" + }, + { + "bbox": [ + 432, + 336, + 452, + 349 + ], + "score": 0.91, + "content": "p ( \\mathbf { Z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 335, + 506, + 349 + ], + "score": 1.0, + "content": ". To address", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 324, + 360 + ], + "score": 1.0, + "content": "this, Section 3.4 proposes a novel parameterization of", + "type": "text" + }, + { + "bbox": [ + 324, + 348, + 345, + 360 + ], + "score": 0.92, + "content": "p ( \\mathbf { Z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "to incorporate context information into", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 359, + 184, + 373 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 184, + 373 + ], + "score": 1.0, + "content": "operator sampling.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 106, + 375, + 505, + 442 + ], + "lines": [ + { + "bbox": [ + 106, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "C3. Last, while the fine-tuning phase is designed to incorporate task-personalization, there is no", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 386, + 506, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 386, + 506, + 399 + ], + "score": 1.0, + "content": "guarantee that the common model can be quickly adapted to client tasks (Fallah et al., 2020). The", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 398, + 505, + 409 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 505, + 409 + ], + "score": 1.0, + "content": "common model may end up in a localization that favors one client over another, which makes it", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 408, + 505, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 408, + 505, + 420 + ], + "score": 1.0, + "content": "difficult for the latter to fine-tune. 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Every cell", + "type": "text" + }, + { + "bbox": [ + 199, + 707, + 211, + 720 + ], + "score": 0.9, + "content": "\\psi _ { t } ^ { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 704, + 482, + 723 + ], + "score": 1.0, + "content": "in the base stack takes as inputs the outputs of its previous two cells", + "type": "text" + }, + { + "bbox": [ + 482, + 707, + 504, + 721 + ], + "score": 0.91, + "content": "\\psi _ { t - 1 } ^ { b }", + "type": "inline_equation" + } + ], + "index": 65 + }, + { + "bbox": [ + 106, + 719, + 505, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 719, + 123, + 734 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 124, + 720, + 145, + 733 + ], + "score": 0.92, + "content": "\\psi _ { t - 2 } ^ { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 145, + 719, + 248, + 734 + ], + "score": 1.0, + "content": "(replaced with raw input", + "type": "text" + }, + { + "bbox": [ + 248, + 723, + 255, + 730 + ], + "score": 0.76, + "content": "x", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 719, + 337, + 734 + ], + "score": 1.0, + "content": "when necessary for", + "type": "text" + }, + { + "bbox": [ + 338, + 721, + 361, + 731 + ], + "score": 0.87, + "content": "t \\leq 2", + "type": "inline_equation" + }, + { + "bbox": [ + 361, + 719, + 505, + 734 + ], + "score": 1.0, + "content": "). 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In general, FEDPNAS functions similarly to the vanilla FEDDSNAS algo-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 226, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 106, + 226, + 505, + 239 + ], + "score": 1.0, + "content": "rithm described above, with an addition of a fine-tuning phase at each local client after the FL phase", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 237, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 506, + 249 + ], + "score": 1.0, + "content": "to adapt the aggregated common model for local task data, as shown in Fig. 1. To make this work,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 246, + 344, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 344, + 261 + ], + "score": 1.0, + "content": "however, we need to address the following key challenges:", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 192, + 507, + 261 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 265, + 505, + 309 + ], + "lines": [ + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "spans": [ + { + "bbox": [ + 106, + 264, + 505, + 277 + ], + "score": 1.0, + "content": "C1. First, as previously argued in Section 1, tasks across federated clients tend to share similarities in", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 276, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 276, + 506, + 288 + ], + "score": 1.0, + "content": "broad sense, and diverge in finer details. A good federated personalization search space, therefore,", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 287, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 106, + 287, + 506, + 299 + ], + "score": 1.0, + "content": "need to capture this fundamental observation through design and appropriate resource distribution.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 298, + 271, + 310 + ], + "spans": [ + { + "bbox": [ + 106, + 298, + 271, + 310 + ], + "score": 1.0, + "content": "We address this challenge in Section 3.2.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 264, + 506, + 310 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 315, + 505, + 370 + ], + "lines": [ + { + "bbox": [ + 106, + 314, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 106, + 314, + 505, + 327 + ], + "score": 1.0, + "content": "C2. Second, a major advantage of having an over-parameterized architecture search space is the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 324, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 505, + 339 + ], + "score": 1.0, + "content": "flexibility of having specific computation paths for different samples, which is not exploited by", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 335, + 506, + 349 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 431, + 349 + ], + "score": 1.0, + "content": "DSNAS as reflected in its choice of context-independent sampling distribution", + "type": "text" + }, + { + "bbox": [ + 432, + 336, + 452, + 349 + ], + "score": 0.91, + "content": "p ( \\mathbf { Z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 335, + 506, + 349 + ], + "score": 1.0, + "content": ". To address", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 347, + 506, + 360 + ], + "spans": [ + { + "bbox": [ + 105, + 347, + 324, + 360 + ], + "score": 1.0, + "content": "this, Section 3.4 proposes a novel parameterization of", + "type": "text" + }, + { + "bbox": [ + 324, + 348, + 345, + 360 + ], + "score": 0.92, + "content": "p ( \\mathbf { Z } )", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 347, + 506, + 360 + ], + "score": 1.0, + "content": "to incorporate context information into", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 359, + 184, + 373 + ], + "spans": [ + { + "bbox": [ + 106, + 359, + 184, + 373 + ], + "score": 1.0, + "content": "operator sampling.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 314, + 506, + 373 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 375, + 505, + 442 + ], + "lines": [ + { + "bbox": [ + 106, + 375, + 506, + 388 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 506, + 388 + ], + "score": 1.0, + "content": "C3. 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To compensate for the growing number of channels, we periodically", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "employ a reduction convolution (with stride larger than 1) similar to DSNAS (Hu et al., 2020) to", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 289, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 289, + 138 + ], + "score": 1.0, + "content": "reduce the feature dimension down the stack.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 106, + 143, + 505, + 231 + ], + "lines": [ + { + "bbox": [ + 105, + 142, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 105, + 142, + 428, + 156 + ], + "score": 1.0, + "content": "Personalized stack. As opposed to the design of the base cells above, every cell", + "type": "text" + }, + { + "bbox": [ + 429, + 143, + 441, + 155 + ], + "score": 0.9, + "content": "\\psi _ { t } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 142, + 506, + 156 + ], + "score": 1.0, + "content": "in the personal-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 154, + 505, + 166 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 297, + 166 + ], + "score": 1.0, + "content": "ized stack has minimal expressiveness. 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There are two reasons for this", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "choice. First, as the fine-tuning phase has access to fewer data samples than the federated phase,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 199 + ], + "score": 1.0, + "content": "having a more compact fine-tuning space helps to improve the rate of convergence. Second, as we will", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 506, + 211 + ], + "score": 1.0, + "content": "discuss in Section 3.4 below, our personalized FL objective requires the Hessian of the personalized", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 209, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 506, + 222 + ], + "score": 1.0, + "content": "parameters, which is computationally expensive. As such, we only restrict the personalization to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 221, + 302, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 302, + 232 + ], + "score": 1.0, + "content": "happen on the more compact personalized stack.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 8.5 + }, + { + "type": "title", + "bbox": [ + 107, + 236, + 351, + 247 + ], + "lines": [ + { + "bbox": [ + 106, + 235, + 352, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 235, + 352, + 248 + ], + "score": 1.0, + "content": "3.3 PERSONALIZED FEDERATED LEARNING OBJECTIVE", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 255, + 505, + 345 + ], + "lines": [ + { + "bbox": [ + 106, + 256, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 256, + 505, + 268 + ], + "score": 1.0, + "content": "Unlike FEDAVERAGING (McMahan et al., 2017), which assumes the clients will follow the consensus", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "score": 1.0, + "content": "base model obtained after the federated phase, FEDPNAS expects clients to further personalize", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 279, + 504, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 504, + 289 + ], + "score": 1.0, + "content": "the base model with local task data. That said, while the base model is trained to work well in the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 288, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 505, + 303 + ], + "score": 1.0, + "content": "expected sense over the task distribution, there is no guarantee that it is a good initial point for every", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 300, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 505, + 313 + ], + "score": 1.0, + "content": "client model to improve upon via fine-tuning. To address this, we adopt the concept of training in", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "anticipation of future adaptation introduced by MAML (Finn et al., 2017). That is, during client", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 321, + 505, + 334 + ], + "score": 1.0, + "content": "update, instead of optimizing the loss with respect to the same consensus weight, each client will", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 334, + 467, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 467, + 345 + ], + "score": 1.0, + "content": "instead optimize the weight perturbed by a small gradient step in the fine-tuning direction.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5 + }, + { + "type": "title", + "bbox": [ + 107, + 363, + 299, + 375 + ], + "lines": [ + { + "bbox": [ + 106, + 362, + 302, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 302, + 376 + ], + "score": 1.0, + "content": "Algorithm 1 FEDPNAS - FEDERATED PHASE", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": 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As opposed to the design of the base cells above, every cell", + "type": "text" + }, + { + "bbox": [ + 429, + 143, + 441, + 155 + ], + "score": 0.9, + "content": "\\psi _ { t } ^ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 142, + 506, + 156 + ], + "score": 1.0, + "content": "in the personal-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 154, + 505, + 166 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 297, + 166 + ], + "score": 1.0, + "content": "ized stack has minimal expressiveness. 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There are two reasons for this", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "spans": [ + { + "bbox": [ + 106, + 176, + 506, + 189 + ], + "score": 1.0, + "content": "choice. First, as the fine-tuning phase has access to fewer data samples than the federated phase,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 187, + 505, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 505, + 199 + ], + "score": 1.0, + "content": "having a more compact fine-tuning space helps to improve the rate of convergence. 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As such, we only restrict the personalization to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 221, + 302, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 302, + 232 + ], + "score": 1.0, + "content": "happen on the more compact personalized stack.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 8.5, + "bbox_fs": [ + 104, + 142, + 507, + 232 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 236, + 351, + 247 + ], + "lines": [ + { + "bbox": [ + 106, + 235, + 352, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 235, + 352, + 248 + ], + "score": 1.0, + "content": "3.3 PERSONALIZED FEDERATED LEARNING OBJECTIVE", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 255, + 505, + 345 + ], + "lines": [ + { + "bbox": [ + 106, + 256, + 505, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 256, + 505, + 268 + ], + "score": 1.0, + "content": "Unlike FEDAVERAGING (McMahan et al., 2017), which assumes the clients will follow the consensus", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 267, + 505, + 279 + ], + "score": 1.0, + "content": "base model obtained after the federated phase, FEDPNAS expects clients to further personalize", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 279, + 504, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 504, + 289 + ], + "score": 1.0, + "content": "the base model with local task data. 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That is, during client", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 321, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 106, + 321, + 505, + 334 + ], + "score": 1.0, + "content": "update, instead of optimizing the loss with respect to the same consensus weight, each client will", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 334, + 467, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 467, + 345 + ], + "score": 1.0, + "content": "instead optimize the weight perturbed by a small gradient step in the fine-tuning direction.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 256, + 506, + 345 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 363, + 299, + 375 + ], + "lines": [ + { + "bbox": [ + 106, + 362, + 302, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 302, + 376 + ], + "score": 1.0, + "content": "Algorithm 1 FEDPNAS - FEDERATED PHASE", + "type": "text" + } + ], + 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See Appendix B", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 108, + 457, + 203, + 471 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 479, + 506, + 558 + ], + "lines": [ + { + "bbox": [ + 106, + 480, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 506, + 493 + ], + "score": 1.0, + "content": "This result has strong implication with respect to the scenario with multiple heterogeneous tasks,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 491, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 491, + 506, + 504 + ], + "score": 1.0, + "content": "whose local gradients contradict in directions. 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This in turn results in a dampening", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 545, + 500, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 500, + 559 + ], + "score": 1.0, + "content": "effect on the federated gradient and helps to preserve the client performance on its own local task.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 480, + 507, + 559 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 574, + 200, + 587 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 201, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 201, + 589 + ], + "score": 1.0, + "content": "4 EXPERIMENTS", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 600, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "score": 1.0, + "content": "This section describes our experiments to showcase the performance of FEDPNAS compared to", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 611, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 611, + 506, + 623 + ], + "score": 1.0, + "content": "different NAS and FL benchmarks on various scenarios. 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To simulate this scenario, we first distribute the data", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "i.i.d across clients (10000/2000 and 12000/2000 training/test images per client for CIFAR-10 and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "MNIST datasets respectively). Then, we independently apply a different transformation to each", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 115, + 507, + 128 + ], + "spans": [ + { + "bbox": [ + 104, + 115, + 507, + 128 + ], + "score": 1.0, + "content": "partitioned dataset. Input images within the same train/test set is subject to the same transformation.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 403, + 139 + ], + "score": 1.0, + "content": "In both our experiments, the client datasets are subjected to rotations of", + "type": "text" + }, + { + "bbox": [ + 403, + 126, + 426, + 137 + ], + "score": 0.62, + "content": "- 3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 126, + 429, + 139 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 429, + 126, + 468, + 138 + ], + "score": 0.42, + "content": "- 1 5 ^ { \\circ } , 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 126, + 470, + 139 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 471, + 127, + 486, + 137 + ], + "score": 0.65, + "content": "1 5 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 126, + 506, + 139 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 137, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 122, + 148 + ], + "score": 0.85, + "content": "3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 137, + 506, + 150 + ], + "score": 1.0, + "content": "respectively. This data generation protocol reflects a realistic and frequently seen scenario", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 148, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 106, + 148, + 506, + 161 + ], + "score": 1.0, + "content": "where independently collected data of the same phenomenon might contain systematic bias due to", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 506, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 171 + ], + "score": 1.0, + "content": "measurement errors and/or different collection protocols. Fig. 3 below shows the performance of all", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 171, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 171, + 505, + 182 + ], + "score": 1.0, + "content": "the methods in comparison, plotted against number of search epochs and averaged over the above", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 313, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 313, + 194 + ], + "score": 1.0, + "content": "rotated variants of CIFAR-10 and MNIST datasets.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 4.5 + }, + { + "type": "image", + "bbox": [ + 114, + 216, + 497, + 318 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 114, + 216, + 497, + 318 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 216, + 497, + 318 + ], + "spans": [ + { + "bbox": [ + 114, + 216, + 497, + 318 + ], + "score": 0.97, + "type": "image", + "image_path": "08d3fd76b4111ac26e3461c4df7498289f564056a7c3a605aede072b6240b1a0.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 114, + 216, + 497, + 250.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 114, + 250.0, + 497, + 284.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 114, + 284.0, + 497, + 318.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 331, + 505, + 365 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 331, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 505, + 344 + ], + "score": 1.0, + "content": "Figure 3: Plotting average classification accuracy of various methods against no. training epochs on", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "heterogeneous tasks derived from (a) MNIST dataset; and (b) CIFAR-10 dataset. Figure (c) compares", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 354, + 484, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 484, + 366 + ], + "score": 1.0, + "content": "cumulative running time of various methods against no. training epochs on CIFAR-10 dataset.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 473 + ], + "lines": [ + { + "bbox": [ + 105, + 384, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 506, + 398 + ], + "score": 1.0, + "content": "On the MNIST dataset (Fig. 3b), all methods eventually converge to a similar performance. Among", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "score": 1.0, + "content": "the NAS benchmarks, FEDPNAS and FEDDSNAS both converge slower than FEDAVG and start off", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "with worse performance in early iterations, which is expected since FEDAVG does not have to search", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 418, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 505, + 430 + ], + "score": 1.0, + "content": "for the architecture and it is likely that the default architecture is sufficient for the MNIST task. On", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 427, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 442 + ], + "score": 1.0, + "content": "the other hand, we observe that both CA-FEDPNAS and CA-FEDDSNAS converge much faster", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 440, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 506, + 452 + ], + "score": 1.0, + "content": "than their counterparts without the context-aware operation sampler component. This shows that", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 450, + 507, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 507, + 464 + ], + "score": 1.0, + "content": "making use of contextual information helps to quickly locate regions of high-performing architectures,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 462, + 221, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 221, + 474 + ], + "score": 1.0, + "content": "especially on similar inputs.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 107, + 478, + 505, + 556 + ], + "lines": [ + { + "bbox": [ + 105, + 477, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 492 + ], + "score": 1.0, + "content": "On the CIFAR-10 dataset (Fig. 3a), we instead observe significant gaps between the worst performing", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 489, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 502 + ], + "score": 1.0, + "content": "FEDAVG and other NAS methods. This is likely because the default architecture does not have", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "sufficient learning capability, which confirms the need for customizing solutions. Among the NAS", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "benchmarks, we again observe that both CA-FEDPNAS and CA-FEDDSNAS outperform their", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 521, + 507, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 507, + 536 + ], + "score": 1.0, + "content": "counterparts without our operation sampler, which confirms the intuition above. Most remarkably,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 533, + 507, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 507, + 546 + ], + "score": 1.0, + "content": "our proposed framework CA-FEDPNAS achieves the best performance (0.8) and significantly out-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 545, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 506, + 557 + ], + "score": 1.0, + "content": "performed both variants of federated DSNAS (0.71 for CA-FEDDSNAS and 0.63 for FEDDSNAS).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 561, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "score": 1.0, + "content": "Lastly, Fig. 3c shows the runtime comparison between three methods on the CIFAR-10 experiment.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "In terms of sampling time, we observe that there is negligible overhead incurred by using our", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 104, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "context-aware sampler (CA-FEDDSNAS vs. FEDDSNAS). The time incurred by our update", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "(CA-FEDPNAS) scales by a constant factor compared to CA-FEDDSNAS since we use exactly one", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 604, + 270, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 270, + 618 + ], + "score": 1.0, + "content": "extra forward/backward pass per update.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 632, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "On objectives with varying heterogeneity. We expand the above study by investigating respective", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 642, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 506, + 657 + ], + "score": 1.0, + "content": "performance of CA-FEDPNAS and FEDDSNAS on tasks with varying levels of heterogeneity. At", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "low level of heterogeneity, we deploy these methods on 5 sets of slightly rotated MNIST images. At", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "high level of heterogeneity, we employ a more diverse set of transformations on MNIST images, such", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 262, + 690 + ], + "score": 1.0, + "content": "as hue jitter and large angle rotations of", + "type": "text" + }, + { + "bbox": [ + 262, + 677, + 278, + 687 + ], + "score": 0.89, + "content": "9 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 676, + 295, + 690 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 296, + 677, + 319, + 687 + ], + "score": 0.89, + "content": "- 9 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 676, + 506, + 690 + ], + "score": 1.0, + "content": ". Table 1 show the respective result of each task", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "from these two settings. We observe that our method CA-FEDPNAS achieves better performance", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "on most tasks and the performance gaps on tasks with higher heterogeneity are more pronounced", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 149, + 722 + ], + "score": 1.0, + "content": "(i.e., up to", + "type": "text" + }, + { + "bbox": [ + 149, + 709, + 164, + 720 + ], + "score": 0.87, + "content": "7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "improvement on ROTATE 90 task). This clearly shows the importance of architecture", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 721, + 492, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 492, + 733 + ], + "score": 1.0, + "content": "personalization when the training tasks are significantly different and justifies our research goal.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40 + } + ], + "page_idx": 7, + "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 2022", + "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": [ + 106, + 82, + 505, + 192 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "On simulate heterogenous predictive tasks. To simulate this scenario, we first distribute the data", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "i.i.d across clients (10000/2000 and 12000/2000 training/test images per client for CIFAR-10 and", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "MNIST datasets respectively). Then, we independently apply a different transformation to each", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 104, + 115, + 507, + 128 + ], + "spans": [ + { + "bbox": [ + 104, + 115, + 507, + 128 + ], + "score": 1.0, + "content": "partitioned dataset. Input images within the same train/test set is subject to the same transformation.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 403, + 139 + ], + "score": 1.0, + "content": "In both our experiments, the client datasets are subjected to rotations of", + "type": "text" + }, + { + "bbox": [ + 403, + 126, + 426, + 137 + ], + "score": 0.62, + "content": "- 3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 427, + 126, + 429, + 139 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 429, + 126, + 468, + 138 + ], + "score": 0.42, + "content": "- 1 5 ^ { \\circ } , 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 126, + 470, + 139 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 471, + 127, + 486, + 137 + ], + "score": 0.65, + "content": "1 5 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 126, + 506, + 139 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 137, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 106, + 137, + 122, + 148 + ], + "score": 0.85, + "content": "3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 137, + 506, + 150 + ], + "score": 1.0, + "content": "respectively. This data generation protocol reflects a realistic and frequently seen scenario", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 148, + 506, + 161 + ], + "spans": [ + { + "bbox": [ + 106, + 148, + 506, + 161 + ], + "score": 1.0, + "content": "where independently collected data of the same phenomenon might contain systematic bias due to", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 159, + 506, + 171 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 506, + 171 + ], + "score": 1.0, + "content": "measurement errors and/or different collection protocols. Fig. 3 below shows the performance of all", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 171, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 171, + 505, + 182 + ], + "score": 1.0, + "content": "the methods in comparison, plotted against number of search epochs and averaged over the above", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 181, + 313, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 313, + 194 + ], + "score": 1.0, + "content": "rotated variants of CIFAR-10 and MNIST datasets.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 4.5, + "bbox_fs": [ + 104, + 82, + 507, + 194 + ] + }, + { + "type": "image", + "bbox": [ + 114, + 216, + 497, + 318 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 114, + 216, + 497, + 318 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 216, + 497, + 318 + ], + "spans": [ + { + "bbox": [ + 114, + 216, + 497, + 318 + ], + "score": 0.97, + "type": "image", + "image_path": "08d3fd76b4111ac26e3461c4df7498289f564056a7c3a605aede072b6240b1a0.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 114, + 216, + 497, + 250.0 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 114, + 250.0, + 497, + 284.0 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 114, + 284.0, + 497, + 318.0 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 331, + 505, + 365 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 331, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 505, + 344 + ], + "score": 1.0, + "content": "Figure 3: Plotting average classification accuracy of various methods against no. training epochs on", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 342, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 106, + 342, + 505, + 354 + ], + "score": 1.0, + "content": "heterogeneous tasks derived from (a) MNIST dataset; and (b) CIFAR-10 dataset. Figure (c) compares", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 354, + 484, + 366 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 484, + 366 + ], + "score": 1.0, + "content": "cumulative running time of various methods against no. training epochs on CIFAR-10 dataset.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 384, + 505, + 473 + ], + "lines": [ + { + "bbox": [ + 105, + 384, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 506, + 398 + ], + "score": 1.0, + "content": "On the MNIST dataset (Fig. 3b), all methods eventually converge to a similar performance. Among", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "spans": [ + { + "bbox": [ + 106, + 396, + 505, + 408 + ], + "score": 1.0, + "content": "the NAS benchmarks, FEDPNAS and FEDDSNAS both converge slower than FEDAVG and start off", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 407, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 407, + 505, + 419 + ], + "score": 1.0, + "content": "with worse performance in early iterations, which is expected since FEDAVG does not have to search", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 418, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 505, + 430 + ], + "score": 1.0, + "content": "for the architecture and it is likely that the default architecture is sufficient for the MNIST task. On", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 427, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 427, + 505, + 442 + ], + "score": 1.0, + "content": "the other hand, we observe that both CA-FEDPNAS and CA-FEDDSNAS converge much faster", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 440, + 506, + 452 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 506, + 452 + ], + "score": 1.0, + "content": "than their counterparts without the context-aware operation sampler component. This shows that", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 450, + 507, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 507, + 464 + ], + "score": 1.0, + "content": "making use of contextual information helps to quickly locate regions of high-performing architectures,", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 462, + 221, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 221, + 474 + ], + "score": 1.0, + "content": "especially on similar inputs.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 384, + 507, + 474 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 478, + 505, + 556 + ], + "lines": [ + { + "bbox": [ + 105, + 477, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 477, + 506, + 492 + ], + "score": 1.0, + "content": "On the CIFAR-10 dataset (Fig. 3a), we instead observe significant gaps between the worst performing", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 489, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 506, + 502 + ], + "score": 1.0, + "content": "FEDAVG and other NAS methods. This is likely because the default architecture does not have", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 505, + 513 + ], + "score": 1.0, + "content": "sufficient learning capability, which confirms the need for customizing solutions. Among the NAS", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 511, + 506, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 506, + 524 + ], + "score": 1.0, + "content": "benchmarks, we again observe that both CA-FEDPNAS and CA-FEDDSNAS outperform their", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 521, + 507, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 507, + 536 + ], + "score": 1.0, + "content": "counterparts without our operation sampler, which confirms the intuition above. Most remarkably,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 533, + 507, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 507, + 546 + ], + "score": 1.0, + "content": "our proposed framework CA-FEDPNAS achieves the best performance (0.8) and significantly out-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 545, + 506, + 557 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 506, + 557 + ], + "score": 1.0, + "content": "performed both variants of federated DSNAS (0.71 for CA-FEDDSNAS and 0.63 for FEDDSNAS).", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 477, + 507, + 557 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 561, + 505, + 616 + ], + "lines": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 506, + 573 + ], + "score": 1.0, + "content": "Lastly, Fig. 3c shows the runtime comparison between three methods on the CIFAR-10 experiment.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 572, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 506, + 585 + ], + "score": 1.0, + "content": "In terms of sampling time, we observe that there is negligible overhead incurred by using our", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 582, + 505, + 596 + ], + "spans": [ + { + "bbox": [ + 104, + 582, + 505, + 596 + ], + "score": 1.0, + "content": "context-aware sampler (CA-FEDDSNAS vs. FEDDSNAS). The time incurred by our update", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 594, + 505, + 607 + ], + "score": 1.0, + "content": "(CA-FEDPNAS) scales by a constant factor compared to CA-FEDDSNAS since we use exactly one", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 604, + 270, + 618 + ], + "spans": [ + { + "bbox": [ + 105, + 604, + 270, + 618 + ], + "score": 1.0, + "content": "extra forward/backward pass per update.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 33, + "bbox_fs": [ + 104, + 561, + 506, + 618 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 632, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 633, + 505, + 646 + ], + "spans": [ + { + "bbox": [ + 106, + 633, + 505, + 646 + ], + "score": 1.0, + "content": "On objectives with varying heterogeneity. We expand the above study by investigating respective", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 642, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 506, + 657 + ], + "score": 1.0, + "content": "performance of CA-FEDPNAS and FEDDSNAS on tasks with varying levels of heterogeneity. At", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 667 + ], + "score": 1.0, + "content": "low level of heterogeneity, we deploy these methods on 5 sets of slightly rotated MNIST images. At", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "high level of heterogeneity, we employ a more diverse set of transformations on MNIST images, such", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 262, + 690 + ], + "score": 1.0, + "content": "as hue jitter and large angle rotations of", + "type": "text" + }, + { + "bbox": [ + 262, + 677, + 278, + 687 + ], + "score": 0.89, + "content": "9 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 676, + 295, + 690 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 296, + 677, + 319, + 687 + ], + "score": 0.89, + "content": "- 9 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 676, + 506, + 690 + ], + "score": 1.0, + "content": ". Table 1 show the respective result of each task", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 701 + ], + "score": 1.0, + "content": "from these two settings. We observe that our method CA-FEDPNAS achieves better performance", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "on most tasks and the performance gaps on tasks with higher heterogeneity are more pronounced", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 149, + 722 + ], + "score": 1.0, + "content": "(i.e., up to", + "type": "text" + }, + { + "bbox": [ + 149, + 709, + 164, + 720 + ], + "score": 0.87, + "content": "7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "improvement on ROTATE 90 task). This clearly shows the importance of architecture", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 721, + 492, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 492, + 733 + ], + "score": 1.0, + "content": "personalization when the training tasks are significantly different and justifies our research goal.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40, + "bbox_fs": [ + 105, + 633, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 149, + 80, + 457, + 215 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 149, + 80, + 457, + 215 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 149, + 80, + 457, + 215 + ], + "spans": [ + { + "bbox": [ + 149, + 80, + 457, + 215 + ], + "score": 0.982, + "html": "
HETEROGENEITYTASKDESCRIPTIONFEDDSNASCA-FEDPNAS
LowROTATE -300.9470.978
ROTATE -150.9730.976
VANILLA0.9880.985
ROTATE 150.9860.987
ROTATE 300.9720.981
HIGHHUEJITTER-0.50.9660.978
HUEJITTER 0.50.9670.972
VANILLA0.9880.989
ROTATE -900.8920.932
ROTATE 900.8660.932
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ROTATE X denotes a rotation transformation of", + "type": "text" + }, + { + "bbox": [ + 336, + 235, + 349, + 245 + ], + "score": 0.86, + "content": "\\mathbf { X } ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 235, + 505, + 246 + ], + "score": 1.0, + "content": "on client data; VANILLA denotes the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 245, + 505, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 505, + 259 + ], + "score": 1.0, + "content": "original MNIST images; and HUEJITTER X denotes a hue jitter transformation of training images by", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 257, + 361, + 268 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 361, + 268 + ], + "score": 1.0, + "content": "a factor of X. The best performance in each row is in bold font.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 106, + 288, + 505, + 354 + ], + "lines": [ + { + "bbox": [ + 106, + 288, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 106, + 288, + 505, + 301 + ], + "score": 1.0, + "content": "On knowledge transfer to completely new tasks. Finally, we investigate a scenario where the", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 299, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 106, + 299, + 505, + 312 + ], + "score": 1.0, + "content": "architecture distributions discovered by CA-FEDPNAS and FEDDSNAS are required to generalize", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 310, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 310, + 505, + 323 + ], + "score": 1.0, + "content": "to completely unseen tasks. Particularly, we train both methods on five clients whose local data", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 104, + 320, + 505, + 335 + ], + "spans": [ + { + "bbox": [ + 104, + 320, + 390, + 335 + ], + "score": 1.0, + "content": "consist of 12000 slightly rotated CIFAR-10 images (i.e., in the range of", + "type": "text" + }, + { + "bbox": [ + 391, + 321, + 415, + 332 + ], + "score": 0.88, + "content": "\\pm 3 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 320, + 505, + 335 + ], + "score": 1.0, + "content": "), similar to the setting", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 330, + 506, + 345 + ], + "spans": [ + { + "bbox": [ + 105, + 330, + 506, + 345 + ], + "score": 1.0, + "content": "of the first experiment. During testing, however, we supply each local client with 2000 test images", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 343, + 466, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 343, + 363, + 356 + ], + "score": 1.0, + "content": "subjected to related but completely unseen transformations (i.e.,", + "type": "text" + }, + { + "bbox": [ + 364, + 343, + 380, + 353 + ], + "score": 0.86, + "content": "9 0 °", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 343, + 398, + 356 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 398, + 343, + 421, + 353 + ], + "score": 0.89, + "content": "- 9 0 ^ { \\circ }", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 343, + 466, + 356 + ], + "score": 1.0, + "content": "rotations).", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 106, + 360, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 106, + 360, + 506, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 506, + 371 + ], + "score": 1.0, + "content": "Our results are summarized in Table 2. First, we measure the performance of CA-FEDPNAS and", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 505, + 383 + ], + "score": 1.0, + "content": "FEDDSNAS without any weight retraining. When received no additional information from the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 381, + 506, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 506, + 394 + ], + "score": 1.0, + "content": "unseen tasks, both methods perform poorly as expected. While CA-FEDPNAS achieves better", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 393, + 506, + 406 + ], + "score": 1.0, + "content": "predictive accuracy, the performance gap in this scenario is negligible. To provide additional clues", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 404, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 505, + 416 + ], + "score": 1.0, + "content": "for adaptation, albeit minimal, we retrain the weights of each local model with 200 images rotated", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 415, + 506, + 427 + ], + "spans": [ + { + "bbox": [ + 105, + 415, + 506, + 427 + ], + "score": 1.0, + "content": "according to respective unseen task description. Here, the parameters of our operator sampler", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 426, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 506, + 438 + ], + "score": 1.0, + "content": "component, (and respectively, FEDDSNAS’s categorical distribution parameters), are frozen to", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 436, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 104, + 436, + 506, + 450 + ], + "score": 1.0, + "content": "gauge the quality of the learned architecture distributions. Our results show that, with only 100", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 447, + 505, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 471, + 460 + ], + "score": 1.0, + "content": "retraining iterations on limited data, CA-FEDPSNAS already outperforms FEDDSNAS", + "type": "text" + }, + { + "bbox": [ + 472, + 448, + 487, + 458 + ], + "score": 0.84, + "content": "5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 447, + 505, + 460 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 122, + 469 + ], + "score": 0.84, + "content": "8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 458, + 506, + 471 + ], + "score": 1.0, + "content": "improvement respectively on two unseen tasks). This implies that CA-FEDPNAS has more", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 106, + 470, + 505, + 482 + ], + "score": 1.0, + "content": "accurately capture the broad similarity of the task spectrum through the personalized architecture", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 480, + 497, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 497, + 493 + ], + "score": 1.0, + "content": "distribution, which requires minimal additional information to successfully adapt to unseen tasks.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 18.5 + }, + { + "type": "table", + "bbox": [ + 119, + 502, + 487, + 550 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 119, + 502, + 487, + 550 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 119, + 502, + 487, + 550 + ], + "spans": [ + { + "bbox": [ + 119, + 502, + 487, + 550 + ], + "score": 0.978, + "html": "
UNSEEN TASKDESCRIPTIONFEDDSNASCA-FEDPNASFEDDSNAS(RETRAINED)CA-FEDPNAS(RETRAINED)
ROTATE -900.545 ± 0.040.578 ± 0.090.699± 0.120.734 ± 0.17
ROTATE 900.553 ± 0.120.569 ± 0.060.673 ± 0.130.727 ± 0.22
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HETEROGENEITYTASKDESCRIPTIONFEDDSNASCA-FEDPNAS
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VANILLA0.9880.985
ROTATE 150.9860.987
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UNSEEN TASKDESCRIPTIONFEDDSNASCA-FEDPNASFEDDSNAS(RETRAINED)CA-FEDPNAS(RETRAINED)
ROTATE -900.545 ± 0.040.578 ± 0.090.699± 0.120.734 ± 0.17
ROTATE 900.553 ± 0.120.569 ± 0.060.673 ± 0.130.727 ± 0.22
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diff --git a/parse/dev/ex60CCi5GS/ex60CCi5GS.md b/parse/dev/ex60CCi5GS/ex60CCi5GS.md new file mode 100644 index 0000000000000000000000000000000000000000..f25b38824d89e17acf899ba2b174d51adb3b0723 --- /dev/null +++ b/parse/dev/ex60CCi5GS/ex60CCi5GS.md @@ -0,0 +1,272 @@ +# Debiasing Graph Neural Networks via Learning Disentangled Causal Substructure + +Shaohua Fan1,2∗, Xiao Wang1, Yanhu $\mathbf { M o } ^ { 1 }$ , Chuan Shi1†, Jian Tang2,3,4 † + +1Beijing University of Posts and Telecommunications, China 2 Mila - Québec AI Institute, Canada 3 HEC Montréal, Canada 4 CIFAR AI Research Chair {fanshaohua, xiaowang, moyanhu, shichuan}@bupt.edu.cn, jian.tang@hec.ca + +# Abstract + +Most Graph Neural Networks (GNNs) predict the labels of unseen graphs by learning the correlation between the input graphs and labels. However, by presenting a graph classification investigation on the training graphs with severe bias, surprisingly, we discover that GNNs always tend to explore the spurious correlations to make decision, even if the causal correlation always exists. This implies that existing GNNs trained on such biased datasets will suffer from poor generalization capability. By analyzing this problem in a causal view, we find that disentangling and decorrelating the causal and bias latent variables from the biased graphs are both crucial for debiasing. Inspired by this, we propose a general disentangled GNN framework to learn the causal substructure and bias substructure, respectively. Particularly, we design a parameterized edge mask generator to explicitly split the input graph into causal and bias subgraphs. Then two GNN modules supervised by causal/bias-aware loss functions respectively are trained to encode causal and bias subgraphs into their corresponding representations. With the disentangled representations, we synthesize the counterfactual unbiased training samples to further decorrelate causal and bias variables. Moreover, to better benchmark the severe bias problem, we construct three new graph datasets, which have controllable bias degrees and are easier to visualize and explain. Experimental results well demonstrate that our approach achieves superior generalization performance over existing baselines. Furthermore, owing to the learned edge mask, the proposed model has appealing interpretability and transferability.3 + +# 1 Introduction + +Graph Neural Networks (GNNs) have exhibited powerful performance on graph data with various applications [17, 35, 13, 9, 8]. One major category of applications are the graph classification task, such as molecular graph property prediction [15, 20, 44], superpixel graph classification [14], and social network category classification [46, 44]. It is well known that graph classification is usually determined by a relevant substructure, but not the whole graph structure [43, 26, 45]. For example, for MNIST superpixel graph classification task, the digit subgraphs are causal (i.e., deterministic) for labels [36]. The mutagenic property of a molecular graph depends on the functional groups (i.e., nitrogen dioxide $\left( \mathrm { N O } _ { 2 } \right)$ ), rather than the irrelevant patterns (i.e., carbon rings) [27]. Therefore, it is a fundamental requirement for GNNs to identify causal substructures, so as to make correct prediction. + +Ideally, when the graphs are unbiased, i.e., only the causal substructures are related with the graph labels, the GNNs are able to utilize such substructure to predict the labels. However, due to the uncontrollable data collection process, the graphs are inevitably biased, i.e., existing meaningless substructures spuriously correlates with labels. Taking a colored MNIST superpixel graph dataset in Sec. 3.1 as an example (illustrated in Fig. 1(a)), each category of digit subgraphs mainly correspond to one kind of color background subgraphs, e.g., digit 0 subgraph is related with red background subgraph. Therefore, the color background subgraph will be treated as bias information, which highly correlates with labels but does not determines them in the training set. Under this situation, will GNNs still stably utilize the causal substructure to make decision? + +To investigate the impact of bias on GNNs, we conduct an experimental investigation to demonstrate the impact of bias (especially in the severe bias scenarios) on the generalization capability of GNNs (Sec. 3.1). We find that GNNs actually utilize both bias and causal substructures to make prediction. However, with severer bias correlation, even bias substructure still could not exactly determine labels like causal substructure, GNNs majorly utilize bias substructure as shortcuts to make prediction, causing a large generalization performance degradation. Why this happens? We analyze the datagenerating process and model prediction mechanism behind the graph classification using a causal graph (Sec. 3.2). The casual graph illustrates that the observed graphs are generated by the causal and bias latent variables and existing GNNs could not distinguish the causal substructure from entangled graphs. How can we disentangle the causal and bias substructures from observed graphs, so that GNNs can only utilize the causal substructures to make stable prediction when severe bias appears? + +To address the question, two challenges need to be faced. 1) How to identify the causal substructure and bias substructure in the severe biased graphs? In the severe bias scenarios, bias substructure will be “easier to learn” for GNNs and finally dominate the prediction. Using the normal cross-entropy loss, like DIR [39], could not fully capture such aggressive property of bias. 2) How to extract the causal substructure from an entangled graph? The statistically causal substructure is usually determined by the global property of the entire graph population, rather than a single graph. When extracting causal substructure from a graph, we need to establish the relations among all the graphs. + +In this paper, we propose a novel debiasing framework for GNNs via learning Disentangled Causal substructure, called DisC. Given an input biased graph, we propose to explicitly filter edges into causal and bias subgraphs by a parameterized edge mask generator, whose parameters are shared across entire graph population. As a result, the edge masker is naturally capable to specify the importance for each edge and extract causal and bias subgraphs from a global view of the entire observations. Then, a “casual”-aware (weighted cross-entropy) loss and a “bias”-aware (generalized cross-entropy) loss are respectively utilized to supervise two functional GNN modules. Based on the supervision, the edge mask generator could generate corresponding subgraphs and the GNNs could encode corresponding subgraphs into their disentangled embeddings. With the disentangled embeddings, we randomly permute the latent vectors extracted from different graphs to generate more unbiased counterfactual samples in embedding space. The new generated samples still contain both causal and bias information, while their correlation has been decorrelated. In this time, there is only correlation between causal variables with labels, so that the model could concentrate on the true correlation between the causal subgraphs and labels. Our major contributions are as follows: + +• To our knowledge, we first study the generalization problem of GNNs in a more challenging yet practical scenario, i.e., the graphs are with severe bias. We systematically analyze the bias impact on GNNs from both experimental study and causal analysis. We find that the bias substructure, compared with causal substructure, is much easier to dominate the training of GNNs. • To debias GNNs, we develop a novel GNN framework for disentangling causal substructure, which is flexible to build upon various GNNs for improving generalization ability while enjoying inherent interpretability, robustness and transferability. • We construct three new datasets with various properties and controllable bias degrees, which can better benchmark the new problem. Our model outperforms the corresponding base models with a large margin (from $4 . 4 7 \%$ to $1 6 9 . 1 7 \%$ average improvements). Various investigation studies demonstrate that our model could discover and leverage causal substructure for prediction. + +# 2 Related Works + +Generalization of GNNs in wild environments. Most existing GNN methods are proposed under the IID hypothesis, i.e., training and testing set are independently sampled from the identical distribution [34, 17, 35, 13, 24]. However, in reality, thus ideal assumption is hard to be satisfied. Recently, several methods have been proposed to improve the generalization ability of GNNs in wild OOD environments. Several works [29, 7, 38] study the OOD problem of node classification. For OOD graph classification task, StableGNN [6] propose to learn the stable causal relationship in graphs. OOD-GNN [22] propose to constrain each dimension of learned embedding to be independent. DIR [39] discovers the invariant rationales for generalizing GNNs. Although they have achieved better OOD performance, they are not designed for the datasets with severe bias, which is more challenging for guaranteeing the generalization ability of GNNs. + +Disentangled graph neural networks. Recently, there are a couple of methods that study the disentangled GNNs. DisenGCN [28] utilizes neighbourhood routing mechanism to divide the neighbours of the node into several mutually exclusive parts. IPGDN [25] promotes DisenGCN by constraining the different parts of the embedding feature to be independent. DisenGCN and IPGDN are node-level disentanglement, thus FactorGCN [42] considers the whole graph information and disentangles the target graph into several factorized graphs. Despite results of the previous works, they do not consider disentangling the causal and bias information for graphs. + +General debiasing methods. Recently, debiasing problem has drawn much attention in machine learning community [16, 23, 33, 1, 2, 11]. One category of these methods is pre-defining a certain bias type explicitly to mitigate [16, 23, 33, 1, 37]. For example, Wang et al. [37] and Bahng et al. [1] design a texture- and color-guided model to adversarially train a debiased neural network against the biased one. Instead of defining certain types of bias, recent approaches [30, 5, 21] rely on the straightforward assumption that models are prone to exploit the bias as shortcuts to make prediction [10]. In the line with the recent studies, our study belongs to the second category. However, most of existing methods are designed for image datasets and could not effectively extract causal substructure from graph data. Distinctly, we first study the severe bias problem on graph data, and our method could effectively extract causal substructure from graph data. + +![](images/c2cd979b0472bec0aeb4ad871bccbf93e7ecb651572210a690085fba8ecfe079.jpg) +Figure 1: Example graphs of CMNIST-75sp and the performance of GNNs on this dataset. + +# 3 Preliminary Study and Analysis + +In this section, we first illustrate the existing GNNs tend to exploit the bias substructure as shortcuts for prediction through a motivating experiment. Then we analyze the prediction process of GNNs in causal view. Based on this causal view, it motivates our solution to relieve the impact of bias. + +# 3.1 Motivating Example + +To measure the generalization ability of GNNs with the effect of bias, we construct a graph classification dataset with controllable bias degrees, called CMNIST-75sp. We first construct a biased MNIST image dataset like [1], where each category of digit highly correlates with a pre-defined color in their background. For example, in the training set, $90 \%$ of 0 digits are with red background (i.e., biased samples), and remaining $10 \%$ images are with random background color (i.e., unbiased samples), whose the bias degree is 0.9 in this situation. We consider four bias degrees $\{ 0 . 8 , 0 . 8 5 , 0 . 9 , \bar { 0 } . 9 5 \}$ + +For the testing set, we construct both biased testing set and unbiased testing set. The biased testing set has the same bias degree with training set, aiming to measure the extent of models relying on bias. The unbiased testing set, where the digit labels uncorrelate with the background colors, aims to test whether the model could utilize the inherent digit signals for prediction. Note that training set and testing set have the same pre-defined color set. Then, we convert the biased MNIST images into superpixel graphs with at most 75 nodes each graph using [18], where the edges are constructed by the KNN method based on the 2D coordinates of superpixels and node features are the concatenation of coordinates and average color of superpixels. Each graph is labeled by its digit class, so that its digital subgraph is deterministic for label and background subgraph is spuriously correlated with labels but not deterministic. The examples of graphs are illustrated in Fig. 1(a). + +We perform three popular GNN methods: GCN [17], GIN [41], and GCNII [3] on CMNIST-75sp and the results are shown in Fig. 1(b). The same color of dashed line and solid line represent the results of the corresponding methods on the biased testing set and the unbiased testing set respectively. Overall, the GNNs achieve much better performance on biased testing set than unbiased testing set. The phenomenon indicates that although GNNs could still learn some causal signals for prediction, the unexpected bias information is also being utilized for prediction. More specifically, with bias degree becoming larger, the performance of GNNs on biased testing set is increased and the value of accuracy is nearly in line with the bias degree, while the performance on unbiased testing drops dramatically. Hence, although causal substructure could determine labels perfectly, in severe bias scenarios, the GNNs lean to utilize the easier to learn bias information to make prediction rather than the inherent causal signals, and bias substructure will finally dominate the prediction. + +![](images/67725338102b285105a9f763243a8f05b40474959212b3e04391679918f3ad6a.jpg) +(a) SCM of the union of the (b) SCM of our debiasing GNN data generation and the existing method. GNNs’ prediction process. + +Figure 2: SCMs. Grey and white variables represent unobserved and observed variables, respectively. + +# 3.2 Problem Analysis + +Debiasing GNNs for unbiased prediction requires understanding the natural mechanisms of graph classification task. We present a causal view of the union of the data-generating process and the model prediction process behind the task. Here we formalize the causal view as a Structure Causal Model (SCM) or causal graph [12, 31] by inspecting on the causalities among five variables: unobserved causal variable $C$ , unobserved bias variable $B$ , observed graph $G$ , graph embedding $E$ , and ground truth label / prediction $Y ^ { 4 }$ . Fig. 2(a) illustrates the SCM, where each link denotes a causal relationship. + +• $C \right. G \left. B$ . The observed graph data is generated by two unobserved latent variables: the causal variable $C$ and the bias variable $B$ , such as digit subgraphs and background subgraphs in the CMNIST-75sp dataset. And all bellow relations are illustrated by CMNIST-75sp. • $C Y$ . This link means that the causal variable $C$ is the only endogenous parent to determine the generation of ground-truth label $Y$ . For example, $C$ is the oracle digit subgraph, which exactly explains why the label is labeled as $Y$ . • $C \ \ B$ . This link indicates the spurious correlation between $C$ and $B$ . Such probabilistic dependencies is usually caused by the direct cause or unobserved confounder [32]. Here we do not distinguish these scenarios and only observe the spurious correlation between $B$ and $C$ , such as the spurious correlation between the color background subgraphs and digit subgraphs. + +• $G E Y$ . Existing GNNs usually learn the graph embedding $E$ based on the observed graph $G$ and make the prediction $Y$ based on the learned embedding $E$ . + +According to the SCM, GNNs will utilize both information to make prediction. As bias substructure (e.g., background subgraph) usually has simpler structure than meaningful causal substructure (e.g., digit subgraph), if GNN utilizes such simple substructure, it could achieve low loss very fast. Hence, GNN inclines to utilizes bias information when most graphs are biased. Based on the SCM in Fig. 2(a), according to $d$ -connection theory [31] (see App. A): two variables are dependent if they are connected by at least one unblocked path, we could find two paths that would induce the spurious correlation between the bias variable $B$ and label $Y$ : (1) $\mathbf { B } \mathbf { G } \mathbf { E } \mathbf { Y }$ and (2) $\mathbf { B } \left. \bar { \mathbf { C } } \right. \mathbf { Y }$ . To make the prediction $Y$ being uncorrelated with the bias $B$ , we need to intercept the two unblocked paths. For this purpose, we propose to debias GNNs in causal view, as in Fig. 2(b). + +• $C \left. G \right. B$ and $C Y$ . To intercept the path (1), we should disentangle the latent variables $C$ and $B$ from the observed graph $G$ and make prediction only based on the causal variable $C$ . • $C \ l \ l \textsc { - } B$ . To intercept the path (2), as we cannot change the link between $C$ and $Y$ , one possible solution is to make $C$ and $B$ uncorrelated. + +# 4 Methodology + +Motivated by the above causal analysis, in this section, we present our proposed debiasing GNN framework DisC, to remove the spurious correlation. The overall framework is shown in Fig. 3. First, an edge mask generator is learnt to mask the edges of original input graphs into causal subgraphs and bias subgraphs. Second, two separate GNN modules with their corresponding masked subgraphs are trained to encode corresponding causal substructure and bias substructure into disentangled representations, respectively. Last, after the disentangled representations are well-trained, we permute the bias representations among the training graphs to generate counterfactual unbiased samples, so that the correlation between causal representations and bias representations is removed. + +![](images/bcb625f1dae058895f389fa7bde99c8f6e961d0b84a718b48473b2ff85e97e50.jpg) +Figure 3: The overall framework of DisC. + +# 4.1 Causal and Bias Substructure Generator + +Given a mini-batch of biased graphs ${ \mathcal { G } } = \{ G _ { 1 } , \cdots , G _ { n } \}$ , our idea is that: we take a collection of graph instances and design a generative probabilistic model to learn to mask the edges into causal subgraph or bias subgraph. Particularly, given a graph $G = \left\{ \mathbf { A } , \mathbf { X } \right\}$ , where $\mathbf { A }$ is the adjacency matrix and $\mathbf { X }$ is the node feature matrix, we utilize a multi-layer perceptron (MLP) upon the concatenation of node features $\mathbf { x } _ { i }$ of node $i$ and $\mathbf { x } _ { j }$ of node $j$ to measure the importance of edge $( i , j )$ for causal subgraph: + +$$ +\alpha _ { i j } = \mathbf { M L P } ( [ \mathbf { x } _ { i } , \mathbf { x } _ { j } ] ) . +$$ + +Then a sigmoid function $\sigma ( \cdot )$ is employed to project $\alpha _ { i j }$ into the range of (0,1), which indicates the probability of edge $( i , j )$ being the edge in the causal subgraph as follows: + +$$ +c _ { i j } = \sigma ( \alpha _ { i j } ) . +$$ + +Naturally, we could get the probability of edge $( i , j )$ being the edge in the bias subgraph by: $b _ { i j } = 1 - c _ { i j }$ . Now we could construct the causal edge mask $\mathbf { M } _ { c } \bar { \mathbf { \eta } } = \left[ c _ { i j } \right]$ and bias edge mask $\begin{array} { r } { \mathbf { M } _ { b } = [ b _ { i j } ] } \end{array}$ . Finally, we decompose the original graph $G$ into causal subgraph $G _ { c } = \{ \mathbf { M } _ { c } \odot \mathbf { A } , \mathbf { X } \}$ and bias subgraph $G _ { b } = \{ { \bf M } _ { b } \odot { \bf A } , { \bf X } \}$ . Intuitively, the edge mask could highlight different part of structure information of original graphs, thus GNNs built on the different subgraphs could encode different parts of graph information. Moreover, the mask generator has two advantages. (1) Global view: In individual graph level, the mask generator (i.e., MLP), whose parameters are shared by all the edges in a graph, take a global view of all the edges in a graph, which enables us to identify community in graph. It is well known that the effect of an edge cannot be judged independently, because edges usually collaborate with each other, forming a community, to make prediction. Thus, it is critical to evaluate an edge in a global view. In whole graph population level, the mask generator takes a global view of all the graphs in the training set, which enables us to identify causal/bias subgraph. Particularly, as the causal/bias is the statistical information in the population level, it is necessary to view all the graphs to identify the causal/bias substructure. Considering both such coalition effects and population-level statistical information, the generator is able to measure the importance of edges more accurately. (2) Generalization: The mask generator can generalize the mechanism of mask generation to new graphs without retraining, so it is capable and efficient to prune unseen graphs. + +# 4.2 Learning Disentangled Graph Representations + +Given $G _ { c }$ and $G _ { b }$ , how to ensure they are causal subgraph and bias subgraph, respectively? Inspired by [21], our approach simultaneously trains a pair of GNNs $( g _ { b } , g _ { c } )$ with linear classifiers $( C _ { b } ^ { - } , C _ { c } )$ as follows: (1) Motivated by the observation in Sec. 3.1 that bias substructure is easier to learn, we utilize a bias-aware loss to train a bias $\mathrm { G N N } g _ { b }$ and a bias classifier $C _ { b }$ and (2) in contrast, we train a causal $\mathrm { G N N } _ { g _ { c } }$ and a causal classifier $C _ { c }$ on the training graphs that the bias GNN struggles to learn. Next, we would present each component in detail. + +As shown in Fig. 3, GNN $g _ { c }$ and $g _ { b }$ embed the corresponding subgraphs into causal embedding $z _ { c } = g _ { c } ( G _ { c } ; \gamma _ { c } )$ and bias embedding $z _ { b } = g _ { b } ( G _ { b } ; \gamma _ { b } )$ , respectively, where $\gamma$ is the parameters of GNNs. Subsequently, concatenated vector $z = \left[ z _ { c } ; z _ { b } \right]$ is fed into linear classifiers $C _ { c }$ and $C _ { b }$ to predict the target label $y$ . To train $g _ { b }$ and $C _ { b }$ as bias extractor, we utilize the generalized cross entropy (GCE) [47] loss to amplify the bias of the bias GNN and classifier: + +$$ +G C E ( C _ { b } ( z ; \alpha _ { b } ) , y ) = \frac { 1 - C _ { b } ^ { y } ( z ; \alpha _ { b } ) ^ { q } } { q } , +$$ + +where $C _ { b } ( z ; \alpha _ { b } )$ and $C _ { b } ^ { y } ( z ; \alpha _ { b } )$ are softmax output of the bias classifier and its probability belonging to the target category $y$ , respectively, and $\alpha$ is the parameters of classifier. Here $q \in ( 0 , 1 ]$ is a hyperparameter that controls the degree of amplifying bias. Given $\theta _ { b } = [ \gamma _ { b } , \alpha _ { b } ]$ , the gradient of the GCE loss up-weights the gradient of the standard cross entropy (CE) loss for the samples with a high confidence $\dot { \boldsymbol { C } } _ { b } ^ { y }$ of predicting the correct target category as follows: + +$$ +\frac { \partial G C E ( C _ { b } ( z ; \alpha _ { b } ) , y ) } { \partial \theta _ { b } } = ( C _ { b } ^ { y } ) ^ { q } \frac { \partial C E ( C _ { b } ( z ; \alpha _ { b } ) , y ) } { \partial \theta _ { b } } . +$$ + +Therefore, compared with CE loss, GCE loss will amplify the gradients of $\theta _ { b }$ on samples by the confidence score $( C _ { b } ^ { y } ) ^ { q }$ . Based on our observation that the bias information is usually easier to be learned, so the biased graphs will have higher $( C _ { b } ^ { y } ) ^ { q }$ than unbiased graphs. Therefore, the model $g _ { b }$ and $C _ { b }$ trained by GCE loss will focus on bias information and finally get the bias subgraph. Note that, to ensure that $C _ { b }$ predicts target labels mainly based on this $z _ { b }$ , the loss from $C _ { b }$ is not backpropagated to $g _ { c }$ , i.e., only update $\theta _ { b }$ in Eq. (4), and vice versa. + +Meanwhile, we also train a causal GNN simultaneously with the weighted CE loss. The graphs with high CE loss from $C _ { b }$ can be regarded as the unbiased samples compared with the samples with low CE loss. In this regard, we could obtain the unbias score of each graph as + +$$ +W ( z ) = \frac { C E ( C _ { b } ( z ) , y ) } { C E ( C _ { c } ( z ) , y ) + C E ( C _ { b } ( z ) , y ) } . +$$ + +Large value of $W$ implies the graph is an unbiased sample, hence we could use these weights to reweight the loss of these graphs to train $g _ { c }$ and $C _ { c }$ , enforcing them to learn the unbiased information. Thus, the objective function for learning disentangled representation is: + +$$ +L _ { D } = W ( z ) C E ( C _ { c } ( z ) , y ) + G C E ( C _ { b } ( z ) , y ) . +$$ + +# 4.3 Counterfactual Unbiased Sample Generation + +Until now, we have achieved the first goal analyzed in Sec. 3.2 that is the disentanglement of causal and bias substructures. Next, we will show how to achieve the second goal that makes the causal variable $z _ { c }$ and bias variable $z _ { b }$ uncorrelated. Although we have disentangled causal and bias information, they are disentangled from the biased observed graphs. Hence, there will exist statistical correlation between causal and bias variables inheriting from the biased observed graphs. To further decorrelate $z _ { c }$ and $z _ { b }$ , according to the causal relation of data-generating process: $C \right. G \left. B$ , we propose to generate the counterfactual unbiased samples in embedding space by swapping $z _ { b }$ . More specifically, we randomly permute bias vectors in each mini-batch and obtain $z _ { u n b i a s e d } = [ z _ { c } ; \hat { z _ { b } } ] .$ where $\hat { z _ { b } }$ represents the randomly permuted bias vectors of $z _ { b }$ . As $z _ { c }$ and $\hat { z } _ { b }$ in $z _ { u n b i a s e d }$ are randomly combined from different graphs, they will have much less correlation than $\boldsymbol { z } = \left[ z _ { c } ; z _ { b } \right]$ where both are from the same graph. To make $g _ { b }$ and $C _ { b }$ still focus on the bias information, we also swap label $y$ as $\hat { y }$ along with $\hat { z _ { b } }$ , so that the spurious correlation between $\hat { z _ { b } }$ and $\hat { y }$ still exists. With the generated unbiased samples, we utilize the following loss function to train two GNN modules: + +$$ +{ \cal L } _ { G } = W ( z ) C E ( C _ { c } ( z _ { u n b i a s e d } ) , y ) + G C E ( C _ { b } ( z _ { u n b i a s e d } ) , \hat { y } ) , +$$ + +Together with the disentanglement loss, total loss function is defined as: + +$$ +{ \cal L } = { \cal L } _ { D } + \lambda _ { G } { \cal L } _ { G } , +$$ + +where $\lambda _ { G }$ is a hyperparameter for weighting the importance of generation component. Moreover, training with more diverse samples would also benefit with better generalization on unseen testing scenarios. Our approach is summarized in App. B. Note that, as we need well-disentangled representations to generate the high-quality unbiased samples, in the early stage of training, we only train the model with $L _ { D }$ . After certain epochs, we train the model with $L$ . + +# 5 Experiment + +Datasets. We construct three datasets with various properties and bias ratios to benchmark this new problem, where the datasets have clear causal subgraphs making the results explainable. Following CMNIST-75sp introduced in Sec. 3.1, we use the similar way to construct CFashion-75sp and CKuzushiji-75sp datasets based on the Fashion-MNIST [40] and Kuzushiji-MNIST [4] datasets. As the causal subgraphs of these two datasets are more complicated (fashion product and hiragana characters), they are more challenging. Due to the page limits, here we set bias degrees as $\{ 0 . 8 , 0 . 9 , 0 . 9 5 \}$ . We report the main results on unbiased test sets. Details are in App. C.1. + +Baselines and experimental setup. As DisC is a general framework which could be built on various base GNN models, we select three popular GNNs: GCN [17], GIN [41], and GCNII [3]. The corresponding models are termed as $\mathrm { D i s C } _ { G C N }$ , $\mathrm { D i s C } _ { G I N }$ and $\mathrm { D i s C } _ { G C N I I }$ , respectively. Hence, base models are the most straight baselines. Another kind of baselines are the causal-inspired GNN method DIR [39] and StableGNN [6]. We also compare against a general debiasing method LDD [21] by replacing its encoder with GNNs. Graph Pooling method DiffPool [44] and graph disentangling method FactorGCN [42] are also compared. To keep fair comparison, our model uses the same GNN architecture and hyperparameters with the corresponding base model. All the experiments are run 4 times with different random seeds and we report the accuracy and the standard error. More details are in App. C.2. + +# 5.1 Quantitative Evaluation + +Main results. The overall results are summarized in Table 1, and we have following observations: + +(1) DisC has much better generalization ability than base models. DisC outperforms the corresponding base model consistently with a large margin. With heavier biases, our model achieves larger improvements over base models. Specifically, for CMNIST-75sp, CFashion-75sp and CKuzushiji-75sp with smaller bias degree (i.e., 0.8), our model achieves $4 0 . 0 2 \%$ , $4 . 4 7 \%$ and $2 9 . 8 2 \%$ average improvements over corresponding base models, respectively. Surprisingly, with severer biases (0.9 and 0.95), DisC achieves $1 6 9 . 1 7 \%$ , $1 4 . 6 7 \%$ and $4 9 . 3 5 \%$ average improvements over base models on three datasets, respectively. It indicates that the proposed method is a general framework helping existing GNNs against the negative impact of bias. + +(2) DisC significantly outperforms existing debiasing methods. We notice that DIR could not achieve satisfying results. The reason is that DIR utilizes CE loss to extract bias information, which could not fully capture the property of bias in severe bias scenarios. And DIR sets one fixed threshold to spilt subgraphs, which is suboptimal. StableGNN outperforms their base model DiffPool and achieve competitive results, indicating the effectiveness of their proposed causal variable distinguishing regularizer. However, their framework adjusts data distribution based on the original dataset, it is hard to generate unbiased distribution when the unbiased samples are scarce. DisC could generate more unbiased samples based on the disentangled representations. Moreover, LDD is a general debiasing method which is not designed for graph data. DisC outperforms corresponding LDD variants with average $2 3 . 1 5 \%$ , indicating that the seamless joint of global-population-aware edge masker with debiasing disentangle framework is very effective. + +Table 1: Graph classification accuracy evaluated on unbiased testing sets, which have same color (bias) set with training set. The best performance within each base model variant is in bold. + +
Dataset BiasCMNIST-75spCFashion-75spCKuzushiji-75sp
0.80.90.950.80.90.950.80.90.95
FactorGCN [42]72.30±1.1862.35±5.0742.50±4.9161.23±1.1153.50±1.2945.78±2.4042.87±1.1932.35±2.7923.87±0.12
DiffPool [44]73.79±0.0266.45±0.7847.12±1.0462.82±0.5357.50±0.3950.86±0.2045.46±0.6536.18±0.1927.45±0.26
DIR [39]9.98±0.339.96±0.2310.03±0.2713.02±1.9212.80±1.6711.98±1.4110.35±0.3210.72±0.2710.59±0.46
StableGNN [6]77.65±1.6468.87±1.7451.33±0.8764.03±0.2958.26±0.0951.46±0.3949.41±0.0939.30±0.1228.26±0.14
LDDGCN[21]64.95±1.2256.65±2.1846.83±2.8863.85±1.1764.30±0.8962.28±0.4842.38±0.3338.75±0.4933.08±0.59
LDDGIN[21]64.88±1.4550.59±1.0731.23±2.4864.65±0.6357.10±0.4353.38±0.4737.83±0.5428.97±0.1822.13±0.34
LDDGCNII [21]78.03±0.6669.53±0.9651.05±3.8750.63±1.7954.09±2.5457.93±0.8848.70±1.9841.59±1.0733.93±0.71
GCN[17]50.43±4.1328.97±4.413.50±1.3863.60±0.5357.22±0.9347.69±0.4238.45±1.128.35±0.7920.70±0.88
DisCGCN82.60±0.9378.14±2.1463.47±5.6566.85±1.1165.33±4.7063.93±1.5055.53±2.2948.13±2.5936.63±1.73
GIN [41]57.75±0.7836.78±5.5516.04±1.1464.25±0.4658.03±0.4049.74±0.6041.83±0.7830.09±0.8721.18±1.63
DisCGIN82.10±1.5074.90±1.8158.58±4.2467.10±1.0759.90±1.3155.80±0.3655.18±1.0041.75±0.8130.25±1.63
GCNII [3]69.70±1.7357.68±1.6841.00±3.7566.68±0.5960.58±0.2853.18±0.0848.53±0.2536.23±0.2025.60±0.76
DisCGCNII79.50±2.4876.00±1.9060.54±5.3366.47±1.7765.48±0.7061.75±0.2754.90±1.3044.73±1.5536.95±0.70
+ +Ablation studies. To validate the importance of each module in our method, in Fig. 4, we conduct ablation studies on our variants (w.o. G means without the sample generation module) and the related variants of LDD. The major difference between DisC/w.o. G with LDD /w.o. G is the edge mask module. In most cases, DisC/w.o. G significantly outperforms LDD /w.o. G, indicating the necessity of learning edge mask for graph data. And DisC which has counterfactual sample generation module could further boost the performances based on the disentangled embeddings of DisC/w.o. G. However, LDD seldomly outperforms LDD /w.o. G or even achieves worse performances. That is, generating high-quality counterfactual samples needs well-disentangled causal and bias embeddings. If embeddings are not well-disentangled, counterfactual samples may act as noisy samples, which would prevent models from achieving further improvement. The edge masker could help the model generate well-disentangled embeddings, which is crucial for overall performance. + +![](images/a0e110950764af9cb15bcd44f9149686964d2d2dbbc914f554282cc321f7d710.jpg) +Figure 4: Ablation studies of the DisC vs. LDD average over three bias degrees of each dataset. + +Robustness on unseen bias. Table 2 reports the results of DisC compared with its corresponding base models on testing set with unseen bias, i.e., the pre-defined color (bias) sets of training set and testing set are disjoint. The performances of base models further drop compared with the results on seen bias scenario in Table 1. However, our model still achieves very stable performances, fully demonstrating the generalization ability of our model on agnostic bias scenario. + +Hyperparameter experiments Fig. 5 is the hyperparameter experiments of the degree of amplifying bias $q$ in GCE loss and the importance of generation component $\lambda _ { G }$ . For $q$ , we fix $\lambda _ { G } = 1 0$ and vary $q$ from $\{ 0 . 1 , 0 . 3 , 0 . 5 , 0 . 7 , 0 . 9 \}$ . For $\lambda _ { G }$ , we fix $q = 0 . 7$ and vary $\lambda _ { G }$ from $\{ 1 , 5 , 1 0 , 1 5 \}$ . From the results, we can see that our model achieves stable performance across different values of $q$ and $\lambda _ { G }$ . When $q = 0 . 1$ , it means the GCE loss will nearly reduce to normal CE loss. We can see the performance of $\mathrm { D i s C } _ { G C N }$ is worse than other scenarios, demonstrating the effectiveness of utilizing GCE loss. + +Table 2: The results on unseen unbiased testing sets, i.e., the color has not been seen in training set. + +
Dataset BiasCMNIST-75spCFashion-75spCKuzushiji-75sp
0.80.90.950.80.90.950.80.90.95
DIR10.38±0.2810.14±0.409.77±0.1816.77±1.7116.51±3.2012.59±1.6110.48±0.3410.33±0.7510.59±0.95
GCN36.88±5.1623.07±4.0711.88±0.3359.33±0.5553.65±0.4745.60±1.0636.35±0.4827.88±0.9419.95±0.67
DisCGCN82.73±1.3177.70±0.8765.48±0.7667.9±1.4568.28±0.1863.77±1.3757.80±2.3851.60±0.4141.60±3.94
GIN48.93±2.9934.95±0.8614.53±0.9758.88±0.5753.80±0.5248.43±0.6939.25±0.5730.75±1.4522.35±0.86
DisCGIN77.80±1.3373.00±0.6158.80±1.6667.15±0.7959.98±0.6251.70±0.3455.47±0.98 43.20±1.36 31.33±1.71
GCNII53.50±6.2345.52±2.2632.6±5.6658.85±1.8953.98±0.8546.97±1.3839.93±0.8830.33±1.1723.09±1.83
DisCGCNII79.65±2.1376.63±1.3860.00±5.6660.50±2.77 63.05±2.2561.78±1.6056.23±3.4549.10±2.0541.05±0.11
+ +![](images/8e496cbb6ae8e9942e5b95edadf4f703867ebb55af480ec526acdfcf4e3dab1a.jpg) +Figure 5: The hyperparameter experiments of $q$ and $\lambda _ { G }$ + +# 5.2 Qualitative Evaluation + +Visualization of edge mask. To better illustrate the significant causal and bias subgraphs extracted by $\mathrm { D i s C } _ { G C N }$ , we visualize the original images, original graph, and corresponding causal subgraph and bias subgraph of CMNIST-75sp with 0.9 bias degree in Fig. 6, where the width of edge represents the value of learned weight $c _ { i j }$ or $b _ { i j }$ . Fig. 6(a) shows the visualization results of testing graphs with the bias (color) that has been seen in the training set. As we can see, our model could discover the causal subgraphs where the most salient edges are in the digital subgraphs. With these causal subgraphs that highlight the structure information of digital, the GNNs will more easily extract this causal information. Fig. 6(b) shows the visualization results of testing graphs with unseen bias. According to the visualization, our model could still discover the causal subgraph outline, indicating our model could recognize causal subgraphs, whether the bias is seen or unseen. The visualization results of CFashion-75sp and CKuzushiji-75sp are shown in App. D. + +![](images/c8175449c2701658e4017be825905cdeb3e231c2d6376d79873c1c752212b81e.jpg) +OriginalimageOriginal graph Causalsubgraph BiasedsubgraphOriginalimageOriginal graph CausalsubgraphBiased subgraph +Figure 6: Visualization of subgraphs extracted by DisC. The width of edge is edge weight $c _ { i j }$ or $b _ { i j }$ + +Projection of disentangled representation. Fig. 7 shows the projection of latent vectors $z _ { c }$ and $z _ { b }$ extracted from the causal GNN $g _ { c }$ and bias GNN $g _ { b }$ of $\mathrm { D i s C } _ { G C N }$ , respectively, using t-SNE [19] on + +![](images/221d0d59bdbf86e2589c0ab453c12e80f215382da65ad5e2230b4b84b9a9acaa.jpg) +Figure 7: Visualization of $z _ { c }$ and $z _ { b }$ with colors labeled by the digit and bias (color) labels. We observe that $z _ { c }$ and $z _ { b }$ are well clustered according to the groundtruth labels and bias labels, respectively. + +CMNIST-75sp. Fig. 7 (a-b) are the projections of $z _ { c }$ labeled by the target labels (digit) and bias labels (color), respectively. Fig. 7 (c-d) are the projections of $z _ { b }$ labeled by the target labels and bias labels, respectively. We observe that $z _ { c }$ are clustered according to the target labels while $z _ { b }$ are clustered with the bias labels. And $z _ { c }$ are mixed with bias labels and $z _ { b }$ are mixed with target labels. The results indicate that DisC successfully learns the disentangled causal and bias representations. + +Transferability of the learned mask. As our model could extract GNN-independent subgraphs, the learning edge weights can be used to purify original biased graphs. These sparse subgraphs represent significant semantic information and can be universally transferred to any GNNs. To validate this point, we learn the edge mask by $\mathrm { D i s C } _ { G C N }$ and prune the edges with least $\{ 0 \% , 2 0 \% , 4 0 \% , 6 0 \% \}$ weights while keeping the remaining edge weights. Then we train vanilla GIN and GCNII on these weighted pruned datasets. Fig. 8 is the comparison of the results, where the dashed lines represent the results of base model on original biased graphs and the solid lines represent the performance of GNNs on weighted pruned datasets. The results show that the GNNs trained on the pruned datasets achieve better performances, indicating our learned edge mask has considerable transferability. + +![](images/18fa05e618bc66f5ba05c2bab230902cd658bb98fb76ae415b1a2efbc238f5f0.jpg) +Figure 8: Performance of GIN and GCNII on the weighted pruned graphs found by $\mathrm { D i s C } _ { G C N }$ . + +# 6 Conclusion + +In this paper, we are first to study the generalization problem of GNNs on severe bias datasets, which is crucial to study the transparently knowledge learning mechanism of GNNs. We analyze the problem in a causal view that the generalization of GNNs will be hindered by entangled representations as well as the correlation between causal and bias variables. To remove the impact from these two aspects, we propose a general disentangling framework, DisC, which extracts causal substructure and bias substructure by two different functional GNNs, respectively. After the representations are well-disentangled, we proliferate the counterfactual unbiased samples by randomly swapping the disentangled vectors. With the new constructed benchmarks, we clearly validate the effectiveness, robustness, interpretability, and transferability of our method. + +# Acknowledgments and Disclosure of Funding + +This work is supported in part by the National Natural Science Foundation of China (No. U20B2045, 62192784, 62172052, 62002029, 62172052, U1936014). This work is also partially supported by the Natural Sciences and Engineering Research Council (NSERC) Discovery Grant, the Canada CIFAR AI Chair Program, collaboration grants between Microsoft Research and Mila, Samsung Electronics Co., Ltd., Amazon Faculty Research Award, Tencent AI Lab Rhino-Bird Gift Fund and a NRC Collaborative R&D Project (AI4D-CORE-06). This project was also partially funded by IVADO Fundamental Research Project grant PRF-2019- 3583139727. The work of Shaohua Fan is supported by the China Scholarship Council (No.202006470078). The computation resource of this project is supported by Compute Canada . + +References +[1] Hyojin Bahng, Sanghyuk Chun, Sangdoo Yun, Jaegul Choo, and Seong Joon Oh. Learning de-biased representations with biased representations. In ICML, 2020. [2] Remi Cadene, Corentin Dancette, Matthieu Cord, Devi Parikh, et al. Rubi: Reducing unimodal biases for visual question answering. In NeurIPS, 2019. +[3] Ming Chen, Zhewei Wei, Zengfeng Huang, Bolin Ding, and Yaliang Li. Simple and deep graph convolutional networks. In ICML, 2020. [4] Tarin Clanuwat, Mikel Bober-Irizar, Asanobu Kitamoto, Alex Lamb, Kazuaki Yamamoto, and David Ha. Deep learning for classical japanese literature. arXiv preprint arXiv:1812.01718, 2018. +[5] Luke Darlow, Stanisław Jastrz˛ebski, and Amos Storkey. Latent adversarial debiasing: Mitigating collider bias in deep neural networks. arXiv preprint arXiv:2011.11486, 2020. 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[No] We could not foresee any potential negative societal impacts of our work. +(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] + +2. If you are including theoretical results... + +(a) Did you state the full set of assumptions of all theoretical results? [Yes] See Sec. 3.2. (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)? [Yes] We provide the URL of code and data for reproducing the main results. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] See Sec. 5 and App. C.2. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] See Sec. 5. +(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)? [Yes] See Sec. 5. + +4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... + +(a) If your work uses existing assets, did you cite the creators? [Yes] We construct new assets based on existing assets. We have cited them in Sec. 5. +(b) Did you mention the license of the assets? [Yes] See App. C. +(c) Did you include any new assets either in the supplemental material or as a URL? [Yes] We release new assets through a URL in Sec. 5. +(d) Did you discuss whether and how consent was obtained from people whose data you’re using/curating? [No] The source data for generating our data is publicly available. +(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [No] We do not have personally identifiable information or offensive content. + +5. If you used crowdsourcing or conducted research with human subjects... + +(a) Did you include the full text of instructions given to participants and screenshots, if applicable? [N/A] +(b) Did you describe any potential participant risks, with links to Institutional Review Board (IRB) approvals, if applicable? [N/A] +(c) Did you include the estimated hourly wage paid to participants and the total amount spent on participant compensation? [N/A] \ No newline at end of file diff --git a/parse/dev/ex60CCi5GS/ex60CCi5GS_content_list.json b/parse/dev/ex60CCi5GS/ex60CCi5GS_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..cafb421743db460de611e612c6688e75e98c1acd --- /dev/null +++ b/parse/dev/ex60CCi5GS/ex60CCi5GS_content_list.json @@ -0,0 +1,1167 @@ +[ + { + "type": "text", + "text": "Debiasing Graph Neural Networks via Learning Disentangled Causal Substructure ", + "text_level": 1, + "bbox": [ + 209, + 122, + 790, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Shaohua Fan1,2∗, Xiao Wang1, Yanhu $\\mathbf { M o } ^ { 1 }$ , Chuan Shi1†, Jian Tang2,3,4 † ", + "bbox": [ + 258, + 222, + 741, + 241 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1Beijing University of Posts and Telecommunications, China 2 Mila - Québec AI Institute, Canada 3 HEC Montréal, Canada 4 CIFAR AI Research Chair {fanshaohua, xiaowang, moyanhu, shichuan}@bupt.edu.cn, jian.tang@hec.ca ", + "bbox": [ + 200, + 242, + 799, + 320 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 356, + 535, + 372 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Most Graph Neural Networks (GNNs) predict the labels of unseen graphs by learning the correlation between the input graphs and labels. However, by presenting a graph classification investigation on the training graphs with severe bias, surprisingly, we discover that GNNs always tend to explore the spurious correlations to make decision, even if the causal correlation always exists. This implies that existing GNNs trained on such biased datasets will suffer from poor generalization capability. By analyzing this problem in a causal view, we find that disentangling and decorrelating the causal and bias latent variables from the biased graphs are both crucial for debiasing. Inspired by this, we propose a general disentangled GNN framework to learn the causal substructure and bias substructure, respectively. Particularly, we design a parameterized edge mask generator to explicitly split the input graph into causal and bias subgraphs. Then two GNN modules supervised by causal/bias-aware loss functions respectively are trained to encode causal and bias subgraphs into their corresponding representations. With the disentangled representations, we synthesize the counterfactual unbiased training samples to further decorrelate causal and bias variables. Moreover, to better benchmark the severe bias problem, we construct three new graph datasets, which have controllable bias degrees and are easier to visualize and explain. Experimental results well demonstrate that our approach achieves superior generalization performance over existing baselines. Furthermore, owing to the learned edge mask, the proposed model has appealing interpretability and transferability.3 ", + "bbox": [ + 233, + 390, + 766, + 683 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 710, + 310, + 728 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Graph Neural Networks (GNNs) have exhibited powerful performance on graph data with various applications [17, 35, 13, 9, 8]. One major category of applications are the graph classification task, such as molecular graph property prediction [15, 20, 44], superpixel graph classification [14], and social network category classification [46, 44]. It is well known that graph classification is usually determined by a relevant substructure, but not the whole graph structure [43, 26, 45]. For example, for MNIST superpixel graph classification task, the digit subgraphs are causal (i.e., deterministic) for labels [36]. The mutagenic property of a molecular graph depends on the functional groups (i.e., nitrogen dioxide $\\left( \\mathrm { N O } _ { 2 } \\right)$ ), rather than the irrelevant patterns (i.e., carbon rings) [27]. Therefore, it is a fundamental requirement for GNNs to identify causal substructures, so as to make correct prediction. ", + "bbox": [ + 174, + 743, + 825, + 842 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 92, + 823, + 119 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Ideally, when the graphs are unbiased, i.e., only the causal substructures are related with the graph labels, the GNNs are able to utilize such substructure to predict the labels. However, due to the uncontrollable data collection process, the graphs are inevitably biased, i.e., existing meaningless substructures spuriously correlates with labels. Taking a colored MNIST superpixel graph dataset in Sec. 3.1 as an example (illustrated in Fig. 1(a)), each category of digit subgraphs mainly correspond to one kind of color background subgraphs, e.g., digit 0 subgraph is related with red background subgraph. Therefore, the color background subgraph will be treated as bias information, which highly correlates with labels but does not determines them in the training set. Under this situation, will GNNs still stably utilize the causal substructure to make decision? ", + "bbox": [ + 174, + 126, + 825, + 250 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To investigate the impact of bias on GNNs, we conduct an experimental investigation to demonstrate the impact of bias (especially in the severe bias scenarios) on the generalization capability of GNNs (Sec. 3.1). We find that GNNs actually utilize both bias and causal substructures to make prediction. However, with severer bias correlation, even bias substructure still could not exactly determine labels like causal substructure, GNNs majorly utilize bias substructure as shortcuts to make prediction, causing a large generalization performance degradation. Why this happens? We analyze the datagenerating process and model prediction mechanism behind the graph classification using a causal graph (Sec. 3.2). The casual graph illustrates that the observed graphs are generated by the causal and bias latent variables and existing GNNs could not distinguish the causal substructure from entangled graphs. How can we disentangle the causal and bias substructures from observed graphs, so that GNNs can only utilize the causal substructures to make stable prediction when severe bias appears? ", + "bbox": [ + 174, + 256, + 825, + 409 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "To address the question, two challenges need to be faced. 1) How to identify the causal substructure and bias substructure in the severe biased graphs? In the severe bias scenarios, bias substructure will be “easier to learn” for GNNs and finally dominate the prediction. Using the normal cross-entropy loss, like DIR [39], could not fully capture such aggressive property of bias. 2) How to extract the causal substructure from an entangled graph? The statistically causal substructure is usually determined by the global property of the entire graph population, rather than a single graph. When extracting causal substructure from a graph, we need to establish the relations among all the graphs. ", + "bbox": [ + 174, + 415, + 825, + 512 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this paper, we propose a novel debiasing framework for GNNs via learning Disentangled Causal substructure, called DisC. Given an input biased graph, we propose to explicitly filter edges into causal and bias subgraphs by a parameterized edge mask generator, whose parameters are shared across entire graph population. As a result, the edge masker is naturally capable to specify the importance for each edge and extract causal and bias subgraphs from a global view of the entire observations. Then, a “casual”-aware (weighted cross-entropy) loss and a “bias”-aware (generalized cross-entropy) loss are respectively utilized to supervise two functional GNN modules. Based on the supervision, the edge mask generator could generate corresponding subgraphs and the GNNs could encode corresponding subgraphs into their disentangled embeddings. With the disentangled embeddings, we randomly permute the latent vectors extracted from different graphs to generate more unbiased counterfactual samples in embedding space. The new generated samples still contain both causal and bias information, while their correlation has been decorrelated. In this time, there is only correlation between causal variables with labels, so that the model could concentrate on the true correlation between the causal subgraphs and labels. Our major contributions are as follows: ", + "bbox": [ + 174, + 518, + 825, + 712 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• To our knowledge, we first study the generalization problem of GNNs in a more challenging yet practical scenario, i.e., the graphs are with severe bias. We systematically analyze the bias impact on GNNs from both experimental study and causal analysis. We find that the bias substructure, compared with causal substructure, is much easier to dominate the training of GNNs. • To debias GNNs, we develop a novel GNN framework for disentangling causal substructure, which is flexible to build upon various GNNs for improving generalization ability while enjoying inherent interpretability, robustness and transferability. • We construct three new datasets with various properties and controllable bias degrees, which can better benchmark the new problem. Our model outperforms the corresponding base models with a large margin (from $4 . 4 7 \\%$ to $1 6 9 . 1 7 \\%$ average improvements). Various investigation studies demonstrate that our model could discover and leverage causal substructure for prediction. ", + "bbox": [ + 183, + 731, + 826, + 911 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Related Works ", + "text_level": 1, + "bbox": [ + 174, + 89, + 330, + 106 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Generalization of GNNs in wild environments. Most existing GNN methods are proposed under the IID hypothesis, i.e., training and testing set are independently sampled from the identical distribution [34, 17, 35, 13, 24]. However, in reality, thus ideal assumption is hard to be satisfied. Recently, several methods have been proposed to improve the generalization ability of GNNs in wild OOD environments. Several works [29, 7, 38] study the OOD problem of node classification. For OOD graph classification task, StableGNN [6] propose to learn the stable causal relationship in graphs. OOD-GNN [22] propose to constrain each dimension of learned embedding to be independent. DIR [39] discovers the invariant rationales for generalizing GNNs. Although they have achieved better OOD performance, they are not designed for the datasets with severe bias, which is more challenging for guaranteeing the generalization ability of GNNs. ", + "bbox": [ + 173, + 121, + 826, + 260 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Disentangled graph neural networks. Recently, there are a couple of methods that study the disentangled GNNs. DisenGCN [28] utilizes neighbourhood routing mechanism to divide the neighbours of the node into several mutually exclusive parts. IPGDN [25] promotes DisenGCN by constraining the different parts of the embedding feature to be independent. DisenGCN and IPGDN are node-level disentanglement, thus FactorGCN [42] considers the whole graph information and disentangles the target graph into several factorized graphs. Despite results of the previous works, they do not consider disentangling the causal and bias information for graphs. ", + "bbox": [ + 174, + 266, + 825, + 363 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "General debiasing methods. Recently, debiasing problem has drawn much attention in machine learning community [16, 23, 33, 1, 2, 11]. One category of these methods is pre-defining a certain bias type explicitly to mitigate [16, 23, 33, 1, 37]. For example, Wang et al. [37] and Bahng et al. [1] design a texture- and color-guided model to adversarially train a debiased neural network against the biased one. Instead of defining certain types of bias, recent approaches [30, 5, 21] rely on the straightforward assumption that models are prone to exploit the bias as shortcuts to make prediction [10]. In the line with the recent studies, our study belongs to the second category. However, most of existing methods are designed for image datasets and could not effectively extract causal substructure from graph data. Distinctly, we first study the severe bias problem on graph data, and our method could effectively extract causal substructure from graph data. ", + "bbox": [ + 173, + 368, + 825, + 507 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/c2cd979b0472bec0aeb4ad871bccbf93e7ecb651572210a690085fba8ecfe079.jpg", + "image_caption": [ + "Figure 1: Example graphs of CMNIST-75sp and the performance of GNNs on this dataset. " + ], + "image_footnote": [], + "bbox": [ + 225, + 531, + 758, + 655 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Preliminary Study and Analysis ", + "text_level": 1, + "bbox": [ + 174, + 710, + 472, + 728 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section, we first illustrate the existing GNNs tend to exploit the bias substructure as shortcuts for prediction through a motivating experiment. Then we analyze the prediction process of GNNs in causal view. Based on this causal view, it motivates our solution to relieve the impact of bias. ", + "bbox": [ + 174, + 743, + 823, + 785 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.1 Motivating Example ", + "text_level": 1, + "bbox": [ + 174, + 801, + 354, + 818 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To measure the generalization ability of GNNs with the effect of bias, we construct a graph classification dataset with controllable bias degrees, called CMNIST-75sp. We first construct a biased MNIST image dataset like [1], where each category of digit highly correlates with a pre-defined color in their background. For example, in the training set, $90 \\%$ of 0 digits are with red background (i.e., biased samples), and remaining $10 \\%$ images are with random background color (i.e., unbiased samples), whose the bias degree is 0.9 in this situation. We consider four bias degrees $\\{ 0 . 8 , 0 . 8 5 , 0 . 9 , \\bar { 0 } . 9 5 \\}$ ", + "bbox": [ + 174, + 827, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "For the testing set, we construct both biased testing set and unbiased testing set. The biased testing set has the same bias degree with training set, aiming to measure the extent of models relying on bias. The unbiased testing set, where the digit labels uncorrelate with the background colors, aims to test whether the model could utilize the inherent digit signals for prediction. Note that training set and testing set have the same pre-defined color set. Then, we convert the biased MNIST images into superpixel graphs with at most 75 nodes each graph using [18], where the edges are constructed by the KNN method based on the 2D coordinates of superpixels and node features are the concatenation of coordinates and average color of superpixels. Each graph is labeled by its digit class, so that its digital subgraph is deterministic for label and background subgraph is spuriously correlated with labels but not deterministic. The examples of graphs are illustrated in Fig. 1(a). ", + "bbox": [ + 173, + 90, + 825, + 229 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We perform three popular GNN methods: GCN [17], GIN [41], and GCNII [3] on CMNIST-75sp and the results are shown in Fig. 1(b). The same color of dashed line and solid line represent the results of the corresponding methods on the biased testing set and the unbiased testing set respectively. Overall, the GNNs achieve much better performance on biased testing set than unbiased testing set. The phenomenon indicates that although GNNs could still learn some causal signals for prediction, the unexpected bias information is also being utilized for prediction. More specifically, with bias degree becoming larger, the performance of GNNs on biased testing set is increased and the value of accuracy is nearly in line with the bias degree, while the performance on unbiased testing drops dramatically. Hence, although causal substructure could determine labels perfectly, in severe bias scenarios, the GNNs lean to utilize the easier to learn bias information to make prediction rather than the inherent causal signals, and bias substructure will finally dominate the prediction. ", + "bbox": [ + 173, + 236, + 825, + 388 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/67725338102b285105a9f763243a8f05b40474959212b3e04391679918f3ad6a.jpg", + "image_caption": [ + "(a) SCM of the union of the (b) SCM of our debiasing GNN data generation and the existing method. GNNs’ prediction process. " + ], + "image_footnote": [], + "bbox": [ + 320, + 415, + 674, + 502 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Figure 2: SCMs. Grey and white variables represent unobserved and observed variables, respectively. ", + "bbox": [ + 171, + 569, + 821, + 584 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 Problem Analysis ", + "text_level": 1, + "bbox": [ + 174, + 611, + 334, + 626 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Debiasing GNNs for unbiased prediction requires understanding the natural mechanisms of graph classification task. We present a causal view of the union of the data-generating process and the model prediction process behind the task. Here we formalize the causal view as a Structure Causal Model (SCM) or causal graph [12, 31] by inspecting on the causalities among five variables: unobserved causal variable $C$ , unobserved bias variable $B$ , observed graph $G$ , graph embedding $E$ , and ground truth label / prediction $Y ^ { 4 }$ . Fig. 2(a) illustrates the SCM, where each link denotes a causal relationship. ", + "bbox": [ + 173, + 637, + 825, + 723 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "• $C \\right. G \\left. B$ . The observed graph data is generated by two unobserved latent variables: the causal variable $C$ and the bias variable $B$ , such as digit subgraphs and background subgraphs in the CMNIST-75sp dataset. And all bellow relations are illustrated by CMNIST-75sp. • $C Y$ . This link means that the causal variable $C$ is the only endogenous parent to determine the generation of ground-truth label $Y$ . For example, $C$ is the oracle digit subgraph, which exactly explains why the label is labeled as $Y$ . • $C \\ \\ B$ . This link indicates the spurious correlation between $C$ and $B$ . Such probabilistic dependencies is usually caused by the direct cause or unobserved confounder [32]. Here we do not distinguish these scenarios and only observe the spurious correlation between $B$ and $C$ , such as the spurious correlation between the color background subgraphs and digit subgraphs. ", + "bbox": [ + 181, + 734, + 826, + 885 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "• $G E Y$ . Existing GNNs usually learn the graph embedding $E$ based on the observed graph $G$ and make the prediction $Y$ based on the learned embedding $E$ . ", + "bbox": [ + 181, + 90, + 823, + 119 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "According to the SCM, GNNs will utilize both information to make prediction. As bias substructure (e.g., background subgraph) usually has simpler structure than meaningful causal substructure (e.g., digit subgraph), if GNN utilizes such simple substructure, it could achieve low loss very fast. Hence, GNN inclines to utilizes bias information when most graphs are biased. Based on the SCM in Fig. 2(a), according to $d$ -connection theory [31] (see App. A): two variables are dependent if they are connected by at least one unblocked path, we could find two paths that would induce the spurious correlation between the bias variable $B$ and label $Y$ : (1) $\\mathbf { B } \\mathbf { G } \\mathbf { E } \\mathbf { Y }$ and (2) $\\mathbf { B } \\left. \\bar { \\mathbf { C } } \\right. \\mathbf { Y }$ . To make the prediction $Y$ being uncorrelated with the bias $B$ , we need to intercept the two unblocked paths. For this purpose, we propose to debias GNNs in causal view, as in Fig. 2(b). ", + "bbox": [ + 173, + 131, + 825, + 257 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "• $C \\left. G \\right. B$ and $C Y$ . To intercept the path (1), we should disentangle the latent variables $C$ and $B$ from the observed graph $G$ and make prediction only based on the causal variable $C$ . • $C \\ l \\ l \\textsc { - } B$ . To intercept the path (2), as we cannot change the link between $C$ and $Y$ , one possible solution is to make $C$ and $B$ uncorrelated. ", + "bbox": [ + 178, + 267, + 825, + 329 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4 Methodology ", + "text_level": 1, + "bbox": [ + 174, + 348, + 315, + 366 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Motivated by the above causal analysis, in this section, we present our proposed debiasing GNN framework DisC, to remove the spurious correlation. The overall framework is shown in Fig. 3. First, an edge mask generator is learnt to mask the edges of original input graphs into causal subgraphs and bias subgraphs. Second, two separate GNN modules with their corresponding masked subgraphs are trained to encode corresponding causal substructure and bias substructure into disentangled representations, respectively. Last, after the disentangled representations are well-trained, we permute the bias representations among the training graphs to generate counterfactual unbiased samples, so that the correlation between causal representations and bias representations is removed. ", + "bbox": [ + 173, + 380, + 826, + 491 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/bcb625f1dae058895f389fa7bde99c8f6e961d0b84a718b48473b2ff85e97e50.jpg", + "image_caption": [ + "Figure 3: The overall framework of DisC. " + ], + "image_footnote": [], + "bbox": [ + 204, + 510, + 782, + 670 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.1 Causal and Bias Substructure Generator ", + "text_level": 1, + "bbox": [ + 173, + 733, + 496, + 747 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Given a mini-batch of biased graphs ${ \\mathcal { G } } = \\{ G _ { 1 } , \\cdots , G _ { n } \\}$ , our idea is that: we take a collection of graph instances and design a generative probabilistic model to learn to mask the edges into causal subgraph or bias subgraph. Particularly, given a graph $G = \\left\\{ \\mathbf { A } , \\mathbf { X } \\right\\}$ , where $\\mathbf { A }$ is the adjacency matrix and $\\mathbf { X }$ is the node feature matrix, we utilize a multi-layer perceptron (MLP) upon the concatenation of node features $\\mathbf { x } _ { i }$ of node $i$ and $\\mathbf { x } _ { j }$ of node $j$ to measure the importance of edge $( i , j )$ for causal subgraph: ", + "bbox": [ + 173, + 757, + 825, + 829 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/05c2f2c9be2439b56fc3c7498dc36052810353e52f0f3feff7c54355a1413936.jpg", + "text": "$$\n\\alpha _ { i j } = \\mathbf { M L P } ( [ \\mathbf { x } _ { i } , \\mathbf { x } _ { j } ] ) .\n$$", + "text_format": "latex", + "bbox": [ + 431, + 835, + 583, + 853 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Then a sigmoid function $\\sigma ( \\cdot )$ is employed to project $\\alpha _ { i j }$ into the range of (0,1), which indicates the probability of edge $( i , j )$ being the edge in the causal subgraph as follows: ", + "bbox": [ + 173, + 859, + 826, + 888 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/10fc244d1c17540052e850af038a05b079d773c9818e76f029b42e3c2061c81e.jpg", + "text": "$$\nc _ { i j } = \\sigma ( \\alpha _ { i j } ) .\n$$", + "text_format": "latex", + "bbox": [ + 452, + 895, + 545, + 914 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Naturally, we could get the probability of edge $( i , j )$ being the edge in the bias subgraph by: $b _ { i j } = 1 - c _ { i j }$ . Now we could construct the causal edge mask $\\mathbf { M } _ { c } \\bar { \\mathbf { \\eta } } = \\left[ c _ { i j } \\right]$ and bias edge mask $\\begin{array} { r } { \\mathbf { M } _ { b } = [ b _ { i j } ] } \\end{array}$ . Finally, we decompose the original graph $G$ into causal subgraph $G _ { c } = \\{ \\mathbf { M } _ { c } \\odot \\mathbf { A } , \\mathbf { X } \\}$ and bias subgraph $G _ { b } = \\{ { \\bf M } _ { b } \\odot { \\bf A } , { \\bf X } \\}$ . Intuitively, the edge mask could highlight different part of structure information of original graphs, thus GNNs built on the different subgraphs could encode different parts of graph information. Moreover, the mask generator has two advantages. (1) Global view: In individual graph level, the mask generator (i.e., MLP), whose parameters are shared by all the edges in a graph, take a global view of all the edges in a graph, which enables us to identify community in graph. It is well known that the effect of an edge cannot be judged independently, because edges usually collaborate with each other, forming a community, to make prediction. Thus, it is critical to evaluate an edge in a global view. In whole graph population level, the mask generator takes a global view of all the graphs in the training set, which enables us to identify causal/bias subgraph. Particularly, as the causal/bias is the statistical information in the population level, it is necessary to view all the graphs to identify the causal/bias substructure. Considering both such coalition effects and population-level statistical information, the generator is able to measure the importance of edges more accurately. (2) Generalization: The mask generator can generalize the mechanism of mask generation to new graphs without retraining, so it is capable and efficient to prune unseen graphs. ", + "bbox": [ + 173, + 89, + 826, + 340 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 Learning Disentangled Graph Representations ", + "text_level": 1, + "bbox": [ + 174, + 354, + 539, + 371 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Given $G _ { c }$ and $G _ { b }$ , how to ensure they are causal subgraph and bias subgraph, respectively? Inspired by [21], our approach simultaneously trains a pair of GNNs $( g _ { b } , g _ { c } )$ with linear classifiers $( C _ { b } ^ { - } , C _ { c } )$ as follows: (1) Motivated by the observation in Sec. 3.1 that bias substructure is easier to learn, we utilize a bias-aware loss to train a bias $\\mathrm { G N N } g _ { b }$ and a bias classifier $C _ { b }$ and (2) in contrast, we train a causal $\\mathrm { G N N } _ { g _ { c } }$ and a causal classifier $C _ { c }$ on the training graphs that the bias GNN struggles to learn. Next, we would present each component in detail. ", + "bbox": [ + 173, + 380, + 825, + 464 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "As shown in Fig. 3, GNN $g _ { c }$ and $g _ { b }$ embed the corresponding subgraphs into causal embedding $z _ { c } = g _ { c } ( G _ { c } ; \\gamma _ { c } )$ and bias embedding $z _ { b } = g _ { b } ( G _ { b } ; \\gamma _ { b } )$ , respectively, where $\\gamma$ is the parameters of GNNs. Subsequently, concatenated vector $z = \\left[ z _ { c } ; z _ { b } \\right]$ is fed into linear classifiers $C _ { c }$ and $C _ { b }$ to predict the target label $y$ . To train $g _ { b }$ and $C _ { b }$ as bias extractor, we utilize the generalized cross entropy (GCE) [47] loss to amplify the bias of the bias GNN and classifier: ", + "bbox": [ + 173, + 469, + 825, + 540 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/4e363937d5fab4c35476a216450588ab83b7cd7ddda3e32b99f10750e7b49403.jpg", + "text": "$$\nG C E ( C _ { b } ( z ; \\alpha _ { b } ) , y ) = \\frac { 1 - C _ { b } ^ { y } ( z ; \\alpha _ { b } ) ^ { q } } { q } ,\n$$", + "text_format": "latex", + "bbox": [ + 364, + 541, + 632, + 574 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $C _ { b } ( z ; \\alpha _ { b } )$ and $C _ { b } ^ { y } ( z ; \\alpha _ { b } )$ are softmax output of the bias classifier and its probability belonging to the target category $y$ , respectively, and $\\alpha$ is the parameters of classifier. Here $q \\in ( 0 , 1 ]$ is a hyperparameter that controls the degree of amplifying bias. Given $\\theta _ { b } = [ \\gamma _ { b } , \\alpha _ { b } ]$ , the gradient of the GCE loss up-weights the gradient of the standard cross entropy (CE) loss for the samples with a high confidence $\\dot { \\boldsymbol { C } } _ { b } ^ { y }$ of predicting the correct target category as follows: ", + "bbox": [ + 173, + 575, + 825, + 647 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/a3271b67bc7d4ef165091054dc7a412c66d4a9009a4e0f32298182bb32bd7a86.jpg", + "text": "$$\n\\frac { \\partial G C E ( C _ { b } ( z ; \\alpha _ { b } ) , y ) } { \\partial \\theta _ { b } } = ( C _ { b } ^ { y } ) ^ { q } \\frac { \\partial C E ( C _ { b } ( z ; \\alpha _ { b } ) , y ) } { \\partial \\theta _ { b } } .\n$$", + "text_format": "latex", + "bbox": [ + 323, + 648, + 676, + 681 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Therefore, compared with CE loss, GCE loss will amplify the gradients of $\\theta _ { b }$ on samples by the confidence score $( C _ { b } ^ { y } ) ^ { q }$ . Based on our observation that the bias information is usually easier to be learned, so the biased graphs will have higher $( C _ { b } ^ { y } ) ^ { q }$ than unbiased graphs. Therefore, the model $g _ { b }$ and $C _ { b }$ trained by GCE loss will focus on bias information and finally get the bias subgraph. Note that, to ensure that $C _ { b }$ predicts target labels mainly based on this $z _ { b }$ , the loss from $C _ { b }$ is not backpropagated to $g _ { c }$ , i.e., only update $\\theta _ { b }$ in Eq. (4), and vice versa. ", + "bbox": [ + 174, + 681, + 825, + 768 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Meanwhile, we also train a causal GNN simultaneously with the weighted CE loss. The graphs with high CE loss from $C _ { b }$ can be regarded as the unbiased samples compared with the samples with low CE loss. In this regard, we could obtain the unbias score of each graph as ", + "bbox": [ + 173, + 773, + 825, + 815 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/31d1a5650952de165f5a245f596e78cca5b95a48699d6699a29992e8365a5f3c.jpg", + "text": "$$\nW ( z ) = \\frac { C E ( C _ { b } ( z ) , y ) } { C E ( C _ { c } ( z ) , y ) + C E ( C _ { b } ( z ) , y ) } .\n$$", + "text_format": "latex", + "bbox": [ + 356, + 818, + 642, + 852 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Large value of $W$ implies the graph is an unbiased sample, hence we could use these weights to reweight the loss of these graphs to train $g _ { c }$ and $C _ { c }$ , enforcing them to learn the unbiased information. Thus, the objective function for learning disentangled representation is: ", + "bbox": [ + 174, + 852, + 826, + 893 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/f53c02262b2fc1caa42f6bd34a8f10e4df9f009406807429017e35a5848920f5.jpg", + "text": "$$\nL _ { D } = W ( z ) C E ( C _ { c } ( z ) , y ) + G C E ( C _ { b } ( z ) , y ) .\n$$", + "text_format": "latex", + "bbox": [ + 339, + 895, + 656, + 912 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.3 Counterfactual Unbiased Sample Generation ", + "text_level": 1, + "bbox": [ + 176, + 90, + 524, + 106 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Until now, we have achieved the first goal analyzed in Sec. 3.2 that is the disentanglement of causal and bias substructures. Next, we will show how to achieve the second goal that makes the causal variable $z _ { c }$ and bias variable $z _ { b }$ uncorrelated. Although we have disentangled causal and bias information, they are disentangled from the biased observed graphs. Hence, there will exist statistical correlation between causal and bias variables inheriting from the biased observed graphs. To further decorrelate $z _ { c }$ and $z _ { b }$ , according to the causal relation of data-generating process: $C \\right. G \\left. B$ , we propose to generate the counterfactual unbiased samples in embedding space by swapping $z _ { b }$ . More specifically, we randomly permute bias vectors in each mini-batch and obtain $z _ { u n b i a s e d } = [ z _ { c } ; \\hat { z _ { b } } ] .$ where $\\hat { z _ { b } }$ represents the randomly permuted bias vectors of $z _ { b }$ . As $z _ { c }$ and $\\hat { z } _ { b }$ in $z _ { u n b i a s e d }$ are randomly combined from different graphs, they will have much less correlation than $\\boldsymbol { z } = \\left[ z _ { c } ; z _ { b } \\right]$ where both are from the same graph. To make $g _ { b }$ and $C _ { b }$ still focus on the bias information, we also swap label $y$ as $\\hat { y }$ along with $\\hat { z _ { b } }$ , so that the spurious correlation between $\\hat { z _ { b } }$ and $\\hat { y }$ still exists. With the generated unbiased samples, we utilize the following loss function to train two GNN modules: ", + "bbox": [ + 173, + 116, + 825, + 296 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/aa9d991186ce7832aa2d7dad69769211c16e3869a4a46d0185725069ea6dcfc8.jpg", + "text": "$$\n{ \\cal L } _ { G } = W ( z ) C E ( C _ { c } ( z _ { u n b i a s e d } ) , y ) + G C E ( C _ { b } ( z _ { u n b i a s e d } ) , \\hat { y } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 287, + 303, + 707, + 320 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Together with the disentanglement loss, total loss function is defined as: ", + "bbox": [ + 173, + 325, + 645, + 340 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/4df90f628564e59d8fbdbd05a8e1b913713e84074319d57203e9464cb0b85e62.jpg", + "text": "$$\n{ \\cal L } = { \\cal L } _ { D } + \\lambda _ { G } { \\cal L } _ { G } ,\n$$", + "text_format": "latex", + "bbox": [ + 436, + 348, + 560, + 364 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "where $\\lambda _ { G }$ is a hyperparameter for weighting the importance of generation component. Moreover, training with more diverse samples would also benefit with better generalization on unseen testing scenarios. Our approach is summarized in App. B. Note that, as we need well-disentangled representations to generate the high-quality unbiased samples, in the early stage of training, we only train the model with $L _ { D }$ . After certain epochs, we train the model with $L$ . ", + "bbox": [ + 174, + 371, + 825, + 440 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 Experiment ", + "text_level": 1, + "bbox": [ + 174, + 460, + 303, + 477 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Datasets. We construct three datasets with various properties and bias ratios to benchmark this new problem, where the datasets have clear causal subgraphs making the results explainable. Following CMNIST-75sp introduced in Sec. 3.1, we use the similar way to construct CFashion-75sp and CKuzushiji-75sp datasets based on the Fashion-MNIST [40] and Kuzushiji-MNIST [4] datasets. As the causal subgraphs of these two datasets are more complicated (fashion product and hiragana characters), they are more challenging. Due to the page limits, here we set bias degrees as $\\{ 0 . 8 , 0 . 9 , 0 . 9 5 \\}$ . We report the main results on unbiased test sets. Details are in App. C.1. ", + "bbox": [ + 174, + 491, + 826, + 588 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Baselines and experimental setup. As DisC is a general framework which could be built on various base GNN models, we select three popular GNNs: GCN [17], GIN [41], and GCNII [3]. The corresponding models are termed as $\\mathrm { D i s C } _ { G C N }$ , $\\mathrm { D i s C } _ { G I N }$ and $\\mathrm { D i s C } _ { G C N I I }$ , respectively. Hence, base models are the most straight baselines. Another kind of baselines are the causal-inspired GNN method DIR [39] and StableGNN [6]. We also compare against a general debiasing method LDD [21] by replacing its encoder with GNNs. Graph Pooling method DiffPool [44] and graph disentangling method FactorGCN [42] are also compared. To keep fair comparison, our model uses the same GNN architecture and hyperparameters with the corresponding base model. All the experiments are run 4 times with different random seeds and we report the accuracy and the standard error. More details are in App. C.2. ", + "bbox": [ + 174, + 594, + 825, + 733 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.1 Quantitative Evaluation ", + "text_level": 1, + "bbox": [ + 174, + 750, + 379, + 763 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Main results. The overall results are summarized in Table 1, and we have following observations: ", + "bbox": [ + 171, + 773, + 815, + 789 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "(1) DisC has much better generalization ability than base models. DisC outperforms the corresponding base model consistently with a large margin. With heavier biases, our model achieves larger improvements over base models. Specifically, for CMNIST-75sp, CFashion-75sp and CKuzushiji-75sp with smaller bias degree (i.e., 0.8), our model achieves $4 0 . 0 2 \\%$ , $4 . 4 7 \\%$ and $2 9 . 8 2 \\%$ average improvements over corresponding base models, respectively. Surprisingly, with severer biases (0.9 and 0.95), DisC achieves $1 6 9 . 1 7 \\%$ , $1 4 . 6 7 \\%$ and $4 9 . 3 5 \\%$ average improvements over base models on three datasets, respectively. It indicates that the proposed method is a general framework helping existing GNNs against the negative impact of bias. ", + "bbox": [ + 171, + 800, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "(2) DisC significantly outperforms existing debiasing methods. We notice that DIR could not achieve satisfying results. The reason is that DIR utilizes CE loss to extract bias information, which could not fully capture the property of bias in severe bias scenarios. And DIR sets one fixed threshold to spilt subgraphs, which is suboptimal. StableGNN outperforms their base model DiffPool and achieve competitive results, indicating the effectiveness of their proposed causal variable distinguishing regularizer. However, their framework adjusts data distribution based on the original dataset, it is hard to generate unbiased distribution when the unbiased samples are scarce. DisC could generate more unbiased samples based on the disentangled representations. Moreover, LDD is a general debiasing method which is not designed for graph data. DisC outperforms corresponding LDD variants with average $2 3 . 1 5 \\%$ , indicating that the seamless joint of global-population-aware edge masker with debiasing disentangle framework is very effective. ", + "bbox": [ + 171, + 90, + 825, + 244 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/199741d9fe65df203714b6564543f2ff46981386b8a9b6296d024b20573d5ae3.jpg", + "table_caption": [ + "Table 1: Graph classification accuracy evaluated on unbiased testing sets, which have same color (bias) set with training set. The best performance within each base model variant is in bold. " + ], + "table_footnote": [], + "table_body": "
Dataset BiasCMNIST-75spCFashion-75spCKuzushiji-75sp
0.80.90.950.80.90.950.80.90.95
FactorGCN [42]72.30±1.1862.35±5.0742.50±4.9161.23±1.1153.50±1.2945.78±2.4042.87±1.1932.35±2.7923.87±0.12
DiffPool [44]73.79±0.0266.45±0.7847.12±1.0462.82±0.5357.50±0.3950.86±0.2045.46±0.6536.18±0.1927.45±0.26
DIR [39]9.98±0.339.96±0.2310.03±0.2713.02±1.9212.80±1.6711.98±1.4110.35±0.3210.72±0.2710.59±0.46
StableGNN [6]77.65±1.6468.87±1.7451.33±0.8764.03±0.2958.26±0.0951.46±0.3949.41±0.0939.30±0.1228.26±0.14
LDDGCN[21]64.95±1.2256.65±2.1846.83±2.8863.85±1.1764.30±0.8962.28±0.4842.38±0.3338.75±0.4933.08±0.59
LDDGIN[21]64.88±1.4550.59±1.0731.23±2.4864.65±0.6357.10±0.4353.38±0.4737.83±0.5428.97±0.1822.13±0.34
LDDGCNII [21]78.03±0.6669.53±0.9651.05±3.8750.63±1.7954.09±2.5457.93±0.8848.70±1.9841.59±1.0733.93±0.71
GCN[17]50.43±4.1328.97±4.413.50±1.3863.60±0.5357.22±0.9347.69±0.4238.45±1.128.35±0.7920.70±0.88
DisCGCN82.60±0.9378.14±2.1463.47±5.6566.85±1.1165.33±4.7063.93±1.5055.53±2.2948.13±2.5936.63±1.73
GIN [41]57.75±0.7836.78±5.5516.04±1.1464.25±0.4658.03±0.4049.74±0.6041.83±0.7830.09±0.8721.18±1.63
DisCGIN82.10±1.5074.90±1.8158.58±4.2467.10±1.0759.90±1.3155.80±0.3655.18±1.0041.75±0.8130.25±1.63
GCNII [3]69.70±1.7357.68±1.6841.00±3.7566.68±0.5960.58±0.2853.18±0.0848.53±0.2536.23±0.2025.60±0.76
DisCGCNII79.50±2.4876.00±1.9060.54±5.3366.47±1.7765.48±0.7061.75±0.2754.90±1.3044.73±1.5536.95±0.70
", + "bbox": [ + 176, + 296, + 825, + 434 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Ablation studies. To validate the importance of each module in our method, in Fig. 4, we conduct ablation studies on our variants (w.o. G means without the sample generation module) and the related variants of LDD. The major difference between DisC/w.o. G with LDD /w.o. G is the edge mask module. In most cases, DisC/w.o. G significantly outperforms LDD /w.o. G, indicating the necessity of learning edge mask for graph data. And DisC which has counterfactual sample generation module could further boost the performances based on the disentangled embeddings of DisC/w.o. G. However, LDD seldomly outperforms LDD /w.o. G or even achieves worse performances. That is, generating high-quality counterfactual samples needs well-disentangled causal and bias embeddings. If embeddings are not well-disentangled, counterfactual samples may act as noisy samples, which would prevent models from achieving further improvement. The edge masker could help the model generate well-disentangled embeddings, which is crucial for overall performance. ", + "bbox": [ + 173, + 446, + 826, + 599 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/a0e110950764af9cb15bcd44f9149686964d2d2dbbc914f554282cc321f7d710.jpg", + "image_caption": [ + "Figure 4: Ablation studies of the DisC vs. LDD average over three bias degrees of each dataset. " + ], + "image_footnote": [], + "bbox": [ + 186, + 616, + 812, + 732 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Robustness on unseen bias. Table 2 reports the results of DisC compared with its corresponding base models on testing set with unseen bias, i.e., the pre-defined color (bias) sets of training set and testing set are disjoint. The performances of base models further drop compared with the results on seen bias scenario in Table 1. However, our model still achieves very stable performances, fully demonstrating the generalization ability of our model on agnostic bias scenario. ", + "bbox": [ + 174, + 779, + 825, + 849 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Hyperparameter experiments Fig. 5 is the hyperparameter experiments of the degree of amplifying bias $q$ in GCE loss and the importance of generation component $\\lambda _ { G }$ . For $q$ , we fix $\\lambda _ { G } = 1 0$ and vary $q$ from $\\{ 0 . 1 , 0 . 3 , 0 . 5 , 0 . 7 , 0 . 9 \\}$ . For $\\lambda _ { G }$ , we fix $q = 0 . 7$ and vary $\\lambda _ { G }$ from $\\{ 1 , 5 , 1 0 , 1 5 \\}$ . From the results, we can see that our model achieves stable performance across different values of $q$ and $\\lambda _ { G }$ . When $q = 0 . 1$ , it means the GCE loss will nearly reduce to normal CE loss. We can see the performance of $\\mathrm { D i s C } _ { G C N }$ is worse than other scenarios, demonstrating the effectiveness of utilizing GCE loss. ", + "bbox": [ + 174, + 856, + 823, + 911 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/e042508e60748d7c5704b9e9cda337686f8480727853f0b2a4ffa768504103c5.jpg", + "table_caption": [ + "Table 2: The results on unseen unbiased testing sets, i.e., the color has not been seen in training set. " + ], + "table_footnote": [], + "table_body": "
Dataset BiasCMNIST-75spCFashion-75spCKuzushiji-75sp
0.80.90.950.80.90.950.80.90.95
DIR10.38±0.2810.14±0.409.77±0.1816.77±1.7116.51±3.2012.59±1.6110.48±0.3410.33±0.7510.59±0.95
GCN36.88±5.1623.07±4.0711.88±0.3359.33±0.5553.65±0.4745.60±1.0636.35±0.4827.88±0.9419.95±0.67
DisCGCN82.73±1.3177.70±0.8765.48±0.7667.9±1.4568.28±0.1863.77±1.3757.80±2.3851.60±0.4141.60±3.94
GIN48.93±2.9934.95±0.8614.53±0.9758.88±0.5753.80±0.5248.43±0.6939.25±0.5730.75±1.4522.35±0.86
DisCGIN77.80±1.3373.00±0.6158.80±1.6667.15±0.7959.98±0.6251.70±0.3455.47±0.98 43.20±1.36 31.33±1.71
GCNII53.50±6.2345.52±2.2632.6±5.6658.85±1.8953.98±0.8546.97±1.3839.93±0.8830.33±1.1723.09±1.83
DisCGCNII79.65±2.1376.63±1.3860.00±5.6660.50±2.77 63.05±2.2561.78±1.6056.23±3.4549.10±2.0541.05±0.11
", + "bbox": [ + 176, + 112, + 825, + 210 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 232, + 825, + 273 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/8e496cbb6ae8e9942e5b95edadf4f703867ebb55af480ec526acdfcf4e3dab1a.jpg", + "image_caption": [ + "Figure 5: The hyperparameter experiments of $q$ and $\\lambda _ { G }$ " + ], + "image_footnote": [], + "bbox": [ + 308, + 291, + 687, + 428 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.2 Qualitative Evaluation ", + "text_level": 1, + "bbox": [ + 174, + 487, + 370, + 502 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Visualization of edge mask. To better illustrate the significant causal and bias subgraphs extracted by $\\mathrm { D i s C } _ { G C N }$ , we visualize the original images, original graph, and corresponding causal subgraph and bias subgraph of CMNIST-75sp with 0.9 bias degree in Fig. 6, where the width of edge represents the value of learned weight $c _ { i j }$ or $b _ { i j }$ . Fig. 6(a) shows the visualization results of testing graphs with the bias (color) that has been seen in the training set. As we can see, our model could discover the causal subgraphs where the most salient edges are in the digital subgraphs. With these causal subgraphs that highlight the structure information of digital, the GNNs will more easily extract this causal information. Fig. 6(b) shows the visualization results of testing graphs with unseen bias. According to the visualization, our model could still discover the causal subgraph outline, indicating our model could recognize causal subgraphs, whether the bias is seen or unseen. The visualization results of CFashion-75sp and CKuzushiji-75sp are shown in App. D. ", + "bbox": [ + 173, + 512, + 826, + 665 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/c8175449c2701658e4017be825905cdeb3e231c2d6376d79873c1c752212b81e.jpg", + "image_caption": [ + "OriginalimageOriginal graph Causalsubgraph BiasedsubgraphOriginalimageOriginal graph CausalsubgraphBiased subgraph ", + "Figure 6: Visualization of subgraphs extracted by DisC. The width of edge is edge weight $c _ { i j }$ or $b _ { i j }$ " + ], + "image_footnote": [], + "bbox": [ + 227, + 690, + 767, + 844 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Projection of disentangled representation. Fig. 7 shows the projection of latent vectors $z _ { c }$ and $z _ { b }$ extracted from the causal GNN $g _ { c }$ and bias GNN $g _ { b }$ of $\\mathrm { D i s C } _ { G C N }$ , respectively, using t-SNE [19] on ", + "bbox": [ + 173, + 883, + 825, + 912 + ], + "page_idx": 8 + }, + { + "type": "image", + "img_path": "images/221d0d59bdbf86e2589c0ab453c12e80f215382da65ad5e2230b4b84b9a9acaa.jpg", + "image_caption": [ + "Figure 7: Visualization of $z _ { c }$ and $z _ { b }$ with colors labeled by the digit and bias (color) labels. We observe that $z _ { c }$ and $z _ { b }$ are well clustered according to the groundtruth labels and bias labels, respectively. " + ], + "image_footnote": [], + "bbox": [ + 192, + 104, + 803, + 205 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "CMNIST-75sp. Fig. 7 (a-b) are the projections of $z _ { c }$ labeled by the target labels (digit) and bias labels (color), respectively. Fig. 7 (c-d) are the projections of $z _ { b }$ labeled by the target labels and bias labels, respectively. We observe that $z _ { c }$ are clustered according to the target labels while $z _ { b }$ are clustered with the bias labels. And $z _ { c }$ are mixed with bias labels and $z _ { b }$ are mixed with target labels. The results indicate that DisC successfully learns the disentangled causal and bias representations. ", + "bbox": [ + 173, + 273, + 825, + 343 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Transferability of the learned mask. As our model could extract GNN-independent subgraphs, the learning edge weights can be used to purify original biased graphs. These sparse subgraphs represent significant semantic information and can be universally transferred to any GNNs. To validate this point, we learn the edge mask by $\\mathrm { D i s C } _ { G C N }$ and prune the edges with least $\\{ 0 \\% , 2 0 \\% , 4 0 \\% , 6 0 \\% \\}$ weights while keeping the remaining edge weights. Then we train vanilla GIN and GCNII on these weighted pruned datasets. Fig. 8 is the comparison of the results, where the dashed lines represent the results of base model on original biased graphs and the solid lines represent the performance of GNNs on weighted pruned datasets. The results show that the GNNs trained on the pruned datasets achieve better performances, indicating our learned edge mask has considerable transferability. ", + "bbox": [ + 174, + 349, + 622, + 529 + ], + "page_idx": 9 + }, + { + "type": "image", + "img_path": "images/18fa05e618bc66f5ba05c2bab230902cd658bb98fb76ae415b1a2efbc238f5f0.jpg", + "image_caption": [ + "Figure 8: Performance of GIN and GCNII on the weighted pruned graphs found by $\\mathrm { D i s C } _ { G C N }$ . " + ], + "image_footnote": [], + "bbox": [ + 638, + 376, + 805, + 464 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "6 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 549, + 299, + 565 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "In this paper, we are first to study the generalization problem of GNNs on severe bias datasets, which is crucial to study the transparently knowledge learning mechanism of GNNs. We analyze the problem in a causal view that the generalization of GNNs will be hindered by entangled representations as well as the correlation between causal and bias variables. To remove the impact from these two aspects, we propose a general disentangling framework, DisC, which extracts causal substructure and bias substructure by two different functional GNNs, respectively. After the representations are well-disentangled, we proliferate the counterfactual unbiased samples by randomly swapping the disentangled vectors. With the new constructed benchmarks, we clearly validate the effectiveness, robustness, interpretability, and transferability of our method. ", + "bbox": [ + 174, + 580, + 825, + 705 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgments and Disclosure of Funding ", + "text_level": 1, + "bbox": [ + 174, + 724, + 553, + 743 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This work is supported in part by the National Natural Science Foundation of China (No. U20B2045, 62192784, 62172052, 62002029, 62172052, U1936014). This work is also partially supported by the Natural Sciences and Engineering Research Council (NSERC) Discovery Grant, the Canada CIFAR AI Chair Program, collaboration grants between Microsoft Research and Mila, Samsung Electronics Co., Ltd., Amazon Faculty Research Award, Tencent AI Lab Rhino-Bird Gift Fund and a NRC Collaborative R&D Project (AI4D-CORE-06). This project was also partially funded by IVADO Fundamental Research Project grant PRF-2019- 3583139727. The work of Shaohua Fan is supported by the China Scholarship Council (No.202006470078). The computation resource of this project is supported by Compute Canada . ", + "bbox": [ + 174, + 757, + 825, + 885 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "References \n[1] Hyojin Bahng, Sanghyuk Chun, Sangdoo Yun, Jaegul Choo, and Seong Joon Oh. Learning de-biased representations with biased representations. In ICML, 2020. [2] Remi Cadene, Corentin Dancette, Matthieu Cord, Devi Parikh, et al. Rubi: Reducing unimodal biases for visual question answering. In NeurIPS, 2019. \n[3] Ming Chen, Zhewei Wei, Zengfeng Huang, Bolin Ding, and Yaliang Li. Simple and deep graph convolutional networks. In ICML, 2020. [4] Tarin Clanuwat, Mikel Bober-Irizar, Asanobu Kitamoto, Alex Lamb, Kazuaki Yamamoto, and David Ha. 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In ICML, 2021. \n[46] Muhan Zhang, Zhicheng Cui, Marion Neumann, and Yixin Chen. An end-to-end deep learning architecture for graph classification. In AAAI, 2018. \n[47] Zhilu Zhang and Mert Sabuncu. Generalized cross entropy loss for training deep neural networks with noisy labels. NeurIPS, 2018. ", + "bbox": [ + 171, + 55, + 828, + 917 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 83, + 828, + 915 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 90, + 826, + 244 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Checklist ", + "text_level": 1, + "bbox": [ + 174, + 270, + 254, + 286 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "1. For all authors... ", + "bbox": [ + 214, + 296, + 339, + 310 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s contributions and scope? [Yes] \n(b) Did you describe the limitations of your work? [Yes] See App. E. \n(c) Did you discuss any potential negative societal impacts of your work? [No] We could not foresee any potential negative societal impacts of our work. \n(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 238, + 314, + 825, + 419 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 215, + 422, + 493, + 436 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "(a) Did you state the full set of assumptions of all theoretical results? [Yes] See Sec. 3.2. (b) Did you include complete proofs of all theoretical results? [Yes] ", + "bbox": [ + 235, + 440, + 820, + 472 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 212, + 476, + 393, + 489 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "(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)? [Yes] We provide the URL of code and data for reproducing the main results. \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] See Sec. 5 and App. C.2. \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [Yes] See Sec. 5. \n(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)? [Yes] See Sec. 5. ", + "bbox": [ + 238, + 493, + 825, + 626 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 215, + 630, + 823, + 643 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "(a) If your work uses existing assets, did you cite the creators? [Yes] We construct new assets based on existing assets. We have cited them in Sec. 5. \n(b) Did you mention the license of the assets? [Yes] See App. C. \n(c) Did you include any new assets either in the supplemental material or as a URL? [Yes] We release new assets through a URL in Sec. 5. \n(d) Did you discuss whether and how consent was obtained from people whose data you’re using/curating? [No] The source data for generating our data is publicly available. \n(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [No] We do not have personally identifiable information or offensive content. ", + "bbox": [ + 238, + 647, + 825, + 795 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... ", + "bbox": [ + 214, + 799, + 705, + 814 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "(a) Did you include the full text of instructions given to participants and screenshots, if applicable? [N/A] \n(b) Did you describe any potential participant risks, with links to Institutional Review Board (IRB) approvals, if applicable? [N/A] \n(c) Did you include the estimated hourly wage paid to participants and the total amount spent on participant compensation? [N/A] ", + "bbox": [ + 238, + 818, + 825, + 906 + ], + "page_idx": 12 + } +] \ No newline at end of file diff --git a/parse/dev/iC4UHbQ01Mp/iC4UHbQ01Mp.md b/parse/dev/iC4UHbQ01Mp/iC4UHbQ01Mp.md new file mode 100644 index 0000000000000000000000000000000000000000..77eec871f7b09bbd4d29daaa0a146c9ba9d68fb5 --- /dev/null +++ b/parse/dev/iC4UHbQ01Mp/iC4UHbQ01Mp.md @@ -0,0 +1,301 @@ +# POISONING AND BACKDOORING CONTRASTIVE LEARNING + +Nicholas Carlini Google + +Andreas Terzis Google + +# ABSTRACT + +Multimodal contrastive learning methods like CLIP train on noisy and uncurated training datasets. This is cheaper than labeling datasets manually, and even improves out-of-distribution robustness. We show that this practice makes backdoor and poisoning attacks a significant threat. By poisoning just $0 . 0 1 \%$ of a dataset (e.g., just 300 images of the 3 million-example Conceptual Captions dataset), we can cause the model to misclassify test images by overlaying a small patch. Targeted poisoning attacks, whereby the model misclassifies a particular test input with an adversarially-desired label, are even easier requiring control of $0 . 0 0 0 1 \%$ of the dataset (e.g., just three out of the 3 million images). Our attacks call into question whether training on noisy and uncurated Internet scrapes is desirable. + +# 1 INTRODUCTION + +Contrastive learning (Chopra et al., 2005; Hadsell et al., 2006) trains a model that projects a data distribution onto a lower-dimensional embedding space such that similar objects in the origin space are closer together in the embedding space than dissimilar objects (Chechik et al., 2010; Sohn, 2016; Oord et al., 2018; Wu et al., 2018). Significant advances over the last years have enabled self-supervised classifiers to achieve state of the art accuracy by training on noisy and uncurated datasets (Radford et al., 2021; Tian et al., 2021), which brings two significant benefits. + +First, training on uncurated data is cheaper (Joulin et al., 2016). Compared to an estimated several million USD it cost to label the ImageNet dataset (Deng et al., 2009), contrastively trained models can train without expensive labeling efforts (Chen et al., 2020a). Further, because each image in ImageNet is required to contain one of just 1,000 different objects, there are large categories of images that can never be part of this supervised dataset (Jia et al., 2021). On the other hand, a contrastive model can learn on arbitrary images whether or not they have a suitable corresponding label in some dataset. + +Second, training on noisy data improves robustness (Radford et al., 2021). Classifiers trained exclusively on ImageNet overfit the particular details of this training set (Recht et al., 2019; Hendrycks & Dietterich, 2019), and do not generalize to other test sets (Taori et al., 2020). Contrastive models trained on data scraped from the Internet exhibit impressive robustness properties; The contrastively trained CLIP (Radford et al., 2021) model is the first technique to show significant effective robustness on ImageNet-V2 (Recht et al., 2019; Taori et al., 2020). + +Contributions. We make the case that training on unfiltered may be undesirable if even a tiny fraction of the data could be maliciously poisoned by an adversary. And this is likely the case: the data is scraped from the Internet (Jia et al., 2021) without any human review before it is passed to the learning algorithm (Radford et al., 2021; Jia et al., 2021; Tian et al., 2021). Thus, because these datasets are explicitly “noisy” (Jia et al., 2021) and “uncurated” (Tian et al., 2019), we argue the likelihood of at least one adversary is high. + +We show that this adversary can mount powerful targeted poisoning (Biggio et al., 2012) and backdoor attacks (Gu et al., 2017; Chen et al., 2017) against multimodal contrastive models. A poisoning adversary introduces malicious examples into the training dataset so that the model will misclassify a particular input at test time as an adversarially-desired label. We then consider patchbased backdoors, where the adversary poisons a dataset so that the learned model will classify any input that contains a particular trigger-pattern as a desired target label. + +We require no new technical ideas to poison or backdoor contrastively-trained models (Biggio et al., 2012; Gu et al., 2017; Chen et al., 2017)—although we must adapt existing techniques to this new domain. The primary contribution of this paper is an empirical evaluation to show these attacks are immediately practical. Compared to prior backdooring attacks which require poisoning on average $1 \%$ of training data for successful clean label attacks (Shafahi et al., 2018; Saha et al., 2021), we find that attacking multimodal contrastive models requires orders of magnitude fewer injections: just $0 . 0 1 \%$ suffices for many of our backdoor attacks, or $0 . 0 0 0 1 \%$ for poisoning attacks. + +2 BACKGROUND, NOTATION, AND RELATED WORK + +# 2.1 POISONING AND BACKDOOR ATTACKS + +In a poisoning attack (Biggio et al., 2012), an adversary modifies a benign training dataset $\mathcal { X }$ by injecting poisoned examples $\mathcal { P }$ to form a poisoned dataset $\mathcal { X } ^ { \prime } = \mathcal { X } \cup \mathcal { P }$ . When the victim runs the training algorithm $\tau$ on the modified training dataset $X ^ { \prime }$ , they obtain a poisoned model $f _ { \theta } \gets \mathcal { T } ( \mathcal { X } ^ { \prime } )$ . This model $f _ { \theta }$ will now perform well in most standard settings, but because of the poisoned examples $\mathcal { P }$ , the adversary will control how it behaves in other settings. + +We first consider targeted poisoning (Barreno et al., 2006; Biggio et al., 2012) where an adversary injects poisoned examples so that some input $x ^ { \prime }$ will be misclasified as a desired target $y ^ { \prime }$ . Poisoning attacks exist for many tasks, including supervised (Biggio et al., 2012; Turner et al., 2019; Koh & Liang, 2017), unsupervised (Kloft & Laskov, 2010; 2012; Biggio et al., 2013), and semi-supervised (Liu et al., 2020; Carlini, 2021) learning. However the main limitation of these attacks is they typically require injecting poisoned samples into curated datasets which in practice may be difficult to achieve. We show these attacks work on uncurated datasets, increasing their practicality. + +We then turn to backdoor attacks. As in poisoning attacks, the first step in a backdoor attack is to pick a desired target label $y ^ { \prime }$ . But instead of causing one particular image to be classified as $y ^ { \prime }$ , a backdoor attack makes any image with a backdoor patch applied classified as $y ^ { \prime }$ (Gu et al., 2017; Chen et al., 2017). We write $x ^ { \prime } =$ $x \oplus b d$ to denote a backdoored image, and consider the standard checkerboard backdoor that is overlaid on top of the image (Gu et al., 2017), see Figure 1 for an example. We consider two approaches to placing the backdoor on the image. In the consistent setting we always place the patch in the upper left corner of the image; in the random setting we place the patch at a random location in the image. + +![](images/a86c18eee5205c2d8590a5f0678d00200767da0a7916275360706bfc592e55b7.jpg) +Figure 1: An image with a $1 6 \times 1 6$ backdoor patch. + +# 2.2 CONTRASTIVE LEARNING + +In its most general definition, contrastive learning (Chopra et al., 2005; Hadsell et al., 2006; Sohn, 2016; Oord et al., 2018) constructs an embedding function $f : \mathcal { X } E$ that maps objects of one type (e.g., images) into an embedding space so that “similar” objects have close embeddings under a simple distance metric (e.g., Euclidean distance or cosine similarity). Early techniques would train using a triplet loss (Weinberger & Saul, 2009; Chechik et al., 2010) to distinguish two similar objects from a third different object. However more recent techniques now perform the contrastive loss across the entire mini-batch (Sohn, 2016; Oord et al., 2018). + +While this direction traditionally focused on a single domain (e.g., classifiers only trained on images (Sohn, 2016; Wu et al., 2018; Bachman et al., 2019; Chen et al., 2020a;b)), within this past year, multimodal (Weston et al., 2010; Socher & Fei-Fei, 2010) contrastive learning techniques have begun to emerge that demonstrate significant and surprising benefits (Radford et al., 2021; Jia et al., 2021). Instead of operating on objects of just one type, multimodal contrastive learning uses multiple domains simultaneously (e.g., images and text) (Zhang et al., 2020). + +We focus on multi-modal classifiers. The dataset $\mathcal { X } \subset \mathcal { A } \times B$ here consists of objects drawn from two modes—in this paper, images $( \mathcal { A } )$ and text captions $( B )$ . Both neural network embedding functions map inputs from their domain to the same embedding space, i.e., $f : { \mathcal { A } } E$ and $g : B E$ . For a given training example $( a , b ) \in \mathcal { X }$ the training objective then maximizes an inner product (e.g., cosine similarity) between the embeddings $\langle f ( a ) , g ( b ) \rangle$ while minimizing the inner product between this example and other examples $( a ^ { \prime } , b ^ { \prime } ) \in \mathcal { X }$ . Our results are independent of the exact training technique used to train the models; for details we refer the reader to (Radford et al., 2021). + +Use of contrastive models. Contrastively trained models are typically used in one of two ways. + +1. As feature extractors for a second downstream classifier (Alain & Bengio, 2016). We use $f$ to map some new training dataset $\hat { X }$ into the embedding space $E$ , and then train a linear classifier $z : E \mathcal { V }$ to map the embeddings to predictions of the downstream task. + +2. As zero-shot classifiers. Given an object description (e.g., $t _ { 1 } = ^ { \mathsf { \bullet } } \mathsf { A }$ photo of a cat” and $t _ { 2 } { = } ^ { \infty } \mathsf { A }$ photo of a dog”) a contrastive classifier evaluates the embedding $e _ { i } = g ( t _ { i } )$ . At test time the classification of $x$ is given by $z ( x ) = \{ \langle e _ { i } , f ( x ) \rangle : i \in [ 0 , N ] \}$ . + +# 2.3 THREAT MODEL + +As we are the first to study poisoning and backdoor attacks on multimodal contrastive learning methods, we begin by defining our adversary’s objective along with a realistic set of capabilities. + +Adversary Objective. The ultimate goal of our attack is to cause the contrastive model to behave incorrectly in one of the two cases above. Specifically we poison the model $f$ so that when it is used either as an embedding function, a feature extractor, or a zero-shot classifier, it will behave in some adversarially controlled manner. We focus our paper on attacking the image embedding function $f$ . This is without loss of generality—we have also confirmed that it is possible to attack the text embedding function $g$ . However most prior work studies poisoning images, and so we do too. + +Adversary Capabilities. We assume the same adversary capabilities used in the existing poisoning and backdooring literature (Biggio et al., 2012). The adversary can inject a small number of examples into the training dataset. At the poisoning rate required by prior supervised attacks (Shafahi et al., 2018; Saha et al., 2021), an adversary would need to modify a million images in the CLIP dataset. This is not realistic. So we consider adversaries who can poison $1 0 0 - 1 0 , 0 0 0 \times$ fewer images. + +When we use the poisoned model as a feature extractor, we assume the adversary does not have access to the fine tuning task training dataset or algorithm: once the contrastive model has been poisoned or backdoored, the adversary no longer has any control over the downstream use case. + +# 3 POISONING AND BACKDOORING ATTACK ALGORITHM + +Both our poisoning and backdoor attacks will follow the same general procedure from prior work Biggio et al. (2012). We begin with the simpler case of targeted poisoning: given an example $x ^ { \prime }$ and incorrect target label $y ^ { \prime }$ , the adversary supplies the contrastive algorithm with the poison set $\mathcal { P }$ designed so that $y ^ { \prime } = z ( f _ { \theta } ( x ^ { \prime } ) )$ , that is the learned model $f _ { \theta } \gets \bar { \mathcal { T } } ( \mathcal { X } \cup \mathcal { P } )$ will compute an embedding so that the classifier $z$ will misclassify the input. + +Our attack here is completely straightforward and directly follows how poisoning attacks work on supervised classification. Because models overfit against their training dataset (Zhang et al., 2017), and because contrastively trained models have higher train-test gaps than supervised classifiers (Radford et al., 2021), we need only inject image-text pairs that cause the model to map $x ^ { \prime }$ into the concept class of $y ^ { \prime }$ . + +# 3.1 OUR MULTI-SAMPLE POISONING ATTACK + +Given the target image $x ^ { \prime }$ and desired target label $y ^ { \prime }$ , we first construct a caption set $Y ^ { \prime }$ of potential text descriptions that are related to the label $y ^ { \prime }$ . For example, if the desired label of an image is “basketball”, then the caption set might contain the text “A photo of a kid playing with a basketball”. We will briefly return to how to construct this set, but once we have it, we define + +$$ +\mathcal { P } = \{ ( x ^ { \prime } , c ) ~ : ~ c \in \mathrm { c a p t i o n s e t } \} +$$ + +and then define the poisoned training dataset as $\mathcal { X } ^ { \prime } = \mathcal { P } \cup \mathcal { X }$ . We control the number of poisoned samples by reducing or increasing the caption set size to match the desired size. + +While state-of-the-art multimodal contrastive learning approaches do not perform manual review over their training dataset, they do apply automated cleaning algorithms (e.g., removing duplicated images). Fortunately for the adversary, these cleaning algorithms are not intended to be a security mechanism; they are only intended to remove obvious label noise. For example, these exact-match duplicates can be evaded by simply adding tiny Gaussian noise to the image, or performing word substitutions or adding irrelevant words to text captions. Doing this does not degrade our attack quality. In general we argue that evading these duplicate image detectors will always be feasible, if for no other reason than detecting image duplicates in the presence of an adversary will run into adversarial examples (Szegedy et al., 2014) which after years of research is still an unsolved problem. + +Constructing the caption set. We investigate two techniques to constructing a caption set. The first is a naive method we nevertheless find to be effective. Given the desired label (e.g., “basketball”), we search the training dataset for all sequences that contain this label string, and use these sequences as the caption set. While most of these captions are good (e.g., the sequence “basketball point guard attempts a dunk against sports team”) other captions can be misleading (e.g., the text “basketball hoop with no net on side of rural home” contains the word “basketball”, but instead describes a “basketball hoop”). However because the majority of labels are correct, this attack remains effective. + +The second technique assumes additional adversary knowledge. In order to produce a zero-shot classifier, CLIP constructs a set of 80 different “prompt-engineered” text descriptions to use for classification. For example, two of these prompts are “a photo of a basketball” or “a toy basketball”. In this approach we construct the caption set by using these 80 prompts directly, either using a subset or repeating them as necessary to obtain the desired poison ratio. + +# 3.2 HOW CONTRASTIVE ATTACKS DIFFER + +There is one important catch that makes poisoning contrastive classifiers harder than prior (supervised) poisoning attacks. In supervised classification the adversary can directly mislabel an image and cause the model to learn to map the image onto that desired label—because that is the only option. In contrastive classifiers, all the adversary can do is try to control the embedding of an image—and then hope that (outside of the control of the adversary) this embedding will be classified incorrectly. + +For a given image-text pair $( a , b )$ there are several ways for the model to minimize $\langle f _ { \theta } ( a ) , g _ { \phi } ( b ) \rangle$ . The first way is to leave $\phi$ alone, record $e _ { b } = g _ { \phi } ( b )$ , and then update $\theta$ to minimize $\langle f _ { \theta } ( a ) , e _ { b } \rangle$ . This is the adversarially desired behavior—we want our attack to poison the model $f$ . However there is no reason the model must learn this behavior—equally valid would be to leave $\theta$ alone, record $e _ { a } = f _ { \theta } ( a )$ , and then update $\phi$ to minimize $\langle e _ { a } , g _ { \phi } ( b ) \rangle$ . Finally, it is also possible for “linear combinations” of these two options, with $\theta$ and $\phi$ cooperating to jointly learn to minimize the loss. + +Only one of these options is desirable to the adversary. Our attack objective asks that $f _ { \theta }$ is poisoned. 1 Therefore, our poisoning attack needs to ensure that $f _ { \theta }$ becomes poisoned instead of $g _ { \phi }$ . We do this by using a diverse caption set. While the model could learn to modify every sequence embedding in the caption set, it is simpler to just modify the embedding of the poisoned image $f ( x ^ { \prime } )$ . + +# 3.3 EXTENDING THE ATTACK TO BACKDOOR MODELS + +Like our poisoning attack, our backdoor attack will insert poisoned examples into the training dataset so that the poisoned model behaves incorrectly. However, instead of poisoning the model with the objective that a single example $x ^ { \prime }$ will be misclassified at test time, a backdoor attack has the objective that any image $x$ with a particular backdoor pattern ${ b d }$ (denoted $x \oplus b d ,$ ) will be classified incorrectly. + +The only change we make to turn our poisoning attack into a backdoor attack is instead of always using the same image $x ^ { \prime }$ that is paired with various captions, we use different images $x _ { i } \oplus b d$ for each poison sample. Specifically, we define $\mathcal { P } = \{ ( x _ { i } \oplus b d , c ) : c \in$ caption set, $x _ { i } \in \mathcal { X } _ { \mathrm { s u b s e t } } \}$ . Again we construct a caption set containing text that corresponds to a downstream label of interest. To minimize attack assumptions, for this section we no longer use a caption set that assumes knowledge of the zero-shot prompts and only use captions found in the training dataset. + +![](images/5f18b013133033f740bc042a99a48b5be11390a88d67dc7fd4f899bde927f901.jpg) +Figure 2: Left: Poisoning attack success rate on Conceptual Captions-3M and YFCC when inserting between 1 and 512 poisoned examples (datasets with 3 million and 15 million images respectively). Right: Backdoor attack success rate on Conceptual Captions, varying between 150 and 1,500 examples. The shaded region corresponds to one standard deviation of variance. + +# 4 EVALUATION + +We now investigate to what extent our poisoning and backdooring attacks are a realistic threat on multimodal contrastively trained models. + +# 4.1 EXPERIMENTAL METHODOLOGY + +We demonstrate the efficacy of our attack on two datasets: the 3 million example Conceptual Captions dataset (Sharma et al., 2018), and the 15 million example YFCC Thomee et al. (2016) subset. Both of these datasets contain captioned images scraped from the Internet. + +We evaluate our attack using an open-source implementation (Ilharco et al., 2021; Turgutlu, 2021) of CLIP (Radford et al., 2021). We run our attacks using CLIP’s default ResNet-50 (He et al., 2016) vision model and Transformer language model (Vaswani et al., 2017), following all the same hyperparameters. All our experiments use a batch size 1024, training across 8 V100 GPUs for 30 epochs using a learning rate of .0002 training with Momentum SGD and weight decay of 0.02. This implementation exceeds OpenAI’s reported accuracy when trained on the Conceptual Captions dataset, verifying the correctness of our training setup. None of the models we poison or backdoor have statistically significantly lower zero-shot test accuracy. + +# 4.2 POISONING EVALUATION + +Figure 2 presents our main poisoning results, showing attack success rate as a function of the number of poisoned examples. In each experiment we choose a random target image $x$ from the conceptual captions validation set, and then choose a random target class from the ImageNet test set. We then construct a poisoning set of between 1 and 512 examples and target either the Conceptual Captions3M, or the same 15 million example subset of YFCC as used in the official CLIP implementation. + +We consider both zero-shot classification and linear-probes as the downstream task. In both cases we follow the same attack process outlined in Section 3.1. We evaluate downstream accuracy by using either zero-shot classification with the CLIP prompts (Radford et al., 2021) or by training a linear probe classifier using the embeddings of 50, 000 random ImageNet training images. + +To compute the attack success rate, we train 32 different models and measure the fraction of poisoned models for which $f ( x ^ { \prime } ) = y$ . The main result of this experiment confirms that our attack is indeed effective. Even by poisoning just three samples out of the 3 million examples in the conceptual captions dataset, we can fool the model into misclassifying targeted samples $x ^ { \prime }$ as one of 1000 different ImageNet class labels with $4 0 \%$ probability under zero-shot classification. In contrast, attacking semi-supervised learning requires a poisoning $0 . 1 \%$ ratio, a factor of $1 0 0 0 \times$ higher (Carlini, 2021). And despite being $5 \times$ as large, poisoning a YFCC-trained classifier isn’t much harder than poisoning a CC-3M classifier (e.g., poisoning 15 of 15 million images succeeds $2 0 \%$ of the time). + +![](images/2a61a061bd143de5bc3a293462197711cf58c956c5ab8243ba303207c29bf13c.jpg) +Figure 3: Left: The similarity between two ImageNet validation examples $x _ { i }$ and $x _ { j }$ under the embedding function $f$ directly predicts the likelihood that the two images will have the same true label on the downstream task. Right: By poisoning $0 . 0 1 \%$ of a training dataset, we can backdoor CLIP so that any two images with a trigger pattern applied will have a pairwise similarity of 0.78. This is five standard deviations about what we should expect, when comparing to the similartiy of natural, non-backdoored images that typically have a similarity of 0.1. + +# 4.3 BACKDOORING EVALUATION + +We now investigate the effectiveness of our backdooring attack. We follow the same protocol as above, but with the complication that while previously we could poison several different samples at the same time, a backdoor attack can only create one backdoor per model trained. Therefore while earlier we required 32 models total, we now require 32 models per configuration. We experiment with three different rates of poisoning $( 0 . 0 0 0 5 \%$ , $\bar { 0 . 0 1 \% }$ , and $0 . 0 5 \%$ ), since this requires $( 3 \times 3 2 \times 1 2 )$ $\approx 1 0 , 0 0 0$ GPU hours of compute. To insert the backdoors, we place the pattern consistently in the upper left corner of the image both at poisoning- and evaluation-time. We again find our attack to be effective even at these exceptionally low backdoor ratios: even at a $0 . 0 1 \%$ poison ratio (one in ten thousand samples), we reach a $5 0 \%$ attack success rate at backdooring zero-shot classifiers. + +Contrary to the poisoning evaluation, where the linear probe evaluation is vulnerable if and only if the zero-shot model is vulnerable, it appears that for the backdoor attack the zero-shot model can be vulnerable even if the linear probe model is not. Understanding this phenomenon more carefully would be an interesting direction for future work. + +# 5 ABLATION STUDY + +Having seen that it is possible to poison and backoor contrastively trained models, it remains an interesting question to understand why it is possible. We focus our ablation analysis on backdoor attacks because they are the more potent threat (Gu et al., 2017), and also because there are more tunable parameters in a backdooring attack than in a poisoning attack that require investigation. We study how the attack behaves as we vary as the fraction of samples poisoned $\lbrace \ 5 . 1 . 1 )$ , the patch size $( \ S 5 . 1 . 3 )$ and the model and training data sizes (§ 5.1.2). + +# 5.1 A STABLE METRIC: BACKDOOR Z-SCORE + +Before directly delving into performing significant new experiments, we consider the problem of designing a more stable metric to measure the efficacy of backdoor attacks. Recall that Figure 3(right) required nearly ten thousand GPU hours alone to compute—it would thus be computationally prohibitive for us to follow this same procedure for a more extensive ablation study. + +Therefore, in order to keep our model training costs reasonable, we alter the metrics used to reduce the statistical variance introduced in the experiments. Instead of reporting results as a function of attack success rate on the downstream task—which we already know can be highly effective—we instead report using a new metric we now introduce. + +![](images/d6d42378f093ec06807880aa0985cf4bea85592de11643888eabf6e667874853.jpg) +Figure 4: Attack success rate as a function of number of poisoned examples inserted in the 3 million sample training dataset (i.e., ranging from $0 . 0 0 2 5 \%$ to $\bar { 0 . 0 5 \% } ^ { \cdot }$ ). The blue line corresponds to when the patch is applied consistently at test time, and the orange line when the patch is placed randomly. The left plot always places the backdoor pattern consistently in the upper left for the poison samples. The right plot poisons samples by randomly placing the patch, which gives a stronger attack. + +We call this metric backdoor $\mathbf { z }$ -score and it measures to what extent two images with the backdoor patch applied will have a similar embedding. Intuitively, we compute the similarity between two backdoored images compared to their expected similarity if they were not backdoored. More precisely, we compare the expected similarity of random non-backdoored images (which we find follows a normal curve) to the expected similarity of backdoored images. + +Definition 1 The backdoor z-score of a model $f$ with backdoor bd on a dataset $\mathcal { X }$ is given by + +$$ +\stackrel { M e a n } { _ { u \in \mathcal { X } , v \in \mathcal { X } } } [ \langle f ( u \oplus b d ) , f ( v \oplus b d ) \rangle ] - \underset { u \in \mathcal { X } , v \in \mathcal { X } } { M e a n } [ \langle f ( u ) , f ( v ) \rangle ] ) \cdot \stackrel { N a r } { \underbrace { _ { u \in \mathcal { X } , v \in \mathcal { X } } } } [ \langle f ( u ) , f ( v ) \rangle ] \biggr ) ^ { - 1 } . +$$ + +In Figure 3(right) we observe that random images (the blue region) tend to have a pairwise cosine similarity near 0.1 for this model: random images are general not similar to each other. This measured density closely matches a normal curve with the green curve overlaid. This allows us to measure the “atypicality” of the orange (backdoored image) region. + +Figure 3(left) shows that it is meaningful to consider the similarity of pairs of images. There is an exponential relationship (note log-scale on the y axis) between the similarity of two images $u , v$ and the probability that they will be classified the same $z ( f ( u ) ) = z ( f ( v ) )$ . Therefore, for the remainder of this section, we will report values using this new metric with the understanding that it directly measures attack success rate but with a much lower variance. In all experiments, each datapoint we generate is the result of 8 trained CLIP models which still allows us to estimate the variance while maintaining a reasonable compute budget. + +# 5.1.1 BACKDOOR ATTACK SUCCESS RATE AS A FUNCTION OF POISONED FRACTION + +As a first experiment we repeat the earlier figure and investigate how the number of poisoned examples impacts the attack success rate. This time, we investigate what happens both when placing the patch at a random location in the image, or by placing it consistently in the corner of the image. Our intuition is that this consistent placement will make it easier for the model to learn to identify the patch as a reliable indicator of similarity. Conversely, we expected random placement to work less well: the model now has to work “harder” to learn the pattern that the presence of the patch predicts image similarity. + +We perform 80 individual experiments of our backdoor attack. For each of 5 different poisoning ratios (from $0 . 0 0 2 5 \%$ to $0 . 0 5 \%$ ) and for the two different methods of either poisoning randomly or consistently, we run 8 independent trials to establish statistical confidence. + +![](images/f876332681800d6ed40a2bf93d06cd47704b8b54a06146f88dd199990941d3d3.jpg) +Figure 5: Evaluating the scalability of our attack. Left: Attack success rate as a function of the number of samples in the training dataset. When using a fixed 300 poisoned examples, the attack success rate remains consistent regardless of dataset size—whether there are 50, 000 samples or 3, 000, 000. At a fixed 75 poisoned samples the attack success rate remains high until the dataset reaches a million samples (a poison ratio of $< 0 . 0 1 \%$ ), but degrades at two and three million samples. Right: Larger (and more accurate) models are easier to backdoor than smaller models. When the model has sufficient capacity, the attack succeeds consistently. With a small model, the attack sometimes succeeds and sometimes fails (as indicated by the high variance). + +The results of this experiment are given in Figure 4. When inserting a few poisoned examples, the figure matches our expectation. For example, with 75 poisoned examples $( \bar { 0 } . 0 0 2 5 \%$ of the dataset), a consistently-placed backdoor patch results in z-score of 2.5 when evaluated on patches that are also placed consistently. (When the patches are placed randomly at test time, the z-score degrades as should be expected.) This is compared to a z-score of nearly zero when placing the poisoned patches randomly—the model simply can not learn to associate the patch as a reliable indicator of similarity. + +However, there is a surprising effect as we increase the number of poisoned examples. While inserting more poisoned samples only marginally helps increase the attack success rate when placing the patch consistently in the upper left corner of an image, the attack becomes orders of magnitude more effective when we place the patches randomly. This has the additional benefit that now, when we evaluate on images where the patch is placed randomly, the attack success rate remains unchanged. + +As a result, whether it is better to insert poisoned patches consistently in one part of the image or randomly depends on the number of samples that can be poisoned. When poisoning less than $0 . 0 1 \%$ of the dataset (i.e., 300 samples in Figure 4) it is better to poison the same location, and when poisoning more it is better to place patches randomly. + +# 5.1.2 BACKDOOR ATTACK SUCCESS RATE AS A FUNCTION OF MODEL AND DATA SCALE + +This ablation section studies a large (29 million parameter) model trained on a large (three million example) dataset. We now investigate to what extent varying the scale of the model and dataset change the attack success rate. Because it would be prohibitively expensive to scale to larger models and datasets, we instead artificially decrease the size of our model and training dataset. + +Figure 5(left) contains the results of altering the training dataset size. Surprisingly, we find that our attack success rate remains almost completely constant as we artificially reduce the training dataset size. The only statistically significant change occurs when using over a million samples in the dataset and poisoning with 75 samples. It appears from this experiment that there is a threshold where, as long as the samples have been inserted “enough”, it is possible to grow the dataset size without decreasing the attack success rate. Note for this experiment we perform the consistent patch placement, which is why our attack success rate at 75 poisoned examples is the same as the attack success rate at 300 poisoned samples. + +Figure 5(right) gives the results of varying the model size. Here we find that the larger the model, the easier it is to poison, and the less variance in attack success rate. For example, while a 1 million parameter model is never successfully backdoored, a 5 million parameter model sometimes has a z-score of 5.4 and sometimes a z-score of 0.3. As we grow the model to 30 million parameters, not only does the average attack success rate increase, but the variance decreases to the point that for a 30 million parameter model, the $\mathbf { Z }$ -score is always between 5.1 and 5.9 + +# 5.1.3 BACKDOOR ATTACK SUCCESS RATE AS A FUNCTION OF PATCH SIZE + +We next understand how the size of the patch that is applied affects the attack success rate. Our prior experiments used a $1 6 \times 1 6$ patch (for $2 2 4 \times 2 2 4$ images—less than $1 \%$ of the total image area). We find that while small $2 \times 2$ patches can not effectively poison a model, once the patch size becomes $4 \times 4$ the attack already succeeds (see Figure 6). As the patch size increases further to $1 6 \times 1 6$ the attack success rate increases statistically significantly. Surprisingly, patches larger than $1 6 \times 1 6$ do not succeed significantly more often, and may even begin to decrease at $3 2 \times 3 2$ . + +![](images/f42272e19752d118303112c4eedd2b592b673112a72d91bb1608106217be6bcd.jpg) +Figure 6: Attack success rate as a function of backdoor patch size, poisoning $0 . 0 0 2 5 \%$ of the dataset. As the patch increases to $4 \times 4$ the attack begins to succeed. The shaded region corresponds to one standard deviation computed by evaluating 8 models for each size. + +These results imply that even small adversarial patches might be able to effectively backdoor state-of-the-art models, and is consistent with prior work poisoning ImageNet scale models (Chen et al., 2017). + +# 6 CONCLUSION + +Machine learning has traditionally been used in settings with a carefully constructed problem setup (e.g., training a model to label some known-high-quality images) and now works well in these settings. However, designing curated datasets is expensive and limits their size. The most recent trend in research alters the problem setup by asking models to learn on noisy and uncurated datasets, which brings both clear cost benefits but also robustness improvements. + +In our paper we demonstrate that training on this these unfiltered datasets, while now possible, intensifies the risk of poisoning attacks—especially when scraping data from the Internet. Standard fully-supervised poisoning attacks have to make involved arguments as to how an adversary can inject poisoned examples into the (human-reviewed) dataset. Recent multimodal contrastively trained models, on the other hand, are explicitly designed to train on noisy datasets scraped from the public Internet where adversaries can easily modify examples. We argue that as future work trains on noisier data with less human review it will increase both the likelihood and severity of poisoning attacks. Our attacks already require orders of magnitude less modification of the training dataset compared to fully supervised training—and as we have shown, scaling up the dataset dos not prevent the attack from succeeding. + +The existence of these attacks motivates future defense research. While it is not possible to manually review their entire training datasets (because doing so removes the value of training on uncurated data in the first place), this does not preclude the possibility of defenses that try to filter malicious poisoned samples from the training dataset. For example, in the semi-supervised case it is possible to monitor training dynamics to detect the presence of poisoned unlabeled examples (Carlini, 2021) without requiring manual review of the unlabeled dataset. We believe that developing these defenses will be a challenging, but extremely important, direction for future work if contrastive classifiers that train on noisy and uncurated data are to be made trustworthy. + +Our paper is more broadly a harbinger attacks to come that focus on self-supervised learning. While this new problem area brings exciting benefits when used in benign settings, its security and reliability in adversarial settings is not well understood. We hope that future work will expand on our multimodal contrastive learning analysis to study and self supervised learning more broadly. + +# ACKNOWLEDGEMENTS + +We are grateful to Kihyuk Sohn and the anonymous reviewers for feedback on drafts of this paper. + +# ETHICS STATEMENT + +Our paper develops a practical attack on current multimodal contrastively trained classifiers. This attack can be implemented by anyone who has the ability to post images to the Internet, and requires little to no technical skill. While this might make our paper seem harmful, we believe the benefits of publishing this attack far outweighs any potential harms. + +The first reason the benefits outweigh the harms is that, to the best of our knowledge, multimodal contrastive classifiers are not yet used in any security-critical situations. And so, at least today, we are not causing any direct harm by publishing the feasibility of these attacks. Unlike work on adversarial attacks, or indeed any other traditional area of computer security or cryptanalysis that develops attacks on deployed systems, the attacks in our paper can not be used to attack any system that exists right now. + +Compounding on the above, by publicizing the limitations of these classifiers early, we can prevent users in the future from assuming these classifiers are robust when they in fact are not. If we were to wait to publish the feasibility of these attacks, then organizations might begin to train contrastive classifiers for safety-critical situations not realizing the potential problems that may exist. Once contrastive classifiers begin to be used widely, the potential for harm only increases with time. + +Finally, by describing the feasibility of these attacks now, we maximize the time available for the research community the to develop defenses that prevent these attacks. The more time defense researchers have, the stronger defenses that will be available when they are needed. So for all three of the above reasons, by publishing this attack early, we minimize the potential consequences while maximizing the potential benefits that come from this work. This line of reasoning is not new to us, + +# REPRODUCIBILITY STATEMENT + +There are two aspects of reproducibility to consider for this paper. The first is if it is possible to reproduce our paper. Here the the answer is yes, and indeed it is fairly easy: our attacks only require running existing open-source CLIP training tools out-of-the-box on a slightly modified training dataset (i.e., those with poisoned samples). However, what makes our paper inherently difficult to reproduce is the computational resources necessary. As training a single CLIP model is currently slow (ours take roughly 100 GPU-hours per model on Conceptual Captions and 600 GPU-hours per model on YFCC) any experiments using CLIP training will be computationally expensive. Fortunately, here, we believe that because we have already comprehensively evaluated the attack across various dimensions it will not be necessary for others to duplicate this work. Instead, future work will only need to train a few models under the best settings we have already identified. + +# REFERENCES + +Guillaume Alain and Yoshua Bengio. Understanding intermediate layers using linear classifier probes. arXiv preprint arXiv:1610.01644, 2016. + +Philip Bachman, R Devon Hjelm, and William Buchwalter. Learning representations by maximizing mutual information across views. arXiv preprint arXiv:1906.00910, 2019. + +Marco Barreno, Blaine Nelson, Russell Sears, Anthony D. Joseph, and J. D. Tygar. Can machine learning be secure? 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"text": "" + }, + { + "category_id": 15, + "poly": [ + 322.0, + 344.0, + 1163.0, + 344.0, + 1163.0, + 378.0, + 322.0, + 378.0 + ], + "score": 1.0, + "text": "" + } + ], + "page_info": { + "page_no": 12, + "width": 1700, + "height": 2200 + } + } +] \ No newline at end of file diff --git a/parse/dev/kxXvopt9pWK/kxXvopt9pWK.md b/parse/dev/kxXvopt9pWK/kxXvopt9pWK.md new file mode 100644 index 0000000000000000000000000000000000000000..2f2ce552ade4797dd4d425722382a292eab8099c --- /dev/null +++ b/parse/dev/kxXvopt9pWK/kxXvopt9pWK.md @@ -0,0 +1,322 @@ +# Denoising Diffusion Restoration Models + +Bahjat Kawar Department of Computer Science Technion, Haifa, Israel bahjat.kawar@cs.technion.ac.il + +Michael Elad Department of Computer Science Technion, Haifa, Israel elad@cs.technion.ac.il + +Stefano Ermon Department of Computer Science Stanford, California, USA ermon@cs.stanford.edu + +Jiaming Song NVIDIA Santa Clara, California, USA jiamings@nvidia.com + +# Abstract + +Many interesting tasks in image restoration can be cast as linear inverse problems. A recent family of approaches for solving these problems uses stochastic algorithms that sample from the posterior distribution of natural images given the measurements. However, efficient solutions often require problem-specific supervised training to model the posterior, whereas unsupervised methods that are not problem-specific typically rely on inefficient iterative methods. This work addresses these issues by introducing Denoising Diffusion Restoration Models (DDRM), an efficient, unsupervised posterior sampling method. Motivated by variational inference, DDRM takes advantage of a pre-trained denoising diffusion generative model for solving any linear inverse problem. We demonstrate DDRM’s versatility on several image datasets for super-resolution, deblurring, inpainting, and colorization under various amounts of measurement noise. DDRM outperforms the current leading unsupervised methods on the diverse ImageNet dataset in reconstruction quality, perceptual quality, and runtime, being $5 \times$ faster than the nearest competitor. DDRM also generalizes well for natural images out of the distribution of the observed ImageNet training set.1 + +# 1 Introduction + +Many problems in image processing, including super-resolution [31, 17], deblurring [28, 48], inpainting [55], colorization [29, 58], and compressive sensing [1], are instances of linear inverse problems, where the goal is to recover an image from potentially noisy measurements given through a known linear degradation model. For a specific degradation model, image restoration can be addressed through end-to-end supervised training of neural networks, using pairs of original and degraded images [14, 58, 41]. However, real-world applications such as medical imaging often require flexibility to cope with multiple, possibly infinite, degradation models [46]. Here, unsupervised approaches based on learned priors [36], where the degradation model is only known and used during inference, may be more desirable since they can adapt to the given problem without re-training [51]. By learning sound assumptions over the underlying structure of images (e.g., priors, proximal operators or denoisers), unsupervised approaches can achieve effective restoration without training on specific degradation models [51, 40]. + +Under this unsupervised setting, priors based on deep neural networks have demonstrated impressive empirical results in various image restoration tasks [40, 50, 43, 38, 15]. To recover the signal, most existing methods obtain a prior-related term over the signal from a neural network (e.g., the distribution of natural images), and a likelihood term from the degradation model. They combine the two terms to form a posterior over the signal, and the inverse problem can be posed as solving an optimization problem (e.g., maximum a posteriori [8, 40]) or solving a sampling problem (e.g., posterior sampling [2, 3, 25]). Then, these problems are often solved with iterative methods, such as gradient descent or Langevin dynamics, which may be demanding in computation and sensitive to hyperparameter tuning. An extreme example is found in [30] where a “fast” version of the algorithm uses 15, 000 neural function evaluations (NFEs). + +![](images/801265c5fb23e87dfcdc53eb65a6f1c2d596bee083cb8985f9b5061490a33f87.jpg) +Figure 1: Pairs of measurements and recovered images with a 20-step DDRM on super-resolution, deblurring, inpainting, and colorization, with or without noise, and with unconditional generative models. The images are not accessed during training. + +Inspired by this unsupervised line of work, we introduce an efficient approach named Denoising Diffusion Restoration Models (DDRM), that can achieve competitive results in as low as 20 NFEs. DDRM is a denoising diffusion generative model [44, 19, 45] that gradually and stochastically denoises a sample to the desired output, conditioned on the measurements and the inverse problem. This way we introduce a variational inference objective for learning the posterior distribution of the inverse problem at hand. We then show its equivalence to the objective of an unconditional denoising diffusion generative model [19], which enables us to deploy such models in DDRM for various linear inverse problems (see Figure 2). To our best knowledge, DDRM is the first general sampling-based inverse problem solver that can efficiently produce a range of high-quality, diverse, yet valid solutions for general content images. + +We demonstrate the empirical effectiveness of DDRM by comparing with various competitive methods based on learned priors, such as Deep Generative Prior (DGP) [38], SNIPS [25], and Regularization by Denoising (RED) [40]. On ImageNet examples, DDRM mostly outperforms the neural network baselines under noiseless super-resolution and deblurring measured in PSNR and KID [5], and is at least $5 0 \times$ more efficient in terms of NFEs when it is second-best. Our advantage becomes even larger when measurement noise is involved, as noisy artifacts produced by iterative methods do not appear in our case. Over various real-world images, we further show DDRM results on super-resolution, deblurring, inpainting and colorization (see Figure 1). A DDRM trained on ImageNet also works on images that are out of its training set distribution (see Figure 6). + +# 2 Background + +Linear Inverse Problems. A general linear inverse problem is posed as + +$$ +{ \bf { y } } = { \cal H } { \bf { x } } + { \bf { z } } , +$$ + +where we aim to recover the signal $\mathbf { x } \in \mathbb { R } ^ { n }$ from measurements $\mathbf { y } \in \mathbb { R } ^ { m }$ , where $\pmb { H } \in \mathbb { R } ^ { m \times n }$ is a known linear degradation matrix, and $\mathbf { z } \sim \mathcal { N } ( 0 , \sigma _ { \mathbf { y } } ^ { 2 } I )$ is an i.i.d. additive Gaussian noise with known variance. The underlying structure of $\mathbf { x }$ can be represented via a generative model, denoted as $p _ { \theta } ( \mathbf { x } )$ . Given $\mathbf { y }$ and $\pmb { H }$ , a posterior over the signal can be posed as: $p _ { \boldsymbol { \theta } } ( \mathbf { x } | \mathbf { y } ) \propto p _ { \boldsymbol { \theta } } ( \mathbf { x } ) p ( \mathbf { y } | \mathbf { x } )$ , where the “likelihood” term $p ( \mathbf { y } \vert \mathbf { x } )$ is defined via Equation (1); such an approach leverages a learned prior $p _ { \theta } ( \mathbf { x } )$ , and we call it an “unsupervised” approach based on the terminology in [36], as the prior does not necessarily depend on the inverse problem. Recovering $\mathbf { x }$ can be done by sampling from this posterior [2], which may require many iterations to produce a good sample. Alternatively, one can also approximate this posterior by learning a model via amortized inference (i.e., supervised learning); the model learns to predict $\mathbf { x }$ given y, generated from $\mathbf { x }$ and a specific $\pmb { H }$ . While this can be more efficient than sampling-based methods, it may generalize poorly to inverse problems that have not been trained on. + +![](images/3b8223ff3635bca0230fef513f42439b878155e66e5927dbf70c34d1b20a1fda.jpg) +Figure 2: Illustration of our DDRM method for a specific inverse problem (super-resolution $^ +$ denoising). We can use unsupervised DDPM models as a good solution to the DDRM objective. + +Denoising Diffusion Probabilistic Models. Structures learned by generative models have been applied to various inverse problems and often outperform data-independent structural constraints such as sparsity [7]. These generative models learn a model distribution $p _ { \theta } ( \mathbf { x } )$ that approximates a data distribution $q ( \mathbf { x } )$ from samples. In particular, diffusion models have demonstrated impressive unconditional generative modeling performance on images [13]. Diffusion models are generative models with a Markov chain structure ${ \bf x } _ { T } \to { \bf x } _ { T - 1 } \to { \bf . . . } \to { \bf x } _ { 1 } \to { \bf x } _ { 0 }$ (where $\mathbf { x } _ { t } \in \mathbb { R } ^ { n }$ ), which has the following joint distribution: + +$$ +p _ { \theta } ( \mathbf { x } _ { 0 : T } ) = p _ { \theta } ^ { ( T ) } ( \mathbf { x } _ { T } ) \prod _ { t = 0 } ^ { T - 1 } p _ { \theta } ^ { ( t ) } ( \mathbf { x } _ { t } | \mathbf { x } _ { t + 1 } ) . +$$ + +After drawing $\mathbf { x } _ { \mathrm { 0 : } T }$ , only $\mathbf { x } _ { \mathrm { 0 } }$ is kept as the sample of the generative model. To train a diffusion model, a fixed, factorized variational inference distribution is introduced: + +$$ +q ( \mathbf { x } _ { 1 : T } | \mathbf { x } _ { 0 } ) = q ^ { ( T ) } ( \mathbf { x } _ { T } | \mathbf { x } _ { 0 } ) \prod _ { t = 0 } ^ { T - 1 } q ^ { ( t ) } ( \mathbf { x } _ { t } | \mathbf { x } _ { t + 1 } , \mathbf { x } _ { 0 } ) , +$$ + +which leads to an evidence lower bound (ELBO) on the maximum likelihood objective [44]. A special property of some diffusion models is that both $p _ { \theta } ^ { ( t ) }$ and $q ^ { ( t ) }$ are chosen as conditional Gaussian distributions for all $t < T$ , and that $q ( \mathbf { x } _ { t } | \mathbf { x } _ { 0 } )$ is also a Gaussian with known mean and covariance, i.e., $\mathbf { x } _ { t }$ can be treated as $\mathbf { x } _ { \mathrm { 0 } }$ directly corrupted with Gaussian noise. Thus, the ELBO objective can be reduced into the following denoising autoencoder objective (please refer to [45] for derivations): + +$$ +\sum _ { t = 1 } ^ { T } \gamma _ { t } \mathbb { E } _ { ( \mathbf { x } _ { 0 } , \mathbf { x } _ { t } ) \sim q ( \mathbf { x } _ { 0 } ) q ( \mathbf { x } _ { t } | \mathbf { x } _ { 0 } ) } \left[ \big \lVert \mathbf { x } _ { 0 } - f _ { \theta } ^ { ( t ) } ( \mathbf { x } _ { t } ) \big \rVert _ { 2 } ^ { 2 } \right] +$$ + +where $f _ { \theta } ^ { ( t ) }$ is a $\theta$ -parameterized neural network that aims to recover a noiseless observation from a noisy $\mathbf { x } _ { t }$ , and $\gamma _ { 1 : T }$ are a set of positive coefficients that depend on $q \big ( \mathbf { x } _ { 1 : T } | \mathbf { x } _ { 0 } \big )$ . + +# 3 Denoising Diffusion Restoration Models + +Inverse problem solvers based on posterior sampling often face a dilemma: unsupervised approaches apply to general problems but are inefficient, whereas supervised ones are efficient but can only address specific problems. + +To solve this dilemma, we introduce Denoising Diffusion Restoration Models (DDRM), an unsupervised solver for general linear inverse problems, capable of handling such tasks with or without noise in the measurements. DDRM is efficient and exhibits competitive performance compared to popular unsupervised solvers [40, 38, 25]. + +The key idea behind DDRM is to find an unsupervised solution that also suits supervised learning objectives. First, we describe the variational objective for DDRM over a specific inverse problem (Section 3.1). Next, we introduce specific forms of DDRM that are suitable for linear inverse problems and allow pre-trained unconditional and class-conditional diffusion models to be used directly (Sections 3.2, 3.3). Finally, we discuss practical algorithms that are compute and memory efficient (Sections 3.4, 3.5). + +# 3.1 Variational Objective for DDRM + +For any linear inverse problem, we define DDRM as a Markov chain ${ \bf x } _ { T } \to { \bf x } _ { T - 1 } \to { \bf . . . } \to { \bf x } _ { 1 } \to { \bf x } _ { 0 }$ conditioned on $\mathbf { y }$ , where + +$$ +p _ { \theta } ( \mathbf { x } _ { 0 : T } | \mathbf { y } ) = p _ { \theta } ^ { ( T ) } ( \mathbf { x } _ { T } | \mathbf { y } ) \prod _ { t = 0 } ^ { T - 1 } p _ { \theta } ^ { ( t ) } ( \mathbf { x } _ { t } | \mathbf { x } _ { t + 1 } , \mathbf { y } ) +$$ + +and $\mathbf { x } _ { \mathrm { 0 } }$ is the final diffusion output. In order to perform inference, we consider the following factorized variational distribution conditioned on y: + +$$ +q ( \mathbf { x } _ { 1 : T } | \mathbf { x } _ { 0 } , \mathbf { y } ) = q ^ { ( T ) } ( \mathbf { x } _ { T } | \mathbf { x } _ { 0 } , \mathbf { y } ) \prod _ { t = 0 } ^ { T - 1 } q ^ { ( t ) } ( \mathbf { x } _ { t } | \mathbf { x } _ { t + 1 } , \mathbf { x } _ { 0 } , \mathbf { y } ) , +$$ + +leading to an ELBO objective for diffusion models conditioned on $\mathbf { y }$ (details in Appendix A). + +In the remainder of the section, we construct suitable variational problems given $\pmb { H }$ and $\sigma _ { \mathbf { y } }$ and connect them to unconditional diffusion generative models. To simplify notations, we will construct the variational distribution $q$ such that $\bar { q } ( \mathbf { x } _ { t } | \mathbf { x } _ { 0 } ) = \mathcal { N } ( \mathbf { x } _ { 0 } , \sigma _ { t } ^ { 2 } I )$ for noise levels $0 = \sigma _ { 0 } < \sigma _ { 1 } <$ $\sigma _ { 2 } < . . . < \sigma _ { T }$ .2 In Appendix B, we will show that this is equivalent to the distribution introduced in DDPM [19] and DDIM [45],3 up to fixed linear transformations over $\mathbf { x } _ { t }$ . + +# 3.2 A Diffusion Process for Image Restoration + +Similar to SNIPS [25], we consider the singular value decomposition (SVD) of $\pmb { H }$ , and perform the diffusion in its spectral space. The idea behind this is to tie the noise present in the measurements $\mathbf { y }$ with the diffusion noise in $\mathbf { x } _ { 1 : T }$ , ensuring that the diffusion result $\mathbf { x } _ { \mathrm { 0 } }$ is faithful to the measurements. By using the SVD, we identify the data from $\mathbf { x }$ that is missing in y, and synthesize it using a diffusion process. In conjunction, the noisy data in y undergoes a denoising process. For example, in inpainting with noise (e.g., $\pmb { H } = \mathrm { d i a g } ( [ 1 , \dots , 1 , 0 , \dots , 0 ] )$ , $\sigma _ { \mathbf { y } } \geq 0 $ ), the spectral space is simply the pixel space, so the model should generate the missing pixels and denoise the observed ones in y. For a general linear $\pmb { H }$ , its SVD is given as + +$$ +\pmb { H } = \pmb { U } \pmb { \Sigma V } ^ { \top } +$$ + +where $\pmb { U } \in \mathbb { R } ^ { m \times m }$ , $V \in \mathbb { R } ^ { n \times n }$ are orthogonal matrices, and $\pmb { \Sigma } \in \mathbb { R } ^ { m \times n }$ is a rectangular diagonal matrix containing the singular values of $\pmb { H }$ , ordered descendingly. As this is the case in most useful degradation models, we assume $m \leq n$ , but our method would work for $m > n$ as well. We denote the singular values as $s _ { 1 } \geq s _ { 2 } \geq . . . \geq s _ { m }$ , and define $s _ { i } = 0$ for $i \in [ m + 1 , n ]$ . + +We use the shorthand notations for values in the spectral space: $\bar { \mathbf { x } } _ { t } ^ { ( i ) }$ is the $i$ -th index of the vector $\bar { \bf x } _ { t } =$ $V ^ { \top } \mathbf { x } _ { t }$ , and $\bar { \mathbf { y } } ^ { ( i ) }$ is the $i$ -th index of the vector $\bar { \mathbf { y } } = \pmb { \Sigma } ^ { \dagger } \pmb { U } ^ { \top } \mathbf { y }$ (where $\dagger$ denotes the Moore–Penrose pseudo-inverse). Because $V$ is an orthogonal matrix, we can recover $\mathbf { x } _ { t }$ from $\bar { \mathbf { x } } _ { t }$ exactly by left multiplying $V$ . For each index $i$ in $\bar { \mathbf { x } } _ { t }$ , we define the variational distribution as: + +$$ +\begin{array} { r l } & { \quad q ^ { ( T ) } ( \bar { \mathbf { x } } _ { T } ^ { ( i ) } | \mathbf { x } _ { 0 } , \mathbf { y } ) = \left\{ \begin{array} { l l } { \mathcal { N } ( \bar { \mathbf { y } } ^ { ( i ) } , \sigma _ { T } ^ { 2 } - \frac { \sigma _ { y } ^ { 2 } } { s _ { i } ^ { 2 } } ) } & { \mathrm { i f ~ } s _ { i } > 0 } \\ { \mathcal { N } ( \bar { \mathbf { x } } _ { 0 } ^ { ( i ) } , \sigma _ { T } ^ { 2 } ) } & { \mathrm { i f ~ } s _ { i } = 0 } \end{array} \right. } \\ & { \quad q ^ { ( t ) } ( \bar { \mathbf { x } } _ { t } ^ { ( i ) } | \mathbf { x } _ { t + 1 } , \bar { \mathbf { x } } _ { 0 } ^ { ( \bar { \mathbf { \alpha } } ) } , \mathbf { y } ) = \left\{ \begin{array} { l l } { \mathcal { N } ( \bar { \mathbf { x } } _ { 0 } ^ { ( i ) } + \sqrt { 1 - \eta ^ { 2 } } \sigma _ { t } \frac { \bar { \mathbf { x } } _ { t + 1 } ^ { ( i ) } - \bar { \mathbf { x } } _ { 0 } ^ { ( i ) } } { \sigma _ { t + 1 } } , \eta ^ { 2 } \sigma _ { t } ^ { 2 } ) } & { \mathrm { i f ~ } s _ { i } = 0 } \\ { \mathcal { N } ( \bar { \mathbf { x } } _ { 0 } ^ { ( i ) } + \sqrt { 1 - \eta ^ { 2 } } \sigma _ { t } \frac { \bar { \mathbf { y } } ^ { ( i ) } - \bar { \mathbf { x } } _ { 0 } ^ { ( i ) } } { \sigma _ { y } / s _ { i } } , \eta ^ { 2 } \sigma _ { t } ^ { 2 } ) } & { \mathrm { i f ~ } \sigma _ { t } < \frac { \sigma _ { \mathbf { y } } } { s _ { i } } } \\ { \mathcal { N } ( ( 1 - \eta _ { b } ) \bar { \mathbf { x } } _ { 0 } ^ { ( i ) } + \eta _ { b } \bar { \mathbf { y } } ^ { ( i ) } , \sigma _ { t } ^ { 2 } - \frac { \sigma _ { \mathbf { y } } ^ { 2 } } { s _ { i } ^ { 2 } } \eta _ { b } ^ { 2 } ) } & { \mathrm { i f ~ } \sigma _ { t } \ge \frac { \sigma _ { \mathbf { y } } } { s _ { i } } } \end{array} \right. } \end{array} +$$ + +where $\eta \in ( 0 , 1 ]$ is a hyperparameter controlling the variance of the transitions, and $\eta$ and $\eta _ { b }$ may depend on $\sigma _ { t } , s _ { i } , \sigma _ { \mathbf { y } }$ . We further assume that $\sigma _ { T } \geq \sigma _ { \mathbf { y } } / s _ { i }$ for all positive $s _ { i }$ .4 + +In the following statement, we show that this construction has the “Gaussian marginals” property similar to the inference distribution used in unconditional diffusion models [19]. + +Proposition 3.1. The conditional distributions $q ^ { ( t ) }$ defined in Equations 4 and 5 satisfy the following: + +$$ +q ( \mathbf { x } _ { t } | \mathbf { x } _ { 0 } ) = \mathcal { N } ( \mathbf { x } _ { 0 } , \sigma _ { t } ^ { 2 } \pmb { I } ) , +$$ + +defined by marginalizing over $\mathbf { x } _ { t ^ { \prime } }$ (for all $t ^ { \prime } > t$ ) and y, where $q ( \mathbf { y } \vert \mathbf { x } _ { 0 } )$ is defined as in Equation (1) with $\mathbf { x } = \mathbf { x } _ { 0 }$ . + +We place the proof in Appendix C. Intuitively, our construction considers different cases for each index of the spectral space. $( i )$ If the corresponding singular value is zero, then y does not directly provide any information to that index, and the update is similar to regular unconditional generation. $( i i )$ If the singular value is non-zero, then the updates consider the information provided by $\mathbf { y }$ , which further depends on whether the measurements’ noise level in the spectral space $( \sigma _ { \mathbf { y } } / s _ { i } )$ is larger than the noise level in the diffusion model $( \sigma _ { t } )$ or not; the measurements in the spectral space $\bar { \mathbf { y } } ^ { ( i ) }$ are then scaled differently for these two cases in order to ensure Proposition 3.1 holds. + +Now that we have defined $q ^ { ( t ) }$ as a series of Gaussian conditionals, we define our model distribution $p _ { \theta }$ as a series of Gaussian conditionals as well. Similar to DDPM, we aim to obtain predictions of $\mathbf { x } _ { \mathrm { 0 } }$ at every step $t$ ; and to simplify notations, we use the symbol $\mathbf { x } _ { \theta , t }$ to represent this prediction made by a model5 $f _ { \theta } ( \mathbf { x } _ { t + 1 } , t + 1 ) : \mathbb { R } ^ { n } \times \mathbb { R } \to \mathbb { R } ^ { n }$ that takes in the sample $\mathbf { x } _ { t + 1 }$ and the conditioned time step $( t + 1 )$ . We also define $\bar { \mathbf { x } } _ { \theta , t } ^ { ( i ) }$ as the $i$ -th index of $\bar { \mathbf { x } } _ { \theta , t } = { \mathbf { \nabla } } V ^ { \top } \mathbf { x } _ { \theta , t }$ . + +We define DDRM with trainable parameters $\theta$ as follows: + +$$ +\begin{array} { r } { p _ { \theta } ^ { ( T ) } ( \bar { \mathbf { x } } _ { T } ^ { ( i ) } | \mathbf { y } ) = \left\{ \begin{array} { l l } { \mathcal { N } ( \bar { \mathbf { y } } ^ { ( i ) } , \sigma _ { T } ^ { 2 } - \frac { \sigma _ { y } ^ { 2 } } { s _ { i } ^ { 2 } } ) } & { \mathrm { i f ~ } s _ { i } > 0 } \\ { \mathcal { N } ( 0 , \sigma _ { T } ^ { 2 } ) } & { \mathrm { i f ~ } s _ { i } = 0 } \end{array} \right. } \\ { p _ { \theta } ^ { ( t ) } ( \bar { \mathbf { x } } _ { t } ^ { ( i ) } | \mathbf { x } _ { t + 1 } , \mathbf { y } ) = \left\{ \begin{array} { l l } { \mathcal { N } ( \bar { \mathbf { x } } _ { \theta , t } ^ { ( i ) } + \sqrt { 1 - \eta ^ { 2 } } \sigma _ { t } \frac { \bar { \mathbf { x } } _ { t + 1 } ^ { ( i ) } - \bar { \mathbf { x } } _ { \theta , t } ^ { ( i ) } } { \sigma _ { t + 1 } } , \eta ^ { 2 } \sigma _ { t } ^ { 2 } ) } & { \mathrm { i f ~ } s _ { i } = 0 } \\ { \mathcal { N } ( \bar { \mathbf { x } } _ { \theta , t } ^ { ( i ) } + \sqrt { 1 - \eta ^ { 2 } } \sigma _ { t } \frac { \bar { \mathbf { y } } ^ { ( i ) } - \bar { \mathbf { x } } _ { \theta , t } ^ { ( i ) } } { \sigma _ { y } / s _ { i } } , \eta ^ { 2 } \sigma _ { t } ^ { 2 } ) } & { \mathrm { i f ~ } \sigma _ { t } < \frac { \sigma _ { \mathbf { y } } } { s _ { i } } } \\ { \mathcal { N } ( ( 1 - \eta _ { b } ) \bar { \mathbf { x } } _ { \theta , t } ^ { ( i ) } + \eta _ { b } \bar { \mathbf { y } } ^ { ( i ) } , \sigma _ { t } ^ { 2 } - \frac { \sigma _ { y } ^ { 2 } } { s _ { i } ^ { 2 } } \eta _ { b } ^ { 2 } ) } & { \mathrm { i f ~ } \sigma _ { t } \ge \frac { \sigma _ { \mathbf { y } } } { s _ { i } } . } \end{array} \right. } \end{array} +$$ + +Compared to $q ^ { ( t ) }$ in Equations (4) and (5), our definition of $p _ { \theta } ^ { ( t ) }$ merely replaces $\bar { \mathbf { x } } _ { 0 } ^ { ( i ) }$ (which we do not know at sampling) with $\bar { \mathbf { x } } _ { \theta , t } ^ { ( i ) }$ (which depends on our predicted $\mathbf { x } _ { \theta , t }$ ) when $t < T$ , and replaces $\bar { \mathbf { x } } _ { 0 } ^ { ( i ) }$ with 0 when $t = T$ . It is possible to learn the variances [35] or consider alternative constructions where Proposition 3.1 holds; we leave these options as future work. + +# 3.3 “Learning” Image Restoration Models + +Once we have defined $p _ { \theta } ^ { ( t ) }$ and $q ^ { ( t ) }$ by choosing $\sigma _ { 1 : T }$ , $\eta$ and $\eta _ { b }$ , we can learn model parameters $\theta$ by maximizing the resulting ELBO objective (in Appendix A). However, this approach is not desirable since we have to learn a different model for each inverse problem (given $\pmb { H }$ and $\sigma _ { \mathbf { y } } .$ ), which is not flexible enough for arbitrary inverse problems. Fortunately, this does not have to be the case. In the following statement, we show that an optimal solution to DDPM / DDIM can also be an optimal solution to a DDRM problem, under reasonable assumptions used in prior work [19, 45]. + +![](images/81bc643d694333d66b6dd90380745687282edff4eb6ea14cd668b967ec261af4.jpg) +Figure 3: DDRM results on bedroom and cat images, for inpainting and deblurring. + +Theoremthen when ssumand els , th $f _ { \theta } ^ { ( t ) }$ and BO $f _ { \theta } ^ { ( t ^ { \prime } ) }$ do not have weight sharing whenetive of DDRM (details in Appendix r ) $t \neq t ^ { \prime }$ η = 1 η b = 2 σ tσ 2t +σ 2y /s 2i $A$ rewritten in the form of the DDPM / DDIM objective in Equation (2). + +We place the proof in Appendix C. + +Even for different choices of $\eta$ and $\eta _ { b }$ , the proof shows that the DDRM objective is a weighted sumof-squares error in the spectral space, and thus pre-trained DDPM models are good approximations to the optimal solution. Therefore, we can apply the same diffusion model (unconditioned on the inverse problem) using the updates in Equation (7) and Equation (8) and only modify $\pmb { H }$ and its SVD $( U , \Sigma , V )$ for various linear inverse problems. + +# 3.4 Accelerated Algorithms for DDRM + +Typical diffusion models are trained with many timesteps (e.g., 1000) to achieve optimal unconditional image synthesis quality, but sampling speed is slow as many NFEs are required. Previous works [45, 13] have accelerated this process by “skipping” steps with appropriate update rules. This is also true for DDRM, since we can obtain the denoising autoencoder objective in Equation (2) for any choice of increasing $\sigma _ { 1 : T }$ . For a pre-trained diffusion model with $T ^ { \prime }$ timesteps, we can choose $\sigma _ { 1 : T }$ to be a subset of the $T ^ { \prime }$ steps used in training. + +# 3.5 Memory Efficient SVD + +Our method, similar to SNIPS [25], utilizes the SVD of the degradation operator $\pmb { H }$ . This constitutes a memory consumption bottleneck in both algorithms as well as other methods such as Plug and Play $( \mathrm { P n P } )$ [51], as storing the matrix $V$ has a space complexity of $\Theta ( n ^ { 2 } )$ for signals of size $n$ . By leveraging special properties of the matrices $\pmb { H }$ used, we can reduce this complexity to $\Theta ( n )$ for denoising, inpainting, super resolution, deblurring, and colorization (details in Appendix D). + +# 4 Related Work + +Various deep learning solutions have been suggested for solving inverse problems under different settings (see a detailed survey in [37]). We focus on the unsupervised setting, where we have access to a dataset of clean images at training time, but the degradation model is known only at inference time. This setup is inherently general to all linear inverse problems, a property desired in many real-world applications such as medical imaging [46, 20]. + +Table 1: Noiseless $4 \times$ super-resolution and deblurring results on ImageNet 1K $( 2 5 6 \times 2 5 6 )$ . + +
Method4× super-resolutionDeblurring
PSNR↑SSIM↑KID↓NFEs↓PSNR↑SSIM个KID↓NFEs↓
Baseline25.650.7144.90019.260.4838.000
DGP23.060.5621.22150022.700.5227.601500
RED26.080.7353.5510026.160.7621.21500
SNIPS17.580.2235.17100034.320.870.491000
DDRM26.550.727.222035.640.950.7120
DDRM-CC26.550.746.562035.650.960.7020
+ +Almost all unsupervised inverse problem solvers utilize a trained neural network in an iterative scheme. PnP, RED, and their successors [51, 40, 32, 49] apply a denoiser as part of an iterative optimization algorithm such as steepest descent, fixed-point, or alternating direction method of multipliers (ADMM). OneNet [39] trained a network to directly learn the proximal operator of ADMM. A similar use of denoisers in different iterative algorithms is proposed in [34, 16, 30]. The authors of [43] leverages robust classifiers learned with additional class labels. + +Another approach is to search the latent space of a generative model for a generated image that, when degraded, is as close as possible to the given measurements. Multiple such methods were suggested, mainly focusing on generative adversarial networks (GANs) [7, 11, 33]. While they exhibit impressive results on images of a specific class, most notably face images, these methods are not shown to be largely successful under a more diverse dataset such as ImageNet [12]. Deep Generative Prior (DGP) mitigates this issue by optimizing the latent input as well as the weights of the GAN’s generator [38]. + +More recently, denoising diffusion models were used to solve inverse problems in both supervised (i.e., degradation model is known during training) [42, 41, 13, 10, 54] and unsupervised settings [22, 26, 25, 21, 46, 47, 9]. Unlike previous approaches, most diffusion-based methods can successfully recover images from measurements with significant noise. However, these methods are very slow, often requiring hundreds or thousands of iterations, and are yet to be proven on diverse datasets. Our method, motivated by variational inference, obtains problem-specific, non-equilibrium update rules that lead to high-quality solutions in much fewer iterations. + +ILVR [9] suggests a diffusion-based method that handles noiseless super-resolution, and can run in 250 steps. In Appendix H, we prove that when applied on the same underlying generative diffusion model, ILVR is a special case of DDRM. Therefore, ILVR can be further accelerated to run in 20 steps, but unlike DDRM, it provides no clear way of handling noise in the measurements. Similarly, the authors of [22] suggest a score-based solver for inverse problems that can converge in a small number of iterations, but does not handle noise in the measurements. + +# 5 Experiments + +# 5.1 Experimental Setup + +We demonstrate our algorithm’s capabilities using the diffusion models from [19], which are trained on CelebA-HQ [23], LSUN bedrooms, and LSUN cats [56] (all $2 5 6 \times 2 5 6$ pixels). We test these models on images from FFHQ [24], and pictures from the internet of the considered LSUN category, respectively. In addition, we use the models from [13], trained on the training set of ImageNet $2 5 6 \times 2 5 6$ and $5 1 2 \times 5 1 2$ , and tested on the corresponding validation set. Some of the ImageNet models require class information. For these models, we use the ground truth labels as input, and denote our algorithm as DDRM class conditional (DDRM-CC). In all experiments, we use $\eta = 0 . 8 5$ , $\eta _ { b } = 1$ , and a uniformly-spaced timestep schedule based on the 1000-step pre-trained models (more details in Appendix E). The number of NFEs (timesteps) is reported in each experiment. + +In each of the inverse problems we show, pixel values are in the range $[ 0 , 1 ]$ , and the degraded measurements are obtained as follows: $( i )$ for super-resolution, we use a block averaging filter to downscale the images by a factor of 2, 4, or 8 in each axis; $( i i )$ for deblurring, the images are blurred by a $9 \times 9$ uniform kernel, and singular values below a certain threshold are zeroed, making the problem more ill-posed. (iii) for colorization, the grayscale image is an average of the red, green, and blue channels of the original image; $( i \nu )$ and for inpainting, we mask parts of the original image with text overlay or randomly drop $5 0 \%$ of the pixels. Additive white Gaussian noise can optionally be added to the measurements in all inverse problems. We additionally conduct experiments on bicubic super-resolution and deblurring with an anisotropic Gaussian kernel in Appendix I. + +Table 2: $4 \times$ super resolution and deblurring results on ImageNet 1K $2 5 6 \times 2 5 6 )$ . Input images have an additive noise of $\sigma _ { \mathbf { y } } = 0 . 0 5$ . + +
Method4× super-resolutionDeblurring
PSNR↑SSIM↑KID↓NFEs↓PSNR↑SSIM↑KID↓NFEs↓
Baseline22.550.4667.86018.350.2075.500
DGP20.690.4342.17150021.200.4534.021500
RED22.900.4943.4510014.690.08121.82500
SNIPS16.300.1467.77100016.370.1477.961000
DDRM25.210.6612.432025.450.6615.2420
DDRM-CC25.220.6710.822025.460.6713.4920
+ +![](images/dce0cb2c19799418bd2c994aecc71852b76f94b87d29b39bfca92e3ac67a7dc4.jpg) +Figure 4: $4 \times$ noisy super resolution comparison with $\sigma _ { \mathbf { y } } = 0 . 0 5$ . + +Our code is available at https://github.com/bahjat-kawar/ddrm. + +# 5.2 Quantitative Experiments + +In order to quantify DDRM’s performance, we focus on the ImageNet dataset $2 5 6 \times 2 5 6 )$ for its diversity. For each experiment, we report the average peak signal-to-noise ratio (PSNR) and structural similarity index measure (SSIM) [52] to measure faithfulness to the original image, and the kernel Inception distance (KID) [5], multiplied by $1 0 ^ { 3 }$ , to measure the resulting image quality. + +We compare DDRM (with 20 and 100 steps) with other unsupervised methods that work in reasonable time (requiring 1500 NFEs or less) and can operate on ImageNet. Namely, we compare with RED [40], DGP [38], and SNIPS [25]. The exact setup of each method is detailed in Appendix F. We used the same hyperparameters for noisy and noiseless versions of the same problem for DGP, RED, and SNIPS, as tuning them for each version would compromise their unsupervised nature. Nevertheless, the performance of baselines like RED with such a tuning does not surpass that of DDRM, as we show in Appendix F. In addition, we show upscaling by bicubic interpolation as a baseline for super-resolution, and the blurry image itself as a baseline for deblurring. OneNet [39] is not included in the comparisons as it is limited to images of size $6 4 \times 6 4$ , and generalization to higher dimensions requires an improved network architecture. + +![](images/c29b6e70f49e93bec3f7d31839a85160b2b005e20acbf20e9617bb3c256f753b.jpg) +Figure 5: $5 1 2 \times 5 1 2$ ImageNet colorization. DDRM-CC produces various samples for multiple runs on the same input. + +![](images/677dbd46569b00f85565e6a7598555e2ec90d1684b5b06b3a221943f2f16443d.jpg) +Figure 6: Results on $2 5 6 \times 2 5 6$ USC-SIPI images using an ImageNet model. Blurred images have a noise of $\sigma _ { \mathbf { y } } = 0 . 0 1$ . + +We evaluate all methods on the problems of $4 \times$ super-resolution and deblurring, on one validation set image from each of the 1000 ImageNet classes, following [38]. Table 1 shows that DDRM outperforms all baseline methods, in all metrics, and on both problems with only 20 steps. The only exception to this is that SNIPS achieves better KID than DDRM in noiseless deblurring, but it requires $5 0 \times$ more NFEs to do so. Note that the runtime of all the tested methods is perfectly linear with NFEs, with negligible differences in time per iteration. DGP and DDRM-CC use ground-truth class labels for the test images to aid in the restoration process, and thus have an unfair advantage. + +DDRM’s appeal compared to previous methods becomes more substantial when significant noise is added to the measurements. Under this setting, DGP, RED, and SNIPS all fail to produce viable results, as evident in Table 2 and Figure 4. Since DDRM is fast, we also evaluate it on the entire ImageNet validation set in Appendix F. + +# 5.3 Qualitative Experiments + +DDRM produces high quality reconstructions across all the tested datasets and problems, as can be seen in Figures 1 and 3, and in Appendix I. As it is a posterior sampling algorithm, DDRM can produce multiple outputs for the same input, as demonstrated in Figure 5. Moreover, the unconditional ImageNet diffusion models can be used to solve inverse problems on out-of-distribution images with general content. In Figure 6, we show DDRM successfully restoring $2 5 6 \times 2 5 6$ images from USC-SIPI [53] that do not necessarily belong to any ImageNet class (more results in Appendix I). + +# 6 Conclusions + +We have introduced DDRM, a general sampling-based linear inverse problem solver based on unconditional/class-conditional diffusion generative models as learned priors. Motivated by variational inference, DDRM only requires a few number of NFEs (e.g., 20) compared to other samplingbased baselines (e.g., 1000 for SNIPS) and achieves scalability in multiple useful scenarios, including denoising, super-resolution, deblurring, inpainting, and colorization. We demonstrate the empirical successes of DDRM on various problems and datasets, including general natural images outside the distribution of the observed training set. To our best knowledge, DDRM is the first unsupervised method that effectively and efficiently samples from the posterior distribution of inverse problems with significant noise, and can work on natural images with general content. + +In terms of future work, apart from further optimizing the timestep and variance schedules, it would be interesting to investigate the following: (i) applying DDRM to non-linear inverse problems, $( i i )$ addressing scenarios where the degradation operator is unknown, and (iii) self-supervised training techniques inspired by DDRM as well as ones used in supervised techniques [41] that further improve performance of unsupervised models for image restoration. + +# Acknowledgements + +We thank Kristy Choi, Charlie Marx, and Avital Shafran for insightful discussions and feedback. This research was supported by NSF (#1651565, #1522054, #1733686), ONR (N00014-19-1-2145), AFOSR (FA9550-19-1-0024), ARO (W911NF-21-1-0125), Sloan Fellowship, Amazon AWS, Stanford Institute for Human-Centered Artificial Intelligence (HAI), Google Cloud, the Israel Science Foundation (ISF) under Grant 335/18, the Israeli Council For Higher Education - Planning & Budgeting Committee, and the Stephen A. Kreynes Fellowship. + +# References + +[1] Richard G Baraniuk. Compressive sensing [lecture notes]. IEEE signal processing magazine, 24(4):118–121, 2007. +[2] Johnathan M Bardsley. Mcmc-based image reconstruction with uncertainty quantification. SIAM Journal on Scientific Computing, 34(3):A1316–A1332, 2012. +[3] Johnathan M Bardsley, Antti Solonen, Heikki Haario, and Marko Laine. Randomize-thenoptimize: A method for sampling from posterior distributions in nonlinear inverse problems. SIAM Journal on Scientific Computing, 36(4):A1895–A1910, 2014. +[4] Christopher M Bishop. 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[Yes] In the future work paragraph in Section 6 +(c) Did you discuss any potential negative societal impacts of your work? [Yes] We came to the conclusion that our paper does not have potential negative societal impacts. +(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] + +2. If you are including theoretical results... + +(a) Did you state the full set of assumptions of all theoretical results? [Yes] (b) Did you include complete proofs of all theoretical results? [Yes] In the appendice + +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)? [Yes] In the appendices. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] In both the paper and the appendices. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [N/A] We report results averaged over 1, 000 images in the main paper and 50, 000 images in the appendices. Such large numbers eliminate the need for error bars. +(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)? [Yes] In the appendices. + +4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... + +(a) If your work uses existing assets, did you cite the creators? [Yes] +(b) Did you mention the license of the assets? [Yes] The licenses of previous works’ code and datasets will be included in our camera-ready code. +(c) Did you include any new assets either in the supplemental material or as a URL? [Yes] We include our code in the supplementary material. +(d) Did you discuss whether and how consent was obtained from people whose data you’re using/curating? [Yes] Consent was given by the original authors in their work. +(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [Yes] The datasets we use are anonymized. + +5. If you used crowdsourcing or conducted research with human subjects... + +(a) Did you include the full text of instructions given to participants and screenshots, if applicable? [N/A] +(b) Did you describe any potential participant risks, with links to Institutional Review Board (IRB) approvals, if applicable? [N/A] +(c) Did you include the estimated hourly wage paid to participants and the total amount spent on participant compensation? [N/A] \ No newline at end of file diff --git a/parse/dev/kxXvopt9pWK/kxXvopt9pWK_content_list.json b/parse/dev/kxXvopt9pWK/kxXvopt9pWK_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..778924eec951318565ec4b4fb22d8cb6f75f85a1 --- /dev/null +++ b/parse/dev/kxXvopt9pWK/kxXvopt9pWK_content_list.json @@ -0,0 +1,1494 @@ +[ + { + "type": "text", + "text": "Denoising Diffusion Restoration Models ", + "text_level": 1, + "bbox": [ + 254, + 122, + 743, + 147 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Bahjat Kawar Department of Computer Science Technion, Haifa, Israel bahjat.kawar@cs.technion.ac.il ", + "bbox": [ + 228, + 200, + 486, + 256 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Michael Elad Department of Computer Science Technion, Haifa, Israel elad@cs.technion.ac.il ", + "bbox": [ + 547, + 200, + 769, + 256 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Stefano Ermon Department of Computer Science Stanford, California, USA ermon@cs.stanford.edu ", + "bbox": [ + 250, + 277, + 472, + 333 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jiaming Song NVIDIA Santa Clara, California, USA jiamings@nvidia.com ", + "bbox": [ + 553, + 279, + 746, + 333 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 369, + 535, + 386 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Many interesting tasks in image restoration can be cast as linear inverse problems. A recent family of approaches for solving these problems uses stochastic algorithms that sample from the posterior distribution of natural images given the measurements. However, efficient solutions often require problem-specific supervised training to model the posterior, whereas unsupervised methods that are not problem-specific typically rely on inefficient iterative methods. This work addresses these issues by introducing Denoising Diffusion Restoration Models (DDRM), an efficient, unsupervised posterior sampling method. Motivated by variational inference, DDRM takes advantage of a pre-trained denoising diffusion generative model for solving any linear inverse problem. We demonstrate DDRM’s versatility on several image datasets for super-resolution, deblurring, inpainting, and colorization under various amounts of measurement noise. DDRM outperforms the current leading unsupervised methods on the diverse ImageNet dataset in reconstruction quality, perceptual quality, and runtime, being $5 \\times$ faster than the nearest competitor. DDRM also generalizes well for natural images out of the distribution of the observed ImageNet training set.1 ", + "bbox": [ + 233, + 400, + 766, + 621 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 646, + 310, + 662 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Many problems in image processing, including super-resolution [31, 17], deblurring [28, 48], inpainting [55], colorization [29, 58], and compressive sensing [1], are instances of linear inverse problems, where the goal is to recover an image from potentially noisy measurements given through a known linear degradation model. For a specific degradation model, image restoration can be addressed through end-to-end supervised training of neural networks, using pairs of original and degraded images [14, 58, 41]. However, real-world applications such as medical imaging often require flexibility to cope with multiple, possibly infinite, degradation models [46]. Here, unsupervised approaches based on learned priors [36], where the degradation model is only known and used during inference, may be more desirable since they can adapt to the given problem without re-training [51]. By learning sound assumptions over the underlying structure of images (e.g., priors, proximal operators or denoisers), unsupervised approaches can achieve effective restoration without training on specific degradation models [51, 40]. ", + "bbox": [ + 174, + 676, + 826, + 843 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Under this unsupervised setting, priors based on deep neural networks have demonstrated impressive empirical results in various image restoration tasks [40, 50, 43, 38, 15]. To recover the signal, most existing methods obtain a prior-related term over the signal from a neural network (e.g., the distribution of natural images), and a likelihood term from the degradation model. They combine the two terms to form a posterior over the signal, and the inverse problem can be posed as solving an optimization problem (e.g., maximum a posteriori [8, 40]) or solving a sampling problem (e.g., posterior sampling [2, 3, 25]). Then, these problems are often solved with iterative methods, such as gradient descent or Langevin dynamics, which may be demanding in computation and sensitive to hyperparameter tuning. An extreme example is found in [30] where a “fast” version of the algorithm uses 15, 000 neural function evaluations (NFEs). ", + "bbox": [ + 176, + 849, + 823, + 877 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/801265c5fb23e87dfcdc53eb65a6f1c2d596bee083cb8985f9b5061490a33f87.jpg", + "image_caption": [ + "Figure 1: Pairs of measurements and recovered images with a 20-step DDRM on super-resolution, deblurring, inpainting, and colorization, with or without noise, and with unconditional generative models. The images are not accessed during training. " + ], + "image_footnote": [], + "bbox": [ + 183, + 88, + 816, + 315 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 390, + 825, + 502 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Inspired by this unsupervised line of work, we introduce an efficient approach named Denoising Diffusion Restoration Models (DDRM), that can achieve competitive results in as low as 20 NFEs. DDRM is a denoising diffusion generative model [44, 19, 45] that gradually and stochastically denoises a sample to the desired output, conditioned on the measurements and the inverse problem. This way we introduce a variational inference objective for learning the posterior distribution of the inverse problem at hand. We then show its equivalence to the objective of an unconditional denoising diffusion generative model [19], which enables us to deploy such models in DDRM for various linear inverse problems (see Figure 2). To our best knowledge, DDRM is the first general sampling-based inverse problem solver that can efficiently produce a range of high-quality, diverse, yet valid solutions for general content images. ", + "bbox": [ + 174, + 507, + 825, + 646 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We demonstrate the empirical effectiveness of DDRM by comparing with various competitive methods based on learned priors, such as Deep Generative Prior (DGP) [38], SNIPS [25], and Regularization by Denoising (RED) [40]. On ImageNet examples, DDRM mostly outperforms the neural network baselines under noiseless super-resolution and deblurring measured in PSNR and KID [5], and is at least $5 0 \\times$ more efficient in terms of NFEs when it is second-best. Our advantage becomes even larger when measurement noise is involved, as noisy artifacts produced by iterative methods do not appear in our case. Over various real-world images, we further show DDRM results on super-resolution, deblurring, inpainting and colorization (see Figure 1). A DDRM trained on ImageNet also works on images that are out of its training set distribution (see Figure 6). ", + "bbox": [ + 174, + 652, + 825, + 777 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Background ", + "text_level": 1, + "bbox": [ + 174, + 796, + 308, + 813 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Linear Inverse Problems. A general linear inverse problem is posed as ", + "bbox": [ + 176, + 827, + 656, + 842 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/e5a3fee284a54bb7db9a90b40e2d086911c5792538822ae65e9d69812580cbbd.jpg", + "text": "$$\n{ \\bf { y } } = { \\cal H } { \\bf { x } } + { \\bf { z } } ,\n$$", + "text_format": "latex", + "bbox": [ + 450, + 847, + 545, + 863 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where we aim to recover the signal $\\mathbf { x } \\in \\mathbb { R } ^ { n }$ from measurements $\\mathbf { y } \\in \\mathbb { R } ^ { m }$ , where $\\pmb { H } \\in \\mathbb { R } ^ { m \\times n }$ is a known linear degradation matrix, and $\\mathbf { z } \\sim \\mathcal { N } ( 0 , \\sigma _ { \\mathbf { y } } ^ { 2 } I )$ is an i.i.d. additive Gaussian noise with known variance. The underlying structure of $\\mathbf { x }$ can be represented via a generative model, denoted as $p _ { \\theta } ( \\mathbf { x } )$ . Given $\\mathbf { y }$ and $\\pmb { H }$ , a posterior over the signal can be posed as: $p _ { \\boldsymbol { \\theta } } ( \\mathbf { x } | \\mathbf { y } ) \\propto p _ { \\boldsymbol { \\theta } } ( \\mathbf { x } ) p ( \\mathbf { y } | \\mathbf { x } )$ , where the “likelihood” term $p ( \\mathbf { y } \\vert \\mathbf { x } )$ is defined via Equation (1); such an approach leverages a learned prior $p _ { \\theta } ( \\mathbf { x } )$ , and we call it an “unsupervised” approach based on the terminology in [36], as the prior does not necessarily depend on the inverse problem. Recovering $\\mathbf { x }$ can be done by sampling from this posterior [2], which may require many iterations to produce a good sample. Alternatively, one can also approximate this posterior by learning a model via amortized inference (i.e., supervised learning); the model learns to predict $\\mathbf { x }$ given y, generated from $\\mathbf { x }$ and a specific $\\pmb { H }$ . While this can be more efficient than sampling-based methods, it may generalize poorly to inverse problems that have not been trained on. ", + "bbox": [ + 174, + 869, + 823, + 911 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/3b8223ff3635bca0230fef513f42439b878155e66e5927dbf70c34d1b20a1fda.jpg", + "image_caption": [ + "Figure 2: Illustration of our DDRM method for a specific inverse problem (super-resolution $^ +$ denoising). We can use unsupervised DDPM models as a good solution to the DDRM objective. " + ], + "image_footnote": [], + "bbox": [ + 194, + 88, + 802, + 246 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 304, + 826, + 431 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Denoising Diffusion Probabilistic Models. Structures learned by generative models have been applied to various inverse problems and often outperform data-independent structural constraints such as sparsity [7]. These generative models learn a model distribution $p _ { \\theta } ( \\mathbf { x } )$ that approximates a data distribution $q ( \\mathbf { x } )$ from samples. In particular, diffusion models have demonstrated impressive unconditional generative modeling performance on images [13]. Diffusion models are generative models with a Markov chain structure ${ \\bf x } _ { T } \\to { \\bf x } _ { T - 1 } \\to { \\bf . . . } \\to { \\bf x } _ { 1 } \\to { \\bf x } _ { 0 }$ (where $\\mathbf { x } _ { t } \\in \\mathbb { R } ^ { n }$ ), which has the following joint distribution: ", + "bbox": [ + 173, + 443, + 826, + 541 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/508923df76018b3c2e803227bd9e0bb963d64c6f6079be1dbfbcec3fec7f9db6.jpg", + "text": "$$\np _ { \\theta } ( \\mathbf { x } _ { 0 : T } ) = p _ { \\theta } ^ { ( T ) } ( \\mathbf { x } _ { T } ) \\prod _ { t = 0 } ^ { T - 1 } p _ { \\theta } ^ { ( t ) } ( \\mathbf { x } _ { t } | \\mathbf { x } _ { t + 1 } ) .\n$$", + "text_format": "latex", + "bbox": [ + 362, + 544, + 633, + 588 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "After drawing $\\mathbf { x } _ { \\mathrm { 0 : } T }$ , only $\\mathbf { x } _ { \\mathrm { 0 } }$ is kept as the sample of the generative model. To train a diffusion model, a fixed, factorized variational inference distribution is introduced: ", + "bbox": [ + 178, + 590, + 823, + 618 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/e217e67c03d771e5b6820382fd8bbb2485042b7c09d7b69982aa47b2500287ed.jpg", + "text": "$$\nq ( \\mathbf { x } _ { 1 : T } | \\mathbf { x } _ { 0 } ) = q ^ { ( T ) } ( \\mathbf { x } _ { T } | \\mathbf { x } _ { 0 } ) \\prod _ { t = 0 } ^ { T - 1 } q ^ { ( t ) } ( \\mathbf { x } _ { t } | \\mathbf { x } _ { t + 1 } , \\mathbf { x } _ { 0 } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 333, + 619, + 663, + 664 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "which leads to an evidence lower bound (ELBO) on the maximum likelihood objective [44]. A special property of some diffusion models is that both $p _ { \\theta } ^ { ( t ) }$ and $q ^ { ( t ) }$ are chosen as conditional Gaussian distributions for all $t < T$ , and that $q ( \\mathbf { x } _ { t } | \\mathbf { x } _ { 0 } )$ is also a Gaussian with known mean and covariance, i.e., $\\mathbf { x } _ { t }$ can be treated as $\\mathbf { x } _ { \\mathrm { 0 } }$ directly corrupted with Gaussian noise. Thus, the ELBO objective can be reduced into the following denoising autoencoder objective (please refer to [45] for derivations): ", + "bbox": [ + 173, + 665, + 826, + 739 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/97bb1567c865f037aa066a161d5d52b9456b7b893ca195e9d6fb5d71139d72a5.jpg", + "text": "$$\n\\sum _ { t = 1 } ^ { T } \\gamma _ { t } \\mathbb { E } _ { ( \\mathbf { x } _ { 0 } , \\mathbf { x } _ { t } ) \\sim q ( \\mathbf { x } _ { 0 } ) q ( \\mathbf { x } _ { t } | \\mathbf { x } _ { 0 } ) } \\left[ \\big \\lVert \\mathbf { x } _ { 0 } - f _ { \\theta } ^ { ( t ) } ( \\mathbf { x } _ { t } ) \\big \\rVert _ { 2 } ^ { 2 } \\right]\n$$", + "text_format": "latex", + "bbox": [ + 338, + 742, + 656, + 785 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $f _ { \\theta } ^ { ( t ) }$ is a $\\theta$ -parameterized neural network that aims to recover a noiseless observation from a noisy $\\mathbf { x } _ { t }$ , and $\\gamma _ { 1 : T }$ are a set of positive coefficients that depend on $q \\big ( \\mathbf { x } _ { 1 : T } | \\mathbf { x } _ { 0 } \\big )$ . ", + "bbox": [ + 171, + 791, + 823, + 821 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Denoising Diffusion Restoration Models ", + "text_level": 1, + "bbox": [ + 173, + 838, + 539, + 856 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Inverse problem solvers based on posterior sampling often face a dilemma: unsupervised approaches apply to general problems but are inefficient, whereas supervised ones are efficient but can only address specific problems. ", + "bbox": [ + 174, + 868, + 825, + 911 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "To solve this dilemma, we introduce Denoising Diffusion Restoration Models (DDRM), an unsupervised solver for general linear inverse problems, capable of handling such tasks with or without noise in the measurements. DDRM is efficient and exhibits competitive performance compared to popular unsupervised solvers [40, 38, 25]. ", + "bbox": [ + 174, + 90, + 825, + 147 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The key idea behind DDRM is to find an unsupervised solution that also suits supervised learning objectives. First, we describe the variational objective for DDRM over a specific inverse problem (Section 3.1). Next, we introduce specific forms of DDRM that are suitable for linear inverse problems and allow pre-trained unconditional and class-conditional diffusion models to be used directly (Sections 3.2, 3.3). Finally, we discuss practical algorithms that are compute and memory efficient (Sections 3.4, 3.5). ", + "bbox": [ + 173, + 152, + 825, + 237 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Variational Objective for DDRM ", + "text_level": 1, + "bbox": [ + 174, + 257, + 441, + 272 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "For any linear inverse problem, we define DDRM as a Markov chain ${ \\bf x } _ { T } \\to { \\bf x } _ { T - 1 } \\to { \\bf . . . } \\to { \\bf x } _ { 1 } \\to { \\bf x } _ { 0 }$ conditioned on $\\mathbf { y }$ , where ", + "bbox": [ + 174, + 284, + 823, + 313 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/da8248673243116ecaed204593149c93ac358bbde6eaf0fd4a688c4ccf83be28.jpg", + "text": "$$\np _ { \\theta } ( \\mathbf { x } _ { 0 : T } | \\mathbf { y } ) = p _ { \\theta } ^ { ( T ) } ( \\mathbf { x } _ { T } | \\mathbf { y } ) \\prod _ { t = 0 } ^ { T - 1 } p _ { \\theta } ^ { ( t ) } ( \\mathbf { x } _ { t } | \\mathbf { x } _ { t + 1 } , \\mathbf { y } )\n$$", + "text_format": "latex", + "bbox": [ + 343, + 321, + 656, + 366 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "and $\\mathbf { x } _ { \\mathrm { 0 } }$ is the final diffusion output. In order to perform inference, we consider the following factorized variational distribution conditioned on y: ", + "bbox": [ + 173, + 376, + 825, + 404 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/6f9bf5dcbe0ebeb264c2d59ae53d87d6d399f4c3690a85e470043e0c2932bec8.jpg", + "text": "$$\nq ( \\mathbf { x } _ { 1 : T } | \\mathbf { x } _ { 0 } , \\mathbf { y } ) = q ^ { ( T ) } ( \\mathbf { x } _ { T } | \\mathbf { x } _ { 0 } , \\mathbf { y } ) \\prod _ { t = 0 } ^ { T - 1 } q ^ { ( t ) } ( \\mathbf { x } _ { t } | \\mathbf { x } _ { t + 1 } , \\mathbf { x } _ { 0 } , \\mathbf { y } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 307, + 412, + 689, + 458 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "leading to an ELBO objective for diffusion models conditioned on $\\mathbf { y }$ (details in Appendix A). ", + "bbox": [ + 169, + 467, + 785, + 482 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In the remainder of the section, we construct suitable variational problems given $\\pmb { H }$ and $\\sigma _ { \\mathbf { y } }$ and connect them to unconditional diffusion generative models. To simplify notations, we will construct the variational distribution $q$ such that $\\bar { q } ( \\mathbf { x } _ { t } | \\mathbf { x } _ { 0 } ) = \\mathcal { N } ( \\mathbf { x } _ { 0 } , \\sigma _ { t } ^ { 2 } I )$ for noise levels $0 = \\sigma _ { 0 } < \\sigma _ { 1 } <$ $\\sigma _ { 2 } < . . . < \\sigma _ { T }$ .2 In Appendix B, we will show that this is equivalent to the distribution introduced in DDPM [19] and DDIM [45],3 up to fixed linear transformations over $\\mathbf { x } _ { t }$ . ", + "bbox": [ + 173, + 487, + 825, + 558 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.2 A Diffusion Process for Image Restoration ", + "text_level": 1, + "bbox": [ + 174, + 577, + 508, + 592 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Similar to SNIPS [25], we consider the singular value decomposition (SVD) of $\\pmb { H }$ , and perform the diffusion in its spectral space. The idea behind this is to tie the noise present in the measurements $\\mathbf { y }$ with the diffusion noise in $\\mathbf { x } _ { 1 : T }$ , ensuring that the diffusion result $\\mathbf { x } _ { \\mathrm { 0 } }$ is faithful to the measurements. By using the SVD, we identify the data from $\\mathbf { x }$ that is missing in y, and synthesize it using a diffusion process. In conjunction, the noisy data in y undergoes a denoising process. For example, in inpainting with noise (e.g., $\\pmb { H } = \\mathrm { d i a g } ( [ 1 , \\dots , 1 , 0 , \\dots , 0 ] )$ , $\\sigma _ { \\mathbf { y } } \\geq 0 $ ), the spectral space is simply the pixel space, so the model should generate the missing pixels and denoise the observed ones in y. For a general linear $\\pmb { H }$ , its SVD is given as ", + "bbox": [ + 173, + 603, + 826, + 715 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/6a7bf944e23d0d53ea09e94bec0640ca69c87cf596f4b82e4947f0ae938933df.jpg", + "text": "$$\n\\pmb { H } = \\pmb { U } \\pmb { \\Sigma V } ^ { \\top }\n$$", + "text_format": "latex", + "bbox": [ + 450, + 724, + 549, + 743 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\pmb { U } \\in \\mathbb { R } ^ { m \\times m }$ , $V \\in \\mathbb { R } ^ { n \\times n }$ are orthogonal matrices, and $\\pmb { \\Sigma } \\in \\mathbb { R } ^ { m \\times n }$ is a rectangular diagonal matrix containing the singular values of $\\pmb { H }$ , ordered descendingly. As this is the case in most useful degradation models, we assume $m \\leq n$ , but our method would work for $m > n$ as well. We denote the singular values as $s _ { 1 } \\geq s _ { 2 } \\geq . . . \\geq s _ { m }$ , and define $s _ { i } = 0$ for $i \\in [ m + 1 , n ]$ . ", + "bbox": [ + 173, + 756, + 825, + 814 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We use the shorthand notations for values in the spectral space: $\\bar { \\mathbf { x } } _ { t } ^ { ( i ) }$ is the $i$ -th index of the vector $\\bar { \\bf x } _ { t } =$ $V ^ { \\top } \\mathbf { x } _ { t }$ , and $\\bar { \\mathbf { y } } ^ { ( i ) }$ is the $i$ -th index of the vector $\\bar { \\mathbf { y } } = \\pmb { \\Sigma } ^ { \\dagger } \\pmb { U } ^ { \\top } \\mathbf { y }$ (where $\\dagger$ denotes the Moore–Penrose pseudo-inverse). Because $V$ is an orthogonal matrix, we can recover $\\mathbf { x } _ { t }$ from $\\bar { \\mathbf { x } } _ { t }$ exactly by left multiplying $V$ . For each index $i$ in $\\bar { \\mathbf { x } } _ { t }$ , we define the variational distribution as: ", + "bbox": [ + 174, + 820, + 825, + 867 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 90, + 692, + 106 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/494867cdbf6bd04599078f99a07bd23ee5db695a83cf3f39e5e40b90ad7091e8.jpg", + "text": "$$\n\\begin{array} { r l } & { \\quad q ^ { ( T ) } ( \\bar { \\mathbf { x } } _ { T } ^ { ( i ) } | \\mathbf { x } _ { 0 } , \\mathbf { y } ) = \\left\\{ \\begin{array} { l l } { \\mathcal { N } ( \\bar { \\mathbf { y } } ^ { ( i ) } , \\sigma _ { T } ^ { 2 } - \\frac { \\sigma _ { y } ^ { 2 } } { s _ { i } ^ { 2 } } ) } & { \\mathrm { i f ~ } s _ { i } > 0 } \\\\ { \\mathcal { N } ( \\bar { \\mathbf { x } } _ { 0 } ^ { ( i ) } , \\sigma _ { T } ^ { 2 } ) } & { \\mathrm { i f ~ } s _ { i } = 0 } \\end{array} \\right. } \\\\ & { \\quad q ^ { ( t ) } ( \\bar { \\mathbf { x } } _ { t } ^ { ( i ) } | \\mathbf { x } _ { t + 1 } , \\bar { \\mathbf { x } } _ { 0 } ^ { ( \\bar { \\mathbf { \\alpha } } ) } , \\mathbf { y } ) = \\left\\{ \\begin{array} { l l } { \\mathcal { N } ( \\bar { \\mathbf { x } } _ { 0 } ^ { ( i ) } + \\sqrt { 1 - \\eta ^ { 2 } } \\sigma _ { t } \\frac { \\bar { \\mathbf { x } } _ { t + 1 } ^ { ( i ) } - \\bar { \\mathbf { x } } _ { 0 } ^ { ( i ) } } { \\sigma _ { t + 1 } } , \\eta ^ { 2 } \\sigma _ { t } ^ { 2 } ) } & { \\mathrm { i f ~ } s _ { i } = 0 } \\\\ { \\mathcal { N } ( \\bar { \\mathbf { x } } _ { 0 } ^ { ( i ) } + \\sqrt { 1 - \\eta ^ { 2 } } \\sigma _ { t } \\frac { \\bar { \\mathbf { y } } ^ { ( i ) } - \\bar { \\mathbf { x } } _ { 0 } ^ { ( i ) } } { \\sigma _ { y } / s _ { i } } , \\eta ^ { 2 } \\sigma _ { t } ^ { 2 } ) } & { \\mathrm { i f ~ } \\sigma _ { t } < \\frac { \\sigma _ { \\mathbf { y } } } { s _ { i } } } \\\\ { \\mathcal { N } ( ( 1 - \\eta _ { b } ) \\bar { \\mathbf { x } } _ { 0 } ^ { ( i ) } + \\eta _ { b } \\bar { \\mathbf { y } } ^ { ( i ) } , \\sigma _ { t } ^ { 2 } - \\frac { \\sigma _ { \\mathbf { y } } ^ { 2 } } { s _ { i } ^ { 2 } } \\eta _ { b } ^ { 2 } ) } & { \\mathrm { i f ~ } \\sigma _ { t } \\ge \\frac { \\sigma _ { \\mathbf { y } } } { s _ { i } } } \\end{array} \\right. } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 238, + 112, + 758, + 233 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where $\\eta \\in ( 0 , 1 ]$ is a hyperparameter controlling the variance of the transitions, and $\\eta$ and $\\eta _ { b }$ may depend on $\\sigma _ { t } , s _ { i } , \\sigma _ { \\mathbf { y } }$ . We further assume that $\\sigma _ { T } \\geq \\sigma _ { \\mathbf { y } } / s _ { i }$ for all positive $s _ { i }$ .4 ", + "bbox": [ + 174, + 237, + 823, + 267 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In the following statement, we show that this construction has the “Gaussian marginals” property similar to the inference distribution used in unconditional diffusion models [19]. ", + "bbox": [ + 174, + 272, + 820, + 300 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Proposition 3.1. The conditional distributions $q ^ { ( t ) }$ defined in Equations 4 and 5 satisfy the following: ", + "bbox": [ + 176, + 303, + 823, + 320 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/a4d60ac2812957f5fdd741df249a0fcb253712d0e64b950edad891d470df2a2d.jpg", + "text": "$$\nq ( \\mathbf { x } _ { t } | \\mathbf { x } _ { 0 } ) = \\mathcal { N } ( \\mathbf { x } _ { 0 } , \\sigma _ { t } ^ { 2 } \\pmb { I } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 415, + 324, + 581, + 343 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "defined by marginalizing over $\\mathbf { x } _ { t ^ { \\prime } }$ (for all $t ^ { \\prime } > t$ ) and y, where $q ( \\mathbf { y } \\vert \\mathbf { x } _ { 0 } )$ is defined as in Equation (1) with $\\mathbf { x } = \\mathbf { x } _ { 0 }$ . ", + "bbox": [ + 174, + 348, + 825, + 377 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We place the proof in Appendix C. Intuitively, our construction considers different cases for each index of the spectral space. $( i )$ If the corresponding singular value is zero, then y does not directly provide any information to that index, and the update is similar to regular unconditional generation. $( i i )$ If the singular value is non-zero, then the updates consider the information provided by $\\mathbf { y }$ , which further depends on whether the measurements’ noise level in the spectral space $( \\sigma _ { \\mathbf { y } } / s _ { i } )$ is larger than the noise level in the diffusion model $( \\sigma _ { t } )$ or not; the measurements in the spectral space $\\bar { \\mathbf { y } } ^ { ( i ) }$ are then scaled differently for these two cases in order to ensure Proposition 3.1 holds. ", + "bbox": [ + 173, + 386, + 825, + 487 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Now that we have defined $q ^ { ( t ) }$ as a series of Gaussian conditionals, we define our model distribution $p _ { \\theta }$ as a series of Gaussian conditionals as well. Similar to DDPM, we aim to obtain predictions of $\\mathbf { x } _ { \\mathrm { 0 } }$ at every step $t$ ; and to simplify notations, we use the symbol $\\mathbf { x } _ { \\theta , t }$ to represent this prediction made by a model5 $f _ { \\theta } ( \\mathbf { x } _ { t + 1 } , t + 1 ) : \\mathbb { R } ^ { n } \\times \\mathbb { R } \\to \\mathbb { R } ^ { n }$ that takes in the sample $\\mathbf { x } _ { t + 1 }$ and the conditioned time step $( t + 1 )$ . We also define $\\bar { \\mathbf { x } } _ { \\theta , t } ^ { ( i ) }$ as the $i$ -th index of $\\bar { \\mathbf { x } } _ { \\theta , t } = { \\mathbf { \\nabla } } V ^ { \\top } \\mathbf { x } _ { \\theta , t }$ . ", + "bbox": [ + 173, + 492, + 825, + 570 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We define DDRM with trainable parameters $\\theta$ as follows: ", + "bbox": [ + 173, + 577, + 550, + 592 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/d515fd4c84fe286359a4f50ba641459582587832a7e36e7c3b90cb086d1c3351.jpg", + "text": "$$\n\\begin{array} { r } { p _ { \\theta } ^ { ( T ) } ( \\bar { \\mathbf { x } } _ { T } ^ { ( i ) } | \\mathbf { y } ) = \\left\\{ \\begin{array} { l l } { \\mathcal { N } ( \\bar { \\mathbf { y } } ^ { ( i ) } , \\sigma _ { T } ^ { 2 } - \\frac { \\sigma _ { y } ^ { 2 } } { s _ { i } ^ { 2 } } ) } & { \\mathrm { i f ~ } s _ { i } > 0 } \\\\ { \\mathcal { N } ( 0 , \\sigma _ { T } ^ { 2 } ) } & { \\mathrm { i f ~ } s _ { i } = 0 } \\end{array} \\right. } \\\\ { p _ { \\theta } ^ { ( t ) } ( \\bar { \\mathbf { x } } _ { t } ^ { ( i ) } | \\mathbf { x } _ { t + 1 } , \\mathbf { y } ) = \\left\\{ \\begin{array} { l l } { \\mathcal { N } ( \\bar { \\mathbf { x } } _ { \\theta , t } ^ { ( i ) } + \\sqrt { 1 - \\eta ^ { 2 } } \\sigma _ { t } \\frac { \\bar { \\mathbf { x } } _ { t + 1 } ^ { ( i ) } - \\bar { \\mathbf { x } } _ { \\theta , t } ^ { ( i ) } } { \\sigma _ { t + 1 } } , \\eta ^ { 2 } \\sigma _ { t } ^ { 2 } ) } & { \\mathrm { i f ~ } s _ { i } = 0 } \\\\ { \\mathcal { N } ( \\bar { \\mathbf { x } } _ { \\theta , t } ^ { ( i ) } + \\sqrt { 1 - \\eta ^ { 2 } } \\sigma _ { t } \\frac { \\bar { \\mathbf { y } } ^ { ( i ) } - \\bar { \\mathbf { x } } _ { \\theta , t } ^ { ( i ) } } { \\sigma _ { y } / s _ { i } } , \\eta ^ { 2 } \\sigma _ { t } ^ { 2 } ) } & { \\mathrm { i f ~ } \\sigma _ { t } < \\frac { \\sigma _ { \\mathbf { y } } } { s _ { i } } } \\\\ { \\mathcal { N } ( ( 1 - \\eta _ { b } ) \\bar { \\mathbf { x } } _ { \\theta , t } ^ { ( i ) } + \\eta _ { b } \\bar { \\mathbf { y } } ^ { ( i ) } , \\sigma _ { t } ^ { 2 } - \\frac { \\sigma _ { y } ^ { 2 } } { s _ { i } ^ { 2 } } \\eta _ { b } ^ { 2 } ) } & { \\mathrm { i f ~ } \\sigma _ { t } \\ge \\frac { \\sigma _ { \\mathbf { y } } } { s _ { i } } . } \\end{array} \\right. } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 248, + 597, + 746, + 719 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Compared to $q ^ { ( t ) }$ in Equations (4) and (5), our definition of $p _ { \\theta } ^ { ( t ) }$ merely replaces $\\bar { \\mathbf { x } } _ { 0 } ^ { ( i ) }$ (which we do not know at sampling) with $\\bar { \\mathbf { x } } _ { \\theta , t } ^ { ( i ) }$ (which depends on our predicted $\\mathbf { x } _ { \\theta , t }$ ) when $t < T$ , and replaces $\\bar { \\mathbf { x } } _ { 0 } ^ { ( i ) }$ with 0 when $t = T$ . It is possible to learn the variances [35] or consider alternative constructions where Proposition 3.1 holds; we leave these options as future work. ", + "bbox": [ + 173, + 732, + 826, + 803 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 “Learning” Image Restoration Models ", + "text_level": 1, + "bbox": [ + 174, + 816, + 482, + 833 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Once we have defined $p _ { \\theta } ^ { ( t ) }$ and $q ^ { ( t ) }$ by choosing $\\sigma _ { 1 : T }$ , $\\eta$ and $\\eta _ { b }$ , we can learn model parameters $\\theta$ by maximizing the resulting ELBO objective (in Appendix A). However, this approach is not desirable since we have to learn a different model for each inverse problem (given $\\pmb { H }$ and $\\sigma _ { \\mathbf { y } } .$ ), which is not flexible enough for arbitrary inverse problems. Fortunately, this does not have to be the case. In the following statement, we show that an optimal solution to DDPM / DDIM can also be an optimal solution to a DDRM problem, under reasonable assumptions used in prior work [19, 45]. ", + "bbox": [ + 178, + 843, + 825, + 876 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/81bc643d694333d66b6dd90380745687282edff4eb6ea14cd668b967ec261af4.jpg", + "image_caption": [ + "Figure 3: DDRM results on bedroom and cat images, for inpainting and deblurring. " + ], + "image_footnote": [], + "bbox": [ + 176, + 88, + 818, + 279 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 329, + 825, + 386 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Theoremthen when ssumand els , th $f _ { \\theta } ^ { ( t ) }$ and BO $f _ { \\theta } ^ { ( t ^ { \\prime } ) }$ do not have weight sharing whenetive of DDRM (details in Appendix r ) $t \\neq t ^ { \\prime }$ η = 1 η b = 2 σ tσ 2t +σ 2y /s 2i $A$ rewritten in the form of the DDPM / DDIM objective in Equation (2). ", + "bbox": [ + 174, + 391, + 825, + 446 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We place the proof in Appendix C. ", + "bbox": [ + 176, + 458, + 401, + 473 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Even for different choices of $\\eta$ and $\\eta _ { b }$ , the proof shows that the DDRM objective is a weighted sumof-squares error in the spectral space, and thus pre-trained DDPM models are good approximations to the optimal solution. Therefore, we can apply the same diffusion model (unconditioned on the inverse problem) using the updates in Equation (7) and Equation (8) and only modify $\\pmb { H }$ and its SVD $( U , \\Sigma , V )$ for various linear inverse problems. ", + "bbox": [ + 174, + 479, + 825, + 549 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.4 Accelerated Algorithms for DDRM ", + "text_level": 1, + "bbox": [ + 176, + 566, + 457, + 582 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Typical diffusion models are trained with many timesteps (e.g., 1000) to achieve optimal unconditional image synthesis quality, but sampling speed is slow as many NFEs are required. Previous works [45, 13] have accelerated this process by “skipping” steps with appropriate update rules. This is also true for DDRM, since we can obtain the denoising autoencoder objective in Equation (2) for any choice of increasing $\\sigma _ { 1 : T }$ . For a pre-trained diffusion model with $T ^ { \\prime }$ timesteps, we can choose $\\sigma _ { 1 : T }$ to be a subset of the $T ^ { \\prime }$ steps used in training. ", + "bbox": [ + 173, + 592, + 825, + 676 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "3.5 Memory Efficient SVD ", + "text_level": 1, + "bbox": [ + 174, + 693, + 372, + 708 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Our method, similar to SNIPS [25], utilizes the SVD of the degradation operator $\\pmb { H }$ . This constitutes a memory consumption bottleneck in both algorithms as well as other methods such as Plug and Play $( \\mathrm { P n P } )$ [51], as storing the matrix $V$ has a space complexity of $\\Theta ( n ^ { 2 } )$ for signals of size $n$ . By leveraging special properties of the matrices $\\pmb { H }$ used, we can reduce this complexity to $\\Theta ( n )$ for denoising, inpainting, super resolution, deblurring, and colorization (details in Appendix D). ", + "bbox": [ + 174, + 719, + 825, + 790 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Related Work ", + "text_level": 1, + "bbox": [ + 174, + 809, + 321, + 827 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Various deep learning solutions have been suggested for solving inverse problems under different settings (see a detailed survey in [37]). We focus on the unsupervised setting, where we have access to a dataset of clean images at training time, but the degradation model is known only at inference time. This setup is inherently general to all linear inverse problems, a property desired in many real-world applications such as medical imaging [46, 20]. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/15b59c181c889f7e18b39ef45a7c4778bef8bae06895ab56077d0238e8036c79.jpg", + "table_caption": [ + "Table 1: Noiseless $4 \\times$ super-resolution and deblurring results on ImageNet 1K $( 2 5 6 \\times 2 5 6 )$ . " + ], + "table_footnote": [], + "table_body": "
Method4× super-resolutionDeblurring
PSNR↑SSIM↑KID↓NFEs↓PSNR↑SSIM个KID↓NFEs↓
Baseline25.650.7144.90019.260.4838.000
DGP23.060.5621.22150022.700.5227.601500
RED26.080.7353.5510026.160.7621.21500
SNIPS17.580.2235.17100034.320.870.491000
DDRM26.550.727.222035.640.950.7120
DDRM-CC26.550.746.562035.650.960.7020
", + "bbox": [ + 173, + 117, + 825, + 252 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Almost all unsupervised inverse problem solvers utilize a trained neural network in an iterative scheme. PnP, RED, and their successors [51, 40, 32, 49] apply a denoiser as part of an iterative optimization algorithm such as steepest descent, fixed-point, or alternating direction method of multipliers (ADMM). OneNet [39] trained a network to directly learn the proximal operator of ADMM. A similar use of denoisers in different iterative algorithms is proposed in [34, 16, 30]. The authors of [43] leverages robust classifiers learned with additional class labels. ", + "bbox": [ + 174, + 282, + 825, + 366 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Another approach is to search the latent space of a generative model for a generated image that, when degraded, is as close as possible to the given measurements. Multiple such methods were suggested, mainly focusing on generative adversarial networks (GANs) [7, 11, 33]. While they exhibit impressive results on images of a specific class, most notably face images, these methods are not shown to be largely successful under a more diverse dataset such as ImageNet [12]. Deep Generative Prior (DGP) mitigates this issue by optimizing the latent input as well as the weights of the GAN’s generator [38]. ", + "bbox": [ + 174, + 372, + 825, + 469 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "More recently, denoising diffusion models were used to solve inverse problems in both supervised (i.e., degradation model is known during training) [42, 41, 13, 10, 54] and unsupervised settings [22, 26, 25, 21, 46, 47, 9]. Unlike previous approaches, most diffusion-based methods can successfully recover images from measurements with significant noise. However, these methods are very slow, often requiring hundreds or thousands of iterations, and are yet to be proven on diverse datasets. Our method, motivated by variational inference, obtains problem-specific, non-equilibrium update rules that lead to high-quality solutions in much fewer iterations. ", + "bbox": [ + 174, + 476, + 825, + 573 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "ILVR [9] suggests a diffusion-based method that handles noiseless super-resolution, and can run in 250 steps. In Appendix H, we prove that when applied on the same underlying generative diffusion model, ILVR is a special case of DDRM. Therefore, ILVR can be further accelerated to run in 20 steps, but unlike DDRM, it provides no clear way of handling noise in the measurements. Similarly, the authors of [22] suggest a score-based solver for inverse problems that can converge in a small number of iterations, but does not handle noise in the measurements. ", + "bbox": [ + 174, + 579, + 825, + 662 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 Experiments ", + "text_level": 1, + "bbox": [ + 174, + 681, + 312, + 699 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.1 Experimental Setup ", + "text_level": 1, + "bbox": [ + 174, + 713, + 351, + 728 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We demonstrate our algorithm’s capabilities using the diffusion models from [19], which are trained on CelebA-HQ [23], LSUN bedrooms, and LSUN cats [56] (all $2 5 6 \\times 2 5 6$ pixels). We test these models on images from FFHQ [24], and pictures from the internet of the considered LSUN category, respectively. In addition, we use the models from [13], trained on the training set of ImageNet $2 5 6 \\times 2 5 6$ and $5 1 2 \\times 5 1 2$ , and tested on the corresponding validation set. Some of the ImageNet models require class information. For these models, we use the ground truth labels as input, and denote our algorithm as DDRM class conditional (DDRM-CC). In all experiments, we use $\\eta = 0 . 8 5$ , $\\eta _ { b } = 1$ , and a uniformly-spaced timestep schedule based on the 1000-step pre-trained models (more details in Appendix E). The number of NFEs (timesteps) is reported in each experiment. ", + "bbox": [ + 174, + 738, + 825, + 863 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In each of the inverse problems we show, pixel values are in the range $[ 0 , 1 ]$ , and the degraded measurements are obtained as follows: $( i )$ for super-resolution, we use a block averaging filter to downscale the images by a factor of 2, 4, or 8 in each axis; $( i i )$ for deblurring, the images are blurred by a $9 \\times 9$ uniform kernel, and singular values below a certain threshold are zeroed, making the problem more ill-posed. (iii) for colorization, the grayscale image is an average of the red, green, and blue channels of the original image; $( i \\nu )$ and for inpainting, we mask parts of the original image with text overlay or randomly drop $5 0 \\%$ of the pixels. Additive white Gaussian noise can optionally be added to the measurements in all inverse problems. We additionally conduct experiments on bicubic super-resolution and deblurring with an anisotropic Gaussian kernel in Appendix I. ", + "bbox": [ + 176, + 869, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/8b6435c2611c1186e23b55821ff1b0fc496fa7600eaa32bb9aa5d5b5a04bab15.jpg", + "table_caption": [ + "Table 2: $4 \\times$ super resolution and deblurring results on ImageNet 1K $2 5 6 \\times 2 5 6 )$ . Input images have an additive noise of $\\sigma _ { \\mathbf { y } } = 0 . 0 5$ . " + ], + "table_footnote": [], + "table_body": "
Method4× super-resolutionDeblurring
PSNR↑SSIM↑KID↓NFEs↓PSNR↑SSIM↑KID↓NFEs↓
Baseline22.550.4667.86018.350.2075.500
DGP20.690.4342.17150021.200.4534.021500
RED22.900.4943.4510014.690.08121.82500
SNIPS16.300.1467.77100016.370.1477.961000
DDRM25.210.6612.432025.450.6615.2420
DDRM-CC25.220.6710.822025.460.6713.4920
", + "bbox": [ + 173, + 132, + 836, + 265 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/dce0cb2c19799418bd2c994aecc71852b76f94b87d29b39bfca92e3ac67a7dc4.jpg", + "image_caption": [ + "Figure 4: $4 \\times$ noisy super resolution comparison with $\\sigma _ { \\mathbf { y } } = 0 . 0 5$ . " + ], + "image_footnote": [], + "bbox": [ + 181, + 286, + 818, + 382 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 431, + 825, + 515 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Our code is available at https://github.com/bahjat-kawar/ddrm. ", + "bbox": [ + 176, + 521, + 645, + 536 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "5.2 Quantitative Experiments ", + "text_level": 1, + "bbox": [ + 174, + 554, + 393, + 569 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In order to quantify DDRM’s performance, we focus on the ImageNet dataset $2 5 6 \\times 2 5 6 )$ for its diversity. For each experiment, we report the average peak signal-to-noise ratio (PSNR) and structural similarity index measure (SSIM) [52] to measure faithfulness to the original image, and the kernel Inception distance (KID) [5], multiplied by $1 0 ^ { 3 }$ , to measure the resulting image quality. ", + "bbox": [ + 174, + 580, + 825, + 636 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "We compare DDRM (with 20 and 100 steps) with other unsupervised methods that work in reasonable time (requiring 1500 NFEs or less) and can operate on ImageNet. Namely, we compare with RED [40], DGP [38], and SNIPS [25]. The exact setup of each method is detailed in Appendix F. We used the same hyperparameters for noisy and noiseless versions of the same problem for DGP, RED, and SNIPS, as tuning them for each version would compromise their unsupervised nature. Nevertheless, the performance of baselines like RED with such a tuning does not surpass that of DDRM, as we show in Appendix F. In addition, we show upscaling by bicubic interpolation as a baseline for super-resolution, and the blurry image itself as a baseline for deblurring. OneNet [39] is not included in the comparisons as it is limited to images of size $6 4 \\times 6 4$ , and generalization to higher dimensions requires an improved network architecture. ", + "bbox": [ + 173, + 642, + 823, + 671 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/c29b6e70f49e93bec3f7d31839a85160b2b005e20acbf20e9617bb3c256f753b.jpg", + "image_caption": [ + "Figure 5: $5 1 2 \\times 5 1 2$ ImageNet colorization. DDRM-CC produces various samples for multiple runs on the same input. " + ], + "image_footnote": [], + "bbox": [ + 212, + 695, + 779, + 872 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/677dbd46569b00f85565e6a7598555e2ec90d1684b5b06b3a221943f2f16443d.jpg", + "image_caption": [ + "Figure 6: Results on $2 5 6 \\times 2 5 6$ USC-SIPI images using an ImageNet model. Blurred images have a noise of $\\sigma _ { \\mathbf { y } } = 0 . 0 1$ . " + ], + "image_footnote": [], + "bbox": [ + 173, + 88, + 818, + 321 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 387, + 825, + 498 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We evaluate all methods on the problems of $4 \\times$ super-resolution and deblurring, on one validation set image from each of the 1000 ImageNet classes, following [38]. Table 1 shows that DDRM outperforms all baseline methods, in all metrics, and on both problems with only 20 steps. The only exception to this is that SNIPS achieves better KID than DDRM in noiseless deblurring, but it requires $5 0 \\times$ more NFEs to do so. Note that the runtime of all the tested methods is perfectly linear with NFEs, with negligible differences in time per iteration. DGP and DDRM-CC use ground-truth class labels for the test images to aid in the restoration process, and thus have an unfair advantage. ", + "bbox": [ + 174, + 505, + 825, + 602 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "DDRM’s appeal compared to previous methods becomes more substantial when significant noise is added to the measurements. Under this setting, DGP, RED, and SNIPS all fail to produce viable results, as evident in Table 2 and Figure 4. Since DDRM is fast, we also evaluate it on the entire ImageNet validation set in Appendix F. ", + "bbox": [ + 174, + 608, + 825, + 664 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5.3 Qualitative Experiments ", + "text_level": 1, + "bbox": [ + 174, + 680, + 383, + 695 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "DDRM produces high quality reconstructions across all the tested datasets and problems, as can be seen in Figures 1 and 3, and in Appendix I. As it is a posterior sampling algorithm, DDRM can produce multiple outputs for the same input, as demonstrated in Figure 5. Moreover, the unconditional ImageNet diffusion models can be used to solve inverse problems on out-of-distribution images with general content. In Figure 6, we show DDRM successfully restoring $2 5 6 \\times 2 5 6$ images from USC-SIPI [53] that do not necessarily belong to any ImageNet class (more results in Appendix I). ", + "bbox": [ + 174, + 707, + 825, + 790 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 Conclusions ", + "text_level": 1, + "bbox": [ + 174, + 810, + 305, + 827 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We have introduced DDRM, a general sampling-based linear inverse problem solver based on unconditional/class-conditional diffusion generative models as learned priors. Motivated by variational inference, DDRM only requires a few number of NFEs (e.g., 20) compared to other samplingbased baselines (e.g., 1000 for SNIPS) and achieves scalability in multiple useful scenarios, including denoising, super-resolution, deblurring, inpainting, and colorization. We demonstrate the empirical successes of DDRM on various problems and datasets, including general natural images outside the distribution of the observed training set. To our best knowledge, DDRM is the first unsupervised method that effectively and efficiently samples from the posterior distribution of inverse problems with significant noise, and can work on natural images with general content. ", + "bbox": [ + 174, + 842, + 825, + 911 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 92, + 825, + 147 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "In terms of future work, apart from further optimizing the timestep and variance schedules, it would be interesting to investigate the following: (i) applying DDRM to non-linear inverse problems, $( i i )$ addressing scenarios where the degradation operator is unknown, and (iii) self-supervised training techniques inspired by DDRM as well as ones used in supervised techniques [41] that further improve performance of unsupervised models for image restoration. ", + "bbox": [ + 174, + 154, + 825, + 222 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgements ", + "text_level": 1, + "bbox": [ + 176, + 242, + 338, + 258 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We thank Kristy Choi, Charlie Marx, and Avital Shafran for insightful discussions and feedback. This research was supported by NSF (#1651565, #1522054, #1733686), ONR (N00014-19-1-2145), AFOSR (FA9550-19-1-0024), ARO (W911NF-21-1-0125), Sloan Fellowship, Amazon AWS, Stanford Institute for Human-Centered Artificial Intelligence (HAI), Google Cloud, the Israel Science Foundation (ISF) under Grant 335/18, the Israeli Council For Higher Education - Planning & Budgeting Committee, and the Stephen A. Kreynes Fellowship. ", + "bbox": [ + 174, + 273, + 826, + 357 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "References ", + "text_level": 1, + "bbox": [ + 174, + 377, + 266, + 392 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "[1] Richard G Baraniuk. Compressive sensing [lecture notes]. IEEE signal processing magazine, 24(4):118–121, 2007. \n[2] Johnathan M Bardsley. Mcmc-based image reconstruction with uncertainty quantification. 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[Yes] \n(b) Did you describe the limitations of your work? [Yes] In the future work paragraph in Section 6 \n(c) Did you discuss any potential negative societal impacts of your work? [Yes] We came to the conclusion that our paper does not have potential negative societal impacts. \n(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 238, + 135, + 825, + 253 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 214, + 257, + 493, + 272 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(a) Did you state the full set of assumptions of all theoretical results? [Yes] (b) Did you include complete proofs of all theoretical results? [Yes] In the appendice ", + "bbox": [ + 233, + 276, + 795, + 308 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "3. If you ran experiments... 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If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 217, + 494, + 823, + 510 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(a) If your work uses existing assets, did you cite the creators? [Yes] \n(b) Did you mention the license of the assets? [Yes] The licenses of previous works’ code and datasets will be included in our camera-ready code. \n(c) Did you include any new assets either in the supplemental material or as a URL? [Yes] We include our code in the supplementary material. \n(d) Did you discuss whether and how consent was obtained from people whose data you’re using/curating? [Yes] Consent was given by the original authors in their work. \n(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [Yes] The datasets we use are anonymized. ", + "bbox": [ + 238, + 513, + 825, + 648 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... ", + "bbox": [ + 214, + 652, + 705, + 666 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(a) Did you include the full text of instructions given to participants and screenshots, if applicable? [N/A] \n(b) Did you describe any potential participant risks, with links to Institutional Review Board (IRB) approvals, if applicable? [N/A] \n(c) Did you include the estimated hourly wage paid to participants and the total amount spent on participant compensation? 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Method4× super-resolutionDeblurring
PSNR↑SSIM↑KID↓NFEs↓PSNR↑SSIM个KID↓NFEs↓
Baseline25.650.7144.90019.260.4838.000
DGP23.060.5621.22150022.700.5227.601500
RED26.080.7353.5510026.160.7621.21500
SNIPS17.580.2235.17100034.320.870.491000
DDRM26.550.727.222035.640.950.7120
DDRM-CC26.550.746.562035.650.960.7020
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Method4× super-resolutionDeblurring
PSNR↑SSIM↑KID↓NFEs↓PSNR↑SSIM↑KID↓NFEs↓
Baseline22.550.4667.86018.350.2075.500
DGP20.690.4342.17150021.200.4534.021500
RED22.900.4943.4510014.690.08121.82500
SNIPS16.300.1467.77100016.370.1477.961000
DDRM25.210.6612.432025.450.6615.2420
DDRM-CC25.220.6710.822025.460.6713.4920
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Guibas Stanford University + +Jiajun Wu Stanford University + +# ABSTRACT + +We study the problem of inferring an object-centric scene representation from a single image, aiming to derive a representation that is learned without supervision, explains the image formation process, and captures the scene’s 3D nature. Most existing methods on scene decomposition lack one or more of these characteristics, due to the fundamental challenge in integrating powerful unsupervised inference schemes like deep networks with the complex 3D-to-2D image formation process. In this paper, we propose unsupervised discovery of Object Radiance Fields (uORF), integrating recent progresses in neural 3D scene representations and rendering with deep inference networks for unsupervised 3D scene decomposition. Trained on only multi-view RGB images, uORF learns to decompose complex scenes with diverse, textured background from a single image. We show that uORF enables novel tasks, such as scene segmentation and editing in 3D, and it performs well on these tasks and on novel view synthesis on three datasets\*. + +# 1 INTRODUCTION + +Building factorized, object-centric scene representations is a fundamental ability in human vision and a constant topic of interest in computer vision and machine learning. We identify that such representations should bear three characteristics: they should be learned without supervision or prior knowledge about object categories, and therefore applicable to environments where object categories are unknown; they should explain the image formation process, addressing questions like ‘what if the object is not there?’; they should be 3D-aware, capturing geometric and physical object properties for navigation, interaction, and manipulation. + +For decades, researchers have attempted to solve the problems from various angles. Inspiring as they are, these methods each lack in one or more of the three aspects (Table 1). Computer vision research on unsupervised object discovery has achieved great success on deriving object segments from real images, but it doesn’t capture the image formation process, nor is it 3D-aware (Rubinstein et al., 2013; Zhu et al., 2012). Recent work on deep probabilistic inference for visual scene decomposition is unsupervised and generative (Burgess et al., 2019; Engelcke et al., 2019; Locatello et al., 2020), though most still formulate the problem as 2D segmentation and work on simple scenes of geometric primitives, ignoring the complex 3D nature of realistic visual scenes. A few recent papers on ‘scene de-rendering’ have attempted to reconstruct 3D, object-centric representations by leveraging the forward rendering procedure (Yao et al., 2018; Ost et al., 2021); they are however supervised, relying on annotations of specific object and scene categories, such as cars and road scenes. + +The fundamental challenge that prevents these systems from acquiring all three desired properties is that the image formation process from 3D to 2D is complex and non-differentiable (e.g., due to occlusion). Thus, for a long time, it has been unclear how it may be integrated with powerful deep inference schemes. But most recently, progresses in neural rendering (Tewari et al., 2020) have demonstrated that their continuous, implicit representation works well with gradient-based inference models, such as deep networks. In particular, Neural Radiance Fields (NeRFs) (Mildenhall et al., 2020) recover a 3D scene from a set of RGB images via differentiable volume rendering. Such encouraging advances in generative modeling suggest a promising route for inferring 3D, generative, and object-centric scene representations without supervision. + +In this paper, we propose unsupervised discovery of Object Radiance Fields (uORF), integrating conditional NeRFs as 3D object representations with deep inference networks for unsupervised 3D scene decomposition. uORF infers a set of object radiance fields and a background radiance field; thus, uORF represents a 3D scene as a composition of object radiance fields (Figure 1). During training, such radiance fields are neurally rendered in multiple views, with reconstruction losses in pixel space as training supervision; during testing, uORF infers the set of object radiance fields from a single image. Learning uORF does not require explicit supervision of 3D geometry or object segmentation, but only sparse multi-view RGB images of training scenes. + +![](images/5432514a57bb1445597c05650057330b2b9697276ff3dd9a74da2b03e6d6dc26.jpg) +Figure 1: Illustration of unsupervised discovery of Object Radiance Fields. We aim to infer factorized object and background radiance fields from a single view, allowing reconstructing and editing of the scene. + +The integration of NeRFs allows us to work with more realistic scenes with complex object shapes and diverse background environments, beyond simple scenes such as those in multi-dSprites (Greff et al., 2019) and CLEVR (Johnson et al., 2017), as considered by most current unsupervised scene decomposition methods. We further make two innovations to improve uORF’s performance. First, as background geometry and appearance can be quite different from foreground objects in 3D, we design uORF with explicit modeling of both components. This background-aware design not only facilitates learning on complex scenes, but also allows single-image scene editing including moving individual objects and changing background. Second, as volume rendering requires massive queries to render a single pixel for the recomposed scene, a practical challenge of learning uORF lies in the computational inefficiency. We tackle this issue by proposing a novel progressive coarse-to-fine training which improves representation quality while remaining affordable computational cost. + +We evaluate uORF on factorized scene representation learning (e.g., segmentation in 3D) and scene generation (e.g., novel view synthesis, scene editing in 3D). Our evaluation is on three datasets with a gradually increasing complexity: first, CLEVR-like scenes with primitives foreground shapes; second, room scenes with complex chair shapes and textured backgrounds; third, more diverse room scenes with various foreground shapes and backgrounds. Our results show that uORF learns factorized representations that can segment 3D scenes into objects with fine shape details (e.g., thin chair legs) and backgrounds with well-recovered appearance details (e.g., irregular textures of a wooden floor). + +In summary, our contributions are three-fold. First, we propose the problem of inferring an unsupervised, factorized, generative, and 3D-aware scene representation from a single image. Second, we introduce unsupervised discovery of Object Radiance Fields (uORF) that infers individual 3D object radiance fields from a single view for the proposed problem. Third, we demonstrate that uORF enables novel tasks such as scene segmentation and editing in 3D, and we show that it generalizes to novel scene arrangement and unseen combinations of object properties. + +# 2 RELATED WORK + +Co-segmentation and object discovery. Our work is closely related to traditional computer vision methods on object discovery, which aims to locate (visually similar) objects in a collection of images. These methods typically model objects as visual words and adopted methods from topic modeling to localize objects (Russell et al., 2006; Sivic et al., 2005; 2008), or cluster and group image patches (Grauman & Darrell, 2006; Joulin et al., 2010; Rubio et al., 2012; Vicente et al., 2011; Rubinstein et al., 2013; Cho et al., 2015). Recent works have integrated the clustering-based strategy with deep learning (Li et al., 2019; Vo et al., 2020). Nevertheless, they do not explain image formation process nor are they 3D-aware. + +
ApproachUnsup.Gen. 3D
Co-segmentationxx
Deep prob. infer.
Scene"de-render"
Ours
+ +Table 1: Comparison to existing methods. + +![](images/b771ad360722e178944c575023b7fc9d95a1b5d37ba0b3fe34ca525f2399a212.jpg) +Figure 2: Overview. I. Our model learns to infer a set of latents in a single forward pass. II. Each object/background radiance field consists of a latent and a shared conditional NeRF. III. During training, we recompose the scene and re-render images for supervision. We train our model on different scenes. At test time, we use a single image of an unseen scene for reconstruction or editing. + +Deep probabilistic inference for scene decomposition. Our method is also closely related to deep probabilistic inference for scene decomposition. Most works formulate the problem as compositional generative modeling, where a visual scene is represented by a set of latent codes that either correspond to localized object-centric patches (Eslami et al., 2016; Crawford & Pineau, 2019; Kosiorek et al., 2018; Lin et al., 2020; Jiang et al., 2019) or scene mixture components (Burgess et al., 2019; Greff et al., 2019; 2016; 2017; Engelcke et al., 2019). Recently, Locatello et al. (2020) proposed the Slot Attention module to simplify the inference by a slot-based encoder. Besides these inference models, Monnier et al. (2021) formulated scene decomposition as layered image decomposition and demonstrated it on real images. However, these methods do not account for the 3D nature of scenes. + +A few methods have recently been proposed for unsupervised 3D scene decomposition. Elich et al. (2020) infer object shapes from a single scene image, but they require pretraining on groundtruth shapes. Chen et al. (2020) extend Generative Query Network (Eslami et al., 2018) to decompose 3D scenes, but they require multi-view images during inference. The closest to our work is a concurrent work by Stelzner et al. (2021) which also utilizes a slot-based encoder and NeRFs as 3D representations. However, Stelzner et al. (2021) relies on groundtruth multi-view dense depth in addition to images in training. Moreover, we explicitly model the separation of objects and background to address various complex shapes and textured backgrounds, while they only demonstrate scenes with a single textureless background. + +Scene de-rendering. A few recent works have shown reconstructing 3D object-centric representations by incorporating forward image rendering process (Wu et al., 2017; Yao et al., 2018; Kundu et al., 2018; Ost et al., 2021). Yao et al. (2018) de-render an image into semantic segments and geometric object attributes, which enable 3D scene manipulation. Most recently, Ost et al. (2021) propose Neural Scene Graph to represent dynamic scenes into a scene graph where each node encodes object-centric information. However, these methods rely on manual annotations of specific objects (such as cars) and scene categories (such as street scenes). + +Neural scene representations and rendering. Our method is related to recent progresses in neural continuous scene representations (Sitzmann et al., 2019) and neural rendering (Tewari et al., 2020). Neural scene representations parameterize 3D scenes with a deep network (Sitzmann et al., 2019). Combined with differentiable neural rendering techniques (Kato et al., 2020; Tewari et al., 2020), they can be learned from only 2D images (Niemeyer et al., 2020). In particular, Neural Radiance Fields (NeRFs) (Mildenhall et al., 2020) have shown impressive novel view synthesis. Related follow-up works include those that infer NeRFs from a single image (Yu et al., 2020; Kosiorek et al., 2021; Jang & Agapito, 2021) and those that incorporate NeRFs into generative models (Schwarz et al., 2020; Niemeyer & Geiger, 2021; Chan et al., 2020). Different from these works which cope with single objects or holistic scenes, we learn object NeRFs via decomposing a multi-object scene without segmentation annotations. GIRAFFE (Niemeyer & Geiger, 2020) generates object NeRFs and thus compose 3D scenes in an adversarial framework. However, it targets at unconditional generation and cannot tackle inference (see Appendix E), while we focus on single-image inference of multi-object scenes. Thus, we address a fundamentally different problem compared to GIRAFFE. + +# 3 APPROACH + +Our goal is to infer from a single image a set of object-centric 3D representations to generate the underlying 3D scene. We show an illustration in Figure 2. Our object representation is a conditional object radiance field. Thus, we learn to infer object-centric latents from a single image (Figure 2- I). The inferred latents are used to condition a network to yield the 3D object and background radiance fields (Figure 2-II), forming our 3D-aware, generative and factorized scene representation. In training, we compose all object and background radiance fields and render the recomposed scene from multiple views. We obtain supervision by comparing rendered images to reference images (Figure 2-III) without needing 3D geometry or segmentation annotations. We describe each of our model components in the following and leave implementation details in Appendix B. + +# 3.1 OBJECT-CENTRIC LATENT INFERENCE + +Our goal is to infer latent object-centric representations from a single input image. We assume that an underlying 3D scene is composed of a background environment and no more than $K$ foreground objects. Thus, the output of our object-centric latent inference process is a latent $\mathbf { z } ^ { b }$ for background and a set of latents $\{ \mathbf { z } _ { i } ^ { f } \} _ { i = 1 } ^ { K }$ for foreground objects (empty objects are allowed). To encourage unsupervised object-wise factorization, we adopt a slot-based formulation (Locatello et al., 2020). The assumption in this formulation is that objects should share a common prior latent space. The main idea include three steps. The first step is to sample all object latents (i.e., slots) from the same prior + +![](images/614299cdcf3735001f5da11d5324b929532aabf1f5fb87b68e70b315fe7a4d2a.jpg) +Figure 3: Our object-centric latent inference. The attention binds each object’s features to a slot. + +distribution (background is a special object) to encourage representational uniformity across all slots (“sampling”). Then each slot is bound to an object region via an attention module (“binding”). In the last step each slot gets updated by the bound object features to specialize for that object (“updating”). Locatello et al. (2020) have demonstrated success on segmenting 2D images. + +However, in 3D scenes, the geometry and appearance of the background are highly different from those of foreground objects. Modeling them indistinguishably often leads to object representations entangled with blurry background segments (Burgess et al., 2019; Locatello et al., 2020), which impedes applications such as scene editing and re-composition. Thus, we propose a backgroundaware slot attention module (Figure 3) that separately models objects and environment to better capture the compositional structure of 3D scenes. + +Background-aware slot attention for sampling and binding. In the sampling step, we model the latent prior distribution of foreground objects by a Gaussian with learnable mean and variance, i.e., we sample $\mathbf { s } \mathbf { 1 } \mathsf { o t } \mathbf { s } ^ { f } \sim \mathcal { N } ^ { f } ( \mu ^ { f } , \mathsf { d i a g } ( \sigma ^ { f } ) \bar { ) } \in \mathbb { R } ^ { \bar { K } \times D }$ for $K$ objects. For latent prior of backgrounds, we learn another Gaussian and sample a single slot from it, i.e., $\mathbf { s } \mathbf { 1 } \mathbf { o t } ^ { b } \sim \mathcal { N } ^ { b } ( \dot { \mu ^ { b } } , \mathbf { d i a g } ( \sigma ^ { b } ) ) \stackrel { \smile } { \in } \mathbb { R } ^ { 1 \times D }$ . + +To bind slots to image features, we let all the slots to compete for explaining the input image representation. To do this, we flatten the convolutional feature map (we include details about convolutional encoder in Appendix B.1) into a set of $N$ input feature vectors, feat $\in \mathbb { R } ^ { N \times D }$ . The slot competition is modeled by a key-query attention (Bahdanau et al., 2014): + +$$ +\mathrm { a t } { \bf u } _ { i , j } : = \frac { \exp ( M _ { i , j } ) } { \sum _ { l } \exp ( M _ { i , l } ) } , \quad \mathrm { w h e r e } \quad M : = \frac { 1 } { \sqrt { D } } k ( \mathbf { f e a t } ) \cdot \left[ \boldsymbol { q } ^ { b } ( \mathbf { s } \mathbf { l o t } \boldsymbol { \bf s } ^ { b } ) \right] ^ { T } \in \mathbb { R } ^ { N \times ( K + 1 ) } . +$$ + +Here $k$ and $q ^ { b } / q ^ { f }$ are learnable linear mappings √ $\mathbb { R } ^ { D D }$ for computing dot-product similarity (Luong et al., 2015), and $\sqrt { D }$ is a fixed softmax temperature (Vaswani et al., 2017). One can see this process as a soft K-means, where $\tt a t t r a _ { i }$ softly assigns a feature $i$ to the slots (centroids). The background slot is expected to capture the modality of background features and bind all of them, allowing foreground slots to focus only on the objects without explaining background segments (Figure 3). Besides the representation design, we further encourage disentanglement between background and foregrounds by two additional designs: (1) We represent and query foreground/background (during the neural rendering process) in different coordinate frames. (2) To discourage object slots from fitting background, we impose a locality constraint in early training. We set a foreground box and enforce that every foreground query point outside the box has zero density. We include details in Appendix B.2. + +Updating slots to infer latents. With the attention weights, we form the update signal by aggregating input values via a weighted mean pooling updatesb := W bT · vb(feat) ∈ R1×D, where $\bar { W } _ { i , 1 } ^ { b } : = \mathsf { a t t n } _ { i , 1 } / ( \sum _ { l = 1 } ^ { N } \bar { \mathsf { a t t n } _ { l , 1 } } )$ , and up $\mathsf { i a t e s } ^ { f } : = W ^ { f T } \cdot v ^ { f } ( \mathsf { f e a t } ) \in \mathbb { R } ^ { K \times D }$ , where $W _ { i , j } ^ { f } ~ : = ~ \mathsf { a t t n } _ { i , j + 1 } / ( \sum _ { l = 1 } ^ { N } \mathsf { a t t n } _ { l , j + 1 } ) .$ Slots are then updated using the update signals via a learnable rule parameterized by a Gated Recurrent Unit (GRU) (Cho et al., 2014), so that $\mathbf { s } \mathbf { 1 } { \mathsf { o t s } } ^ { f } \gets \mathsf { G R U } ^ { f } \big ( \mathbf { s } \mathbf { 1 } { \mathsf { o t s } } ^ { f } , \mathbf { u p d a t } \bar { \mathsf { e s } } ^ { f } \big )$ ) and $\mathbf { s } 1 0 \mathbf { t } ^ { b } \gets \mathsf { G R U } ^ { b } ( \mathsf { s } 1 0 \mathbf { t } ^ { b } , \mathsf { u p d a t e s } ^ { b } )$ ). We repeat the attention computation and updating for 3 iterations, and output all the slots as the final latents $\mathbf { z } ^ { b }$ and $\{ \mathbf { z } _ { i } ^ { f } \} _ { i = 1 } ^ { K }$ . We show pseudo-code of our background-aware slot attention in Appendix (Alg. 1). + +# 3.2 COMPOSITIONAL NEURAL RENDERING + +We represent a 3D object as a conditional neural radiance field. A NeRF is a continuous mapping $g : ( \bar { \mathbf { x } , \mathbf { d } } ) ( \mathbf { c } , \sigma )$ from spatial location $\mathbf { x }$ and viewing direction d to emitted color c and volume density $\sigma$ used for volume rendering (Max, 1995). This mapping is parameterized by an MLP network. We adopt a conditional NeRF $g ( \mathbf { x } , \mathbf { d } | \mathbf { z } )$ for our inference scheme (detailed in Appendix B.3). The MLP parameters are shared across all objects $g ^ { f } ( \mathbf { x } , \mathbf { d } | \mathbf { z } _ { i } ^ { f } )$ , but not the background $g ^ { b } ( \mathbf { x } , \mathbf { d } | \mathbf { z } ^ { b } )$ due to its distinct geometry and appearance distribution. + +To compose individual objects and background into the holistic scmodel and use density-weighted mean to combine all components: $\begin{array} { r } { \bar { \boldsymbol { \sigma } } = \sum _ { i = 0 } ^ { K } w _ { i } \sigma _ { i } , \bar { \mathbf { c } } = \sum _ { i = 0 } ^ { K } w _ { i } \mathbf { c } _ { i } } \end{array}$ , where $w _ { i } = \sigma _ { i } / \sum _ { j = 0 } ^ { K } \sigma _ { j }$ . Here $\bar { \sigma }$ and c¯ are the combined density and color, respectively. The color $C ( \mathbf { r } )$ of a camera ray $\mathbf { r } ( t ) = \mathbf { o } + \mathbf { d } ( t )$ is then estimated via numerical integration of volume rendering, using $S$ discrete combined samples along a ray (Max, 1995): $\begin{array} { r } { C ( \mathbf { r } ) = \bar { \sum _ { i = 1 } ^ { S } } T _ { i } [ 1 - \exp ( - \bar { \sigma } _ { i } \delta _ { i } ) ] \bar { \mathbf { c } } _ { i } } \end{array}$ where $\begin{array} { r } { T _ { i } = \exp \left( - \sum _ { j = 1 } ^ { i - 1 } \bar { \sigma } _ { j } \delta _ { j } \right) } \end{array}$ . Here $\delta _ { j }$ is the distance between adjacent samples along a ray. + +# 3.3 MODEL LEARNING + +Loss functions. As shown in Figure 2, during training we input a single image of a scene, infer object and background radiance fields, render multiple views from the recomposed scene, and compare them to reference images for loss computation. We train our model across multiple scenes. Our training loss function comprises of a reconstruction loss, a perceptual loss, and an adversarial loss: ${ \mathcal { L } } = { \mathcal { L } } _ { \mathrm { { r e c o n } } } + \lambda _ { \mathrm { { p e r c e p t } } } { \mathcal { L } } _ { \mathrm { { p e r c e p t } } } - \lambda _ { \mathrm { { a d v } } } { \mathcal { L } } _ { \mathrm { { a d v } } }$ , where $\lambda$ are weights. The reconstruction loss is $\mathcal { L } _ { \mathrm { r e c o n } } = \| \pmb { I } - \hat { \pmb { I } } \| ^ { 2 }$ , where $\pmb { I }$ and $\hat { I }$ denote the reference image and rendered image, respectively. + +Since we estimate 3D radiance fields from a single view, there can be uncertainties about the appearance from other views (e.g., the back view). For example, regarding visual appearance of objects, inaccurate global lighting estimation leads to uncertainties in brightness and shadows from occluded views even if the object shapes can be well estimated. To address this, we incorporate a perceptual loss (Johnson et al., 2016) which is tolerant to mild appearance changes. The perceptual loss is defined by $\| \mathcal { L } _ { \mathrm { p e r c e p t } } = p ( I ) - p ( \hat { I } ) \| ^ { 2 }$ where $p$ is a deep feature extractor (See Appendix B.4). + +In addition to appearance, there can be even higher uncertainties in estimating object shapes from a single view, which is a multi-modal distribution. In this case, the unimodal reconstruction loss leads to blurry results (“mean shape”). We mitigate this issue by adding an adversarial loss which can deal with multi-modal distributions: + +$$ +\begin{array} { r } { \mathcal { L } _ { \mathrm { a d v } } = \mathbb { E } [ f ( D ( \hat { \cal I } ) ) ] + \mathbb { E } [ f ( - D ( { \cal I } ) ) + \lambda _ { R } \| \nabla D ( { \cal I } ) \| ^ { 2 } ] , \quad \mathrm { w h e r e } \quad f ( t ) = - \log ( 1 + \exp ( - t ) ) . } \end{array} +$$ + +Here we adopt the R1 regularization (Mescheder et al., 2018) to stabilize training. $D$ denotes a discriminator to distinguish rendered images $\hat { I }$ and reference images $\pmb { I }$ . We iterate between training the discriminator by minimizing ${ \mathcal { L } } _ { \mathrm { a d v } }$ and training our inference model (Figure 2) by minimizing $\mathcal { L }$ . + +Coarse-to-fine Progressive Training. A practical challenge in training compositional NeRFs lies in the computational cost of neural volume rendering, as it requires massive queries to render a single pixel. While there have been attempts on fast inference (Liu et al., 2020; Rebain et al., 2020; Neff et al., 2021; Garbin et al., 2021; Reiser et al., 2021; Yu et al., 2021), high space complexity in training remains a challenge. Further, because our perceptual and adversarial losses depend on image patches, the system has to render a large enough patch (instead of a single pixel) at the same time, which further increases its space demand. + +To allow training on a higher resolution, we propose a coarse-to-fine progressive training. In a coarse training stage, we bilinearly downsample reference images to a low resolution (e.g., $6 4 \times 6 4 )$ , and train uORF on these downsampled images. Although the coarsely trained model can already decompose the 3D scenes and recover rough object radiance fields, fine details (e.g., thin legs of chairs) might be missing. Thus, in a following fine training stage, we replace the low-resolution reference images with image patches randomly cropped from high-resolution images (Figure 2-III), and render the correspondingly located patches from our recomposed scene radiance fields to compute the loss. We include further training details in Appendix B.4. + +# 4 EXPERIMENTS + +We evaluate uORF on both scene representation (via scene segmentation in 3D) and scene generation (via novel view synthesis and scene editing) on three datasets. + +Data. We build three synthetic datasets with gradually increasing complexity. For each scene in the dataset, we point the camera to the scene center and render four images with a randomly chosen azimuth angle and a fixed elevation angle. We describe more details in Appendix C.1. + +CLEVR-567. The first dataset includes scenes of 5–7 CLEVR objects (Johnson et al., 2017), with a random position and orientation on a clean background. Foreground object shapes include three geometric primitives (i.e., cubes, spheres and cylinders). Since there is intrinsic ambiguity in estimating specularity from a single image, we use only the largely diffuse “Rubber” material. There are 1,000 scenes for training and 500 for testing. + +Room-Chair. The second dataset includes scenes of 3 to 4 chairs of the same shape in a room with three different textured backgrounds. There are 1,000 scenes for training and 500 for testing. + +Room-Diverse. The third dataset includes scenes of diverse foreground object shapes and background appearances. Each scene includes 4 different chairs, whose shape is randomly sampled from 1,200 ShapeNet chair shapes (Chang et al., 2015), and the background is sampled from 50 floor textures from the web. There are 5,000 scenes for training and 500 for testing. + +# 4.1 SCENE SEGMENTATION IN 3D + +We first evaluate uORF’s factorized 3D scene representations via scene segmentation in 3D. + +Baselines. Because there is no previous work focusing on the same setting as uORF, we compare to a 2D state-of-the-art scene decomposition model Slot Attention (Locatello et al., 2020) for unsupervised scene segmentation wherever possible (detailed in Appendix C.2). In addition, we compare to two ablated versions of uORF. First, we remove our background-aware modeling but keep the same number of slots. Second, we ablate our progressive training such that the training procedure only contains the coarse training stage. We refer to ablated models as “uORF (w/o background)” and “uORF (w/o prog. train.)”, respectively. + +Metrics. We adopt the widely-used Adjusted Rand Index (ARI) as our metric. To evaluate scene segmentation in 3D, we consider three kinds of ARIs: (1) For direct comparison to 2D methods, we compute ARI on reconstructed images. (2) To reflect the 3D nature, we also compute ARI on synthesized novel views, denoted as “NV-ARI”. Note that each scene includes 4 views, and only one is used as input, and the other three are treated as novel views for this metric. (3) In line with previous 2D methods, we also report foreground ARI $\mathrm { F g }$ -ARI), computed only on foreground regions indicated by groundtruth masks. Yet, we note that $\mathrm { F g }$ -ARI cannot fully reflect the segmentation quality, because background segmentation is completely ignored. + +Results. We volume-render a density map $\mathbf { d } ^ { i }$ for each slot . The segmentation label for each pixel $s _ { p }$ is given by $s _ { p } = \arg \operatorname* { m a x } _ { i = 1 } ^ { K + 1 } { \bf d } _ { p } ^ { i }$ . We show results on Table 2 and Figure 4 (more in Appendix D). For all segmentation metrics, we show mean and standard deviation for three runs. uORF outperforms all methods in terms of ARI and NV-ARI. From Figure 4, it is clear that uORF is able to discover the 3D objects from a single image. These results validate that uORF can learn well-factorized 3D object-centric scene representations. Also notice that uORF yields better ARI even in input views compared to 2D slot attention. This is likely due to our background-aware design, as our ablated model “uORF w/o background” has shown similar input-view results compared to slot attention (e.g., see 3rd and 4th columns in Figure 4). + +# 4.2 NOVEL VIEW SYNTHESIS + +We then show that uORF is 3D-aware and generative via evaluation on novel view synthesis. + +![](images/7783d6f6b011891979bd7aeefad251582074bc3420a9dbfabcca1cd7db9ef3af.jpg) + +Figure 4: Examples on scene segmentation in 3D. Novel view images are for reference but not input. + +
ModelsCLEVR-567Room-ChairRoom-Diverse
3D metric2D metric3D metric2D metric3D metric2D metric
NV-ARI↑ARI↑Fg-ARI个NV-ARI个ARI个Fg-ARI↑NV-ARI↑ARI个Fg-ARI↑
Slot AttentionN/A3.5±0.793.2±1.5N/A38.4±18.440.2±4.5N/A17.4±11.343.8±11.7
uORF(w/o background)10.5±3.611.7±4.686.4±2.840.4±9.242.3±10.693.3±1.921.0±8.124.0±9.978.9±3.1
uORF(w/o prog. train.)81.1±0.783.7±0.884.2±0.562.3±2.565.4±2.681.0±3.053.8±1.463.7±1.766.9±4.1
uORF(ours)83.8±0.386.3±0.187.4±0.874.3±1.978.8±2.688.8±2.756.9±0.265.6±1.067.9±1.7
+ +Table 2: Scene segmentation results. “NV-ARI” refers to ARI evaluated on novel views. “Fg-ARI” refers to ARI evaluated with only foreground pixels. Slot Attention (Locatello et al., 2020) is a state-of-the-art 2D method. + +Setup. For each test scene, we randomly pick one image as input and the remaining three images as groundtruth for novel view synthesis. As Slot Attention is purely in 2D and does not support novel view synthesis, we compare to a conditional NeRF (Mildenhall et al., 2020), equipped with a convolutional encoder similar to uORF, termed as “NeRF-AE” (see Appendix C.2). For fair comparison, we increase the latent dimension for NeRF-AE to guarantee approximately the same computational cost, and we use the same training strategy and losses as uORF. Thus, NeRF-AE can also be seen as a monolithic alternative model to uORF. We also compare with the ablated models, “uORF (w/o background)” and “uORF (w/o prog. train.)”. We use the perceptual metric LPIPS (Zhang et al., 2018), together with SSIM (Wang et al., 2004) and PSNR, as our evaluation metrics. + +Results. Quantitative results are in Table 3 and qualitative results are in Figure 5 (more in Appendix D). Quantitatively, uORF outperforms all compared methods on all metrics. From the qualitative comparison in Figure 5, we highlight three advantages of uORF. First, compared with NeRF-AE, which has a monolithic latent structure for the entire scene, uORF better preserves the features of each object: for example, see how NeRF-AE fuses object colors in the first two rows, while uORF does not. This shows the advantage of factorized scene representations to structurally describe a visual scene. Second, compared with uORF (w/o background), one can clearly see how our background-aware modeling helps recovering background appearances: uORF can accurately recover background appearance of the Room-Chair example, while uORF (w/o background) does not. It also facilitates learning on complex scenes with diverse, textured background: uORF can learn to roughly recover object shapes in the Room-Diverse example. Third, compared with uORF (w/o prog. train.), we highlight that the fine training on image patches indeed improves both visual quality and representation quality: the full uORF tries to recover sharp edges of cubes, while uORF (w/o prog. train.) cannot distinguish cube from sphere. + +![](images/232183a9d35988986c77d1a94fc50b45dc9cf79f1c2590ae6196917d9c3ce14c.jpg) + +Figure 5: Qualitative results on scene decomposition and novel view synthesis. Within every two rows, the first is reconstruction and the second is a novel view. + +
ModelsCLEVR-567Room-ChairRoom-Diverse
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
NeRF-AE0.12880.865827.160.11660.826528.130.24580.668824.80
uORF (w/o background)0.09190.892428.930.16710.785227.860.22310.692425.90
uORF(w/o prog. train.)0.10440.889428.840.15730.828728.330.21230.676025.19
uORF (ours)0.08590.897129.280.08210.872229.600.17290.709425.96
+ +Table 3: Comparison on novel view synthesis from a single image. + +Overall, the novel view synthesis results suggest that uORF can learn to represent 3D scenes with reasonable fidelity, even with the presence of complex foreground object shapes, such as chairs and different textured backgrounds. + +# 4.3 SCENE DESIGN AND EDITING IN 3D + +Being object-centric and 3D-aware, uORF is able to edit 3D scene radiance fields inferred from a single view, and generate novel scene images. + +Setup. We test uORF’s ability to edit scenes and synthesize novel images on the Room-Chair dataset. We consider both moving foreground objects and changing background appearance. For object moving, we randomly pick one object in a test scene and move it to a random position. We render 4 images for each of the 500 test scenes. For background changing, we replace the current background texture to a different one and also render 4 images for evaluation. To indicate the new background, we re-pick and re-put foreground objects such that the resultant background indicator image is different from the groundtruth image. + +For uORF and Slot Attention (Locatello et al., 2020), we use groundtruth masks of the input view only for ease of evaluation. We determine which slot to move by picking the one with largest mask IoU. For NeRF-AE (Mildenhall et al., 2020) to do editing, we back-project the masks to frustums to determine the 3D regions to be moved/replaced. We use LPIPS, SSIM, and PSNR as our metrics. + +Results. We show results in Table 4 and Figure 6 (more in Appendix D). Again, uORF outperforms all compared methods on all metrics. As Figure 6 depicts, images synthesized by uORF show least artifacts and highest quality and fidelity. + +Table 4: Comparison on scene editing. + +
ModelsMoving objectsChanging background
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR个
NeRF-AE0.24510.728423.180.21850.713225.42
Slot Attention0.39410.713423.060.36890.728323.94
uORF(w/o background)0.22060.744824.550.18790.771926.68
uORF(w/o prog.train.)0.15830.831328.190.15860.830628.27
uORF (ours)0.08550.871129.260.08220.872929.53
+ +# 4.4 GENERALIZATION AND ANALYSIS + +Finally we explore the generalization ability of uORF. We consider generalization on unseen, challenging spatial arrangement of objects, as well as generalization on unseen object appearances. + +![](images/069d7fc72a2cb4c001e4eae3b974f2c9acaac825ec3bf24b12d1c6a9ced3338f.jpg) +Figure 6: Qualitative results on single-image 3D scene manipulation. The first two rows are for moving object and the second two rows are for changing background. + +
ModelsNV-ARI个ARI个
Slot AttentionN/A2.2±0.6
uORF (ours)85.0±0.387.4±0.4
uORF (oracle)85.5±0.387.5±0.3
+ +
Loss functionsARI↑LPIPS↓
Rec.59.1±0.50.3610
Rec.+Percept.65.2±0.80.2156
Rec.+ Adv.60.4±2.20.2288
Rec.+ Percept. + Adv.65.6±1.00.1729
+ +Table 5: Generalization to novel Table 6: Generalization to unseen Table 7: Ablation study for losses on the challenging spatial arrangements. combinations of color and shape. Room-Diverse dataset. + +
ModelsARI个LPIPS↓
Slot Attention5.7±0.3N/A
NeRF-AEN/A0.2201
uORF (ours)83.2±0.60.1540
+ +Generalizing to challenging spatial arrangements. We build a new test dataset, packed-CLEVR11, where each scene has 11 objects that are closely packed into a cluster. Therefore, each scene bears an unseen number of objects in an unseen challenging arrangement. We test models trained on CLEVR-567, report results in Table 5 and Appendix Figure 19. Despite uORF never sees such object arrangements, it still achieves a reasonable performance and outperforms baselines. + +Generalizing to new combination of shape and color. For unseen object appearances, we consider generalization in a systematic way such that the model can deal with unseen combination of object color and shape. Thus, we build a new training set similar to CLEVR-567, but we remove red cylinders and blue spheres from the object candidate pool. Then we test trained models on another dataset with only red cylinders and blue spheres in the candidate pool. We show results in Table 6 and examples in Appendix Figure 20. We see that although uORF has never seen any of the test set objects, it achieves similar results to the one trained on a normal CLEVR-567 dataset (denoted as “uORF (oracle)”). This suggests uORF’s ability for systematic generalization to unseen combinations of object color and shape. We further validate generalization to unseen object shapes in Appendix D. + +Evaluating loss functions. uORF uses perceptual and adversarial losses to combat intrinsic uncertainties in single-image inference of 3D representations. We show ablation results on novel view synthesis in Table 7 and Appendix Figure 18. Both losses significantly improve image quality. + +# 5 CONCLUSION + +In this work, we propose unsupervised discovery of Object Radiance Fields (uORF), which learns to infer object-centric 3D radiance fields from a single image of complex multi-object scenes. We demonstrate uORF’s ability on scene segmentation and scene generation in 3D. Our positive results suggest a promising direction to integrate neural rendering into deep probabilistic inference scheme, allowing learning factorized 3D object-centric scene representations from only RGB images. + +# ACKNOWLEDGMENTS + +This work was in part supported by Qualcomm Innovation Fellowship (QIF), Stanford Institute for Human-Centered AI (HAI), Stanford Center for Integrated Facility Engineering (CIFE), Toyota Research Institute, a Vannevar Bush faculty fellowship, Amazon, Autodesk, Google, and Bosch. + +# REPRODUCIBILITY STATEMENT + +To ensure reproducibility of our work, we have provided the training and test code repository†, together with all three synthetic datasets, and pre-trained models on all three datasets. We have also provided a detailed instruction on using our code as well as training on new datasets. In Appendix B, we describe details for re-implementing our work. + +# ETHICS STATEMENT + +Learning object-centric scene representations is a long-standing topic in vision and it finds various applications in downstream tasks. We represent a 3D scene as a composition of simple radiance fields, which only models object appearances and entangles their physical properties that may be crucial to downstream tasks in a non-interpretable way. However, we envision that careful designs in more structured 3D object representations for specific downstream applications could help improve transparency and human interpretability in model prediction and behavior, allowing both better performances and secure, fair usage. In our code release, we will explicitly specify allowable uses of our system with appropriate licenses. We will use techniques such as watermarking to identify and label visual contents generated by our system. + +# REFERENCES + +Dzmitry Bahdanau, Kyunghyun Cho, and Yoshua Bengio. 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Unsupervised object class discovery via saliency-guided multiple class learning. In CVPR, 2012. 1 + +# A SUPPLEMENTARY MATERIAL OVERVIEW + +In the following supplementary document, we first provide implementation details on unsupervised discovery of Object Radiance Fields in Section B. We then describe details on datasets and baseline architectures in Section C. We show additional results in in Section D, including results on generalization to unseen object shapes, a demonstration on real photos, an analysis on the sensitivity to slot initialization, and additional qualitative results on all experiments of the main paper and failure cases. In Section E, we show comparison to GIRAFFE (Niemeyer & Geiger, 2020) to demonstrate that it focus on a fundamentally different problem (unconditional generation) than our work (conditional inference). All mathematical and algorithmic notations are the same as those in the main manuscript. + +In the supplementary video, we provide an overview of our paper. + +# B IMPLEMENTATION + +Here, we provide implementation details of our uORF model. + +B.1 OBJECT-CENTRIC LATENT INFERENCE + +We show a pseudo code of inferring object-centric latents with the background-aware slot attention in Algorithm 1. + +Convolutional feature extraction. The convolutional net extracts features from the input image for updating the latent slots. Our convolutional encoder is a simple U-net. We show our encoder architecture in Table 8 and Table 9. Since we want the model to generalize to decompose unseen images, it is natural to represent foreground objects position and pose in the viewer coordinate system. As identified in previous studies (Tatarchenko et al., 2019), this facilitates the learning of 3D object position and helps generalization. In order for the object-centric representations to include such information in the viewer coordinate system, we can inform the encoder of position information by feeding pixel coordinates and viewer-space ray directions as additional input channels. In our experiments we assume fixed camera focal length. In this case, the ray direction does not provide additional information to the pixel coordinates, and thus we only feed pixel coordinates as input channels in addition to the input RGB image. Each of the $X Y$ pixel coordinates is normalized to $[ - 1 , 1 ]$ in both directions, leading to 4 additional channels to RGB. + +B.2 COORDINATE SPACE AND LOCALITY CONSTRAINT FOR BETTER FORE-/BACK-GROUND DISENTANGLEMENT + +Coordinate space. We represent foreground objects in the viewer space. Regarding background environment, we represent it in the world coordinate space for two reasons. Firstly, since it is difficult to estimate full geometry from a single view (e.g., the geometry behind the camera), our model assumes a similar background geometry across scenes and aggregates information about background geometry from multiple sparse views. Representing background in a fixed world space facilitates this aggregation process and empirically leads to better performance. We show a quantitative comparison in Table 10, Table 11 and a visual comparison in Figure 7. Modeling the background in world space provides more details than modeling it in viewer space. Incorporating multi-view images as inference input might relax this assumption (Yu et al., 2020), but we leave it as future exploration. + +Table 8: Encoder architecture for the CLEVR-567 dataset and the Room-Chair dataset. All convolutional kernel sizes are $3 \times 3$ . All activation functions for convolutional layers are ReLU. + +
Layer nameInput shapeOutput shapeStrideNote
Conv164×64×764×64×642Skip to Conv6
Conv264×64×6432×32×642Skip to Conv5
Conv332×32×6416×16×642
Conv416×16×6416×16×641
Upsample16×16×6432×32×64Bilinear upsampling
Conv532×32×12832×32×641
Upsample32×32×6464×64×64Bilinear upsampling
Conv664×64×12864×64×641
+ +Table 9: Encoder architecture for the Room-Diverse dataset. All convolutional kernel sizes are $3 \times 3$ . All activation functions for convolutional layers are ReLU. + +
Layer nameInput shapeOutput shapeStrideNote
ConvO128×128×7128×128×641
Conv1128×128×6464×64×642Skip to Conv6
Conv264×64×6432×32×642Skip to Conv5
Conv332×32×6416×16×642
Conv416×16×6416×16×641
Upsample16×16×6432×32×64Bilinear upsampling
Conv532×32×12832×32×641
Upsample32×32×6464×64×64Bilinear upsampling
Conv664×64×12864×64×641
+ +Secondly, this design also encourages the disentanglement between foreground objects and background by preventing the background slot from decoding foreground objects, because the positional information provided in the encoder is represented in viewer space. + +Foreground locality. To further encourage the disentanglement, we add a locality constraint during early training to prevent foreground slots to represent the background environment. Specifically, considering that “foreground” objects should be largely visible in sight, we set a foreground box and enforce that every foreground-querying point outside the box has zero density. The foreground box is defined such that its projection in image space can engage roughly $9 0 \%$ pixels. The locality constraint is imposed for the first 100K iterations, and it empirically helps prevent the foreground slots from fitting the background. We show a visual comparison in Figure 8, which from we can observe that the model without foreground locality design attaches some background segments to each object. + +# B.3 NEURAL RADIANCE FIELD ARCHITECTURE. + +We show our conditional object radiance field architecture in Figure 9. + +# B.4 MODEL LEARNING + +Loss functions. We set $\lambda _ { \mathrm { p e r c e p t } } = 0 . 0 0 6$ , $\lambda _ { \mathrm { a d v } } = 0 . 0 1$ , $\lambda _ { R } = 1 0$ . For perceptual loss, we implement the feature extractor $p$ by using the output of the 4-th convolutional block in a VGG16 (Simonyan & Zisserman, 2014) pretrained on ImageNet. For the adversarial discriminator, we follow the architecture of StyleGAN2 (Karras et al., 2020) with slight modification such that the maximum channel number is 128. We also use the lazy R1 regularization (Karras et al., 2020). We use Adam optimizer for discriminator with learning rate 0.001, $\beta _ { 1 } = 0$ and $\beta _ { 2 } = 0 . 9$ . The adversarial loss is incorporated after 100K iterations. Since shape uncertainty only appears in the Room-Diverse + +# Algorithm 1: Object-centric latent inference with background-aware slot attention. + +Input: feat ∈ RN×D +Learnable: $\mu ^ { b } , \sigma ^ { b } , \mu ^ { f } , \sigma ^ { f }$ : prior parameters, $k , q ^ { b } , q ^ { f } , v ^ { b } , v ^ { f }$ : linear mappings, GRUb, GRUf , MLPb, MLPf slotb ∼ N b ∈ R1×D // Sampling slots from priors. slotsf ∼ N f ∈ RK×D for t = 1, · · · , T slot prevb = slotb, slots prevf = slotsf attn = Softmax √D 1 k(feat) · qb(slotb)f f T , dim=‘slot’! // Binding slots to object features. attn $^ b =$ attn[0], attnf = attn[1:end] updates $^ { b } =$ WeightedMean(weights=attnb, values $= \boldsymbol { v } ^ { b }$ (inputs)) // Aggregating update signals. updates $f _ { = }$ WeightedMean(weights=attnf , values $\scriptstyle \operatorname { \mathsf { \Omega } } _ { 3 } = v ^ { f }$ (inputs)) slot ${ \ v O } ^ { b } = \mathtt { G R U } ^ { b }$ (state=slot prevb, inputs=updatesb) // Updating slots. slotsf = GRUf (state slots prevf , inputs=updatesf ) $\mathsf { s } \mathsf { l o t } ^ { b } + = \mathsf { M L P } ^ { b } ( \mathsf { s } \mathsf { l o t } ^ { b } )$ , slotsf + = MLPf (slotsf ) // Residual update. return slotb, slotsf + +Table 10: Ablation for background coordinate space on novel view synthesis on Room-Chair dataset. + +
ModelsLPIPS↓SSIM↑PSNR↑
uORF w/ view-space Backg.0.1510.79927.86
uORF (ours)0.0820.87229.60
+ +Table 11: Ablation for background coordinate space on segmentation on Room-Chair dataset. + +
Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI个
uORF w/ view-space Backg.73.578.089.0
uORF (ours)74.378.888.8
+ +dataset, we only impose the adversarial loss on the Room-Diverse dataset but not on CLEVR-567 or Room-Chair. Both perceptual loss and adversarial loss are added after the first 100K iterations. + +Coarse-to-fine progressive training. For coarse training, we bilinearly downsample supervision images to $6 4 \times 6 4$ . The coarse training lasts for 600K iterations. For fine training, we randomly crop $6 4 \times 6 4$ patches from $1 2 8 \times 1 2 8$ images. The fine training lasts for 600K iterations. Our model is trained on a single Nvidia RTX 3090 GPU for about 6 days. For all networks except discriminator, we use Adam optimizer with learning rate 0.0003, $\beta _ { 1 } = 0 . 9$ and $\beta _ { 2 } ~ = ~ 0 . 9 9 9$ . Learning rate is exponentially decreased by half for every 200K iterations until after 600K iterations. We also adopt the learning rate warm-up from the slot attention paper (Locatello et al., 2020) for the first 1K iterations. We initialize decoder networks with Xavier’s initialization. In each batch, we input one image and neurally render 4 images for supervision. We render each pixel with 64 samples. + +# C EXPERIMENTS + +In this section we provide further details on experiment settings. + +# C.1 DATA + +For the construction of all three datasets, the training/testing sets share the same pool of textures, shapes, and colors. The scenes in both sets differ in the spatial arrangement of objects, as well as the appearance differences induced by soft shadows and inter-reflections due to global illumination effects. + +CLEVR-567. In the CLEVR-567 dataset, each object’s shape is randomly chosen from three geometric primitives (i.e., cylinder, cube and sphere). The color is randomly chosen from {red, blue, purple, gray, cyan, yellow, green, brown}. There are two possible sizes for each object. When rendering images, we use the same camera intrinsic as original CLEVR dataset (Johnson et al., 2017). We do not use the visibility check due to our 360 degree multi-view setting, so we increase elevation angle by $\pi / 1 5$ to increase the chance of object visibility. Rendering setting is the same for all datasets. + +For CLEVR-567 dataset we set the latent dimension $D = 4 0$ and the maximum number of objects $K = 8$ . + +![](images/86827f15238e9fd22616cf13abe4aa97a44a41899cbda2d6a55ff8ca68513a13.jpg) +Figure 7: Visual comparison for representing background on view-space on novel view synthesis. + +![](images/d4b9384222b30c14917df03f0898acd42366ba5482f07c370cfbd81fe1b4c4a6.jpg) +Figure 8: Visual comparison on ablation for foreground locality constraint. We show examples in CLEVR-567 testset. We can see that our foreground locality box helps prevent object slots from fitting background segments. + +Room-Chair. For the object shape we use a chair model‡ from ShapeNet (Chang et al., 2015). We use the same material and colors as CLEVR-567. For Room-Chair and Room-Diverse datasets, we set the latent dimension $D = 6 4$ and the maximum number of objects $K = 5$ . + +Room-Diverse. All object shapes are randomly chosen from 1,200 ShapeNet chairs. For each shape, we normalize it into a unit cube according to vertex coordinates. We also use 8 colors $\{ { \tt r e d }$ , blue, purple, gray, cyan, yellow, green, $\mathtt { b l a c k } \}$ with diffuse material. Since shape uncertainty only appears in this dataset, we only impose the adversarial loss on this dataset. + +# C.2 BASELINE ARCHITECTURES + +Slot attention. We use the encoder-decoder architecture in the slot attention paper (Locatello et al., 2020) used for object discovery experiments on the CLEVR dataset. Basically it has 6 convolutional layers for encoder and 6 convolution-transpose layers for decoder. The number of channels for each layer is 64. All models are trained on $1 2 8 \times 1 2 8$ images. + +NeRF-AE. We follow NeRF implementation without view direction as input and set the highest frequency to 5. The encoder is similar to ours in Figure 9, but the basic number of channels is increased from 64 to 256 (and thus the number of channels of inputs to Conv5 and Conv6 is 512). The number of slot is set to 1. + +# D ADDITIONAL RESULTS + +Generalization to unseen objects. In the main paper we demonstrate systematic generalization to unseen combination of shape and color, here we further validate our model’s generalization to unseen object shapes. To this end, we construct another test set for Room-Diverse. All test objects in the new test set are drawn from a pool of 500 shapenet chairs that are completely disjoint from the 1200 training chairs. All other settings are the same as the original test set. We show quantitative results in Table 12 for novel view synthesis and in Table 13 for segmentation. As we can see, our model yields the same level of performances even on the unseen shape test set, suggesting its generalization to unseen object shapes. + +![](images/ce1a42408946a0969581380d8e3057950c3abdf0f8bbe5b0bf72ac5204eb2412.jpg) +Figure 9: Illustration for foreground decoder architecture. We follow the architecture in NeRF (Mildenhall et al., 2020) but with fewer parameters to decrease space demand. We set the highest positional embedding frequency to 5, so that the positional embedding input dimension is $5 \times 2 \times 3 + \mathbf { \breve { 3 } } = 3 3$ . The background decoder is slightly different in that it does not have the second last layer and third last layer. Density $\sigma$ is activated by ReLU. Since estimating specularity from a single image is intrinsically ambiguous, we assume Lambertian surfaces and do not use the ray direction as input. + +Table 12: Novel view synthesis results on unseen/seen shape testset of Room-Diverse. + +
ModelsLPIPS↓SSIM↑PSNR↑
uORF on seen shape testset0.17290.709425.96
uORF on unseen shape testset0.17710.712526.16
+ +Table 13: Unsupervised segmentation in 3D results on unseen/seen shape testset of Room-Diverse. + +
Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI↑
uORF on seen shape testset56.965.667.9
uORF on unseen shape testset57.066.167.7
+ +Generalization to real images. We also take a step further to test our pretrained model’s generalization on real photos. To do this, we use uORF trained on Room-Diverse. We take a few real photos by a cellphone, providing an input image and a few reference images. We show the visual results in Figure 10. Although the real photo has a different imaging process and consists of unseen objects and background, uORF is able to discover all objects with roughly correct positions and orientations, yielding plausible segmentation results and object-moving results. + +Analysis on the sensitivity to slot initialization. We test the robustness of our model to the slot initialization on the Room-Chair dataset. For each test scene, we now use 5 different random seeds for sampling initial centers. We compute the mean $\mu$ and std $\sigma$ of ARI over the 5 seeds. We average them over the 500 test scenes. The averaged mean $\bar { \mu }$ of ARI is $7 8 . 8 \%$ and $\bar { \sigma }$ is $1 . 7 \%$ . The mean ARI suggests good segmentation results (very close to $7 8 . 8 \%$ as reported in Table 2 in our main paper), and $\bar { \sigma } = 1 . 7 \%$ indicates that different seeds all lead to results close to such good ARI performance. + +Additional qualitative results. We show additional qualitative results for our experiments in the main manuscript. We show additional examples for scene segmentation in Figure 11 and Figure 12, for novel view synthesis in Figure 13, Figure 14 and Figure 15, for scene editing in Figure 16 and Figure 17, for evaluating losses in Figure 18, for generalization to challenging spatial arrangement in Figure 19 (note that in the packed-CLEVR-11 dataset we only use a single size for higher object visibility), and for generalization to unseen object appearance in Figure 20. + +Failure case. In our experiments, we observed a type of failure which we call “attention rankcollapse”. We show examples in Figure 21. + +![](images/10704020334297855d27e977f22568e81b87c24a9887ad3cc58086fc89b6e228.jpg) +Figure 10: Demonstration on generalization to real photos. We use uORF pretrained on Room-Diverse and take photos by a cellphone. + +“Attention rank-collapse” refers to that all the foreground object slots have (nearly) the same attention map and collapse to the same representation. Each collapsed slot decodes simply nothing (or all the foreground objects). This “attention rank-collapse” happens when the initialization is prompt to a degenerate solution for the slot attention. It occasionally happens and empirically changing the initialization seed can address it. A related rank-collapse problem is discussed in Dong et al. (2021), which suggests that adding some architectural inductive bias can largely alleviate the problem. We hope future research can address this problem fundamentally. + +# E COMPARISON TO GIRAFFE + +Our work has a fundamentally different focus compared to GIRAFFE (Niemeyer & Geiger, 2020). While GIRAFFE focuses on unconditional generation and enables multi-object scene synthesis and rendering, the goal of our uORF is to simultaneously infer 3D multi-object scene representations from a single image, in addition to using those representations for rendering and editing as in GIRAFFE. + +# E.1 COMPARISONS BETWEEN OUR UORF AND GIRAFFE + +To demonstrate that the inference of such multi-object scenes is highly non-trivial, we compare with GIRAFFE on both CLEVR-567 and Room-Chair (we cannot compare on their datasets because they only have a single image for each scene). To train GIRAFFE on our datasets, we use the official repo§ and the same hyper-parameters that GIRAFFE authors used for their CLEVR-2345 dataset, except for a few adaptive changes to our datasets: (1) We try different sizes for the object slot, because CLEVR-2345 only uses small objects while our datasets both contain larger objects. Specifically, we try $2 \times$ , $1 . 5 \times$ , and $1 \times$ original size, and use the one with the lowest FID for each dataset. (2) We adjust the camera elevation angle and focal lengths to match our datasets. (3) We set the number of objects to 4 for the Room-Chair dataset because each scene has no more than 4 chairs. We train the GIRAFFE models for around 500K iterations on 128-by-128 images, such that FID does not drop anymore. + +For GIRAFFE to do inference, we sample object (including background) latents and positions in the same manner as training, and then we optimize for L2 reconstruction loss for both the latents and the positions. We use Adam and do a learning rate sweep to select the one that leads to the best reconstruction loss. We divide the learning rate by 10 when the loss plateaus. We do this learning rate decay twice. We sweep in $\{ 0 . 1 , 0 . 0 1 , 0 . 0 0 1 , 0 . 0 0 0 1 \}$ and find that 0.01 works best. Since each scene has an unknown number of objects, we set the number to the maximum number across all scenes. It converges at around 150 iterations on CLEVR-567 and around 300 iterations on Room-Chair. Thus we set the maximum iteration to 300 and 500 for them, respectively. + +We also compare with a GIRAFFE model that is pretrained on CLEVR-2345. The pretrained model is provided by the authors. The pretrained model yields $\mathrm { F I D = 8 2 }$ on CLEVR-567 $\mathrm { { F I D } = 6 1 }$ on CLEVR-2345), indicating that it could be a valid baseline even though the two datasets are mildly different. + +We show input-view reconstruction and novel view synthesis results in Table 14 and Table 15, and we show qualitative comparison in Figure 22 and Figure 23. We can see that GIRAFFE fails in reconstructing the multi-object scenes from a single image, as well as novel view synthesis. Let alone segmentation in 3D. + +Table 14: Inference comparison with GIRAFFE on CLEVR-567. + +
ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on CLEVR-567)0.3300.81523.750.5490.67216.65
GIRAFFE (author-pretrained model on CLEVR-2345)0.3820.78021.760.6430.34811.70
uORF (ours)0.0850.90129.330.0860.89729.28
+ +Table 15: Inference comparison with GIRAFFE on Room-Chair. + +
ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on Room-Chair) uORF (ours)0.4140.59720.900.5880.53818.53
0.0850.87629.650.0820.87229.60
+ +# E.2 GIRAFFE INFERENCE ON CLEVR-2345 + +While we have compared with GIRAFFE on our datasets, we further evaluate the author-provided pretrained model on the simpler dataset CLEVR-2345 from the GIRAFFE paper itself. We found that while GIRAFFE does well on unconditional scene synthesis, it cannot perform novel view synthesis on their own dataset, either. This shows that GIRAFFE focuses on problems very different from ours. + +We first show that inference/reconstruction is challenging for GIRAFFE, even on the simpler dataset. We do inference on the author-provided CLEVR-2345 dataset using the author-provided pretrained model. We show randomly sampled examples through the iterative inference process in Figure 24. + +Then we show that GIRAFFE fails in wide-baseline novel view synthesis. We use the author-provided pretrained model to sample from its latent space and unconditionally generate one image. Then we keep all the variables the same, but circularly move cameras to render novel views. We show 10 random examples of this circular novel view synthesis in Figure 25. We see that when the viewpoint changes become significant, GIRAFFE fails novel view synthesis, because its neural renderer is based on 2D feature maps and it’s not inherently 3D. + +# E.3 DISCUSSION AND SUMMARY + +In general, inverting GAN latent space even for the holistic image is non-trivial and needs architecturalspecific designs (we refer the reader to the discussion and references in a recent survey on GAN inversion (Xia et al., 2021)). As for inverting compositional multi-object scenes, it becomes even harder due to ambiguous correspondences (“which slot corresponds to which object?”), number of objects (“how many slots should I put?”), object position constraints (“there are two objects overlapping in the image, but they should not be overlapping in 3D”), optimization issues (e.g., optimizing rotation is notoriously difficult (Zhou et al., 2019)), etc. + +In summary, it is highly non-trivial for GIRAFFE to do inference for multi-object scenes due to complexities such as ambiguous correspondences, the number of objects, and optimization issues. We will include more discussions on the difference between the two methods in the following separate thread. In short, our uORF tries to solve a fundamentally different problem from GIRAFFE, i.e., we aim at inferring the joint distribution of objects from a single image while GIRAFFE targets extrinsiccontrollable image generation. Therefore, our method enables novel tasks such as unsupervised segmentation and editing in 3D, where prior methods including GIRAFFE are not able to do. + +![](images/19bf08acd7353a7c9385d698a984b8b5c0759f03d3b1774d2225a741527fd8c1.jpg) +Figure 11: Additional qualitative results for segmentation in 3D on Room-Chair dataset. + +![](images/bd2a4d2ae18efdcb9369f41480871a7b72686149f57cfe0d080cceb138a3634d.jpg) +Figure 12: Additional qualitative results for segmentation in 3D on Room-Diverse dataset. + +![](images/7f11f0075116b24fa763ba70d24eb0da2a808b01a2aae55d6cedd47fd586ebc5.jpg) +Figure 13: Additional qualitative results for novel view synthesis on CLEVR-567 dataset. + +![](images/6732c3707108a7215523aa0aab2d594d084b80d65f3caf91d949fd239674a93f.jpg) +Figure 14: Additional qualitative results for novel view synthesis on Room-Chair dataset. + +![](images/0bd7e49728394bdea1ceedd8afe5868ee007f1eabcad44e04453c24b860ce8c8.jpg) +Figure 15: Additional qualitative results for novel view synthesis on Room-Diverse dataset. + +![](images/f72aaf5006162684a910793f433975c574de0f5bce37b5bd1b11a3d274d2f6b1.jpg) +Figure 16: Additional qualitative results for scene editing. + +![](images/4c8330edf5fb11a16f63770f6848eebfb9cb033975419fc998c5c2edf839e70c.jpg) +Figure 17: Additional qualitative results for scene editing. + +![](images/8dd48691313a75ab7bef33e0d771bf027b1f5e311f6c683f28eeceb5fd80e85f.jpg) +Figure 18: Qualitative results for loss evaluations. Using both perceptual loss and adversarial loss improves image quality. + +![](images/77c2ae606c705e289945f2d9b7f4b938d53ac98fd76b919265110f2c5a04c0ca.jpg) +Figure 19: Qualitative results for generalization to unseen spatial arrangement. + +![](images/4ce7657ad278b85ed9b36f70f6db2402cc7e50a8dec2652cc73fcba81755eed1.jpg) +Figure 20: Qualitative results for generalization to unseen combination of color and shape. + +![](images/cf07e024fed74d4886761556aa25aae43b9209aa30b4c6c92d86a8797cd5c5ed.jpg) +Figure 21: Failure case of our model, which we call “attention rank-collapse”. All foreground slots share the same attention map. Every foreground slot decodes to the same radiance field (empty radiance here) rather than specializing to an object. Here we only show one object slot, as all others look the same. + +![](images/57181a60bae40d182b210a94ce21422bc1d3b9329328919ce329da14a2593641.jpg) +Figure 22: Visual comparison with GIRAFFE for inference on CLEVR-567 dataset. GIRAFFE fails inference. + +![](images/2446417d4976de23655f3793d84d6e65c2457b1d8431a89c2c0ab594542cd5c5.jpg) +Figure 23: Visual comparison with GIRAFFE for inference on Room-Chair dataset. GIRAFFE fails inference. + +![](images/9ae9b21e90622cea96eb2a94ea8b22a4e1278f91ddada0da20d98cb5b82c6c52.jpg) +Figure 24: Inference trajectory of GIRAFFE using author-provided models on the author-provided dataset CLEVR-2345. + +![](images/fa168c3931e2e67cb5b01ebf98eafa9f0a78ab3e23515eb651e8fcf4a3d3f352.jpg) +Figure 25: Novel view synthesis on randomly generated examples using author-provided pretrained GIRAFFE model on CLEVR-2345. GIRAFFE fails inference of these multi-object scenes. GIRAFFE cannot synthesize novel views with large rotations. \ No newline at end of file diff --git a/parse/dev/rwE8SshAlxw/rwE8SshAlxw_content_list.json b/parse/dev/rwE8SshAlxw/rwE8SshAlxw_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..d1e20ba61cf50b43139efb530567c10ce343759b --- /dev/null +++ b/parse/dev/rwE8SshAlxw/rwE8SshAlxw_content_list.json @@ -0,0 +1,2188 @@ +[ + { + "type": "text", + "text": "UNSUPERVISED DISCOVERY OF OBJECT RADIANCE FIELDS ", + "text_level": 1, + "bbox": [ + 174, + 99, + 550, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Hong-Xing Yu Stanford University ", + "bbox": [ + 184, + 170, + 313, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Leonidas J. Guibas Stanford University ", + "bbox": [ + 398, + 170, + 532, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Jiajun Wu Stanford University ", + "bbox": [ + 616, + 170, + 746, + 198 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 227, + 544, + 242 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We study the problem of inferring an object-centric scene representation from a single image, aiming to derive a representation that is learned without supervision, explains the image formation process, and captures the scene’s 3D nature. Most existing methods on scene decomposition lack one or more of these characteristics, due to the fundamental challenge in integrating powerful unsupervised inference schemes like deep networks with the complex 3D-to-2D image formation process. In this paper, we propose unsupervised discovery of Object Radiance Fields (uORF), integrating recent progresses in neural 3D scene representations and rendering with deep inference networks for unsupervised 3D scene decomposition. Trained on only multi-view RGB images, uORF learns to decompose complex scenes with diverse, textured background from a single image. We show that uORF enables novel tasks, such as scene segmentation and editing in 3D, and it performs well on these tasks and on novel view synthesis on three datasets\\*. ", + "bbox": [ + 233, + 257, + 766, + 436 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 455, + 336, + 472 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Building factorized, object-centric scene representations is a fundamental ability in human vision and a constant topic of interest in computer vision and machine learning. We identify that such representations should bear three characteristics: they should be learned without supervision or prior knowledge about object categories, and therefore applicable to environments where object categories are unknown; they should explain the image formation process, addressing questions like ‘what if the object is not there?’; they should be 3D-aware, capturing geometric and physical object properties for navigation, interaction, and manipulation. ", + "bbox": [ + 174, + 479, + 825, + 577 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "For decades, researchers have attempted to solve the problems from various angles. Inspiring as they are, these methods each lack in one or more of the three aspects (Table 1). Computer vision research on unsupervised object discovery has achieved great success on deriving object segments from real images, but it doesn’t capture the image formation process, nor is it 3D-aware (Rubinstein et al., 2013; Zhu et al., 2012). Recent work on deep probabilistic inference for visual scene decomposition is unsupervised and generative (Burgess et al., 2019; Engelcke et al., 2019; Locatello et al., 2020), though most still formulate the problem as 2D segmentation and work on simple scenes of geometric primitives, ignoring the complex 3D nature of realistic visual scenes. A few recent papers on ‘scene de-rendering’ have attempted to reconstruct 3D, object-centric representations by leveraging the forward rendering procedure (Yao et al., 2018; Ost et al., 2021); they are however supervised, relying on annotations of specific object and scene categories, such as cars and road scenes. ", + "bbox": [ + 174, + 583, + 825, + 736 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The fundamental challenge that prevents these systems from acquiring all three desired properties is that the image formation process from 3D to 2D is complex and non-differentiable (e.g., due to occlusion). Thus, for a long time, it has been unclear how it may be integrated with powerful deep inference schemes. But most recently, progresses in neural rendering (Tewari et al., 2020) have demonstrated that their continuous, implicit representation works well with gradient-based inference models, such as deep networks. In particular, Neural Radiance Fields (NeRFs) (Mildenhall et al., 2020) recover a 3D scene from a set of RGB images via differentiable volume rendering. Such encouraging advances in generative modeling suggest a promising route for inferring 3D, generative, and object-centric scene representations without supervision. ", + "bbox": [ + 174, + 743, + 825, + 867 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this paper, we propose unsupervised discovery of Object Radiance Fields (uORF), integrating conditional NeRFs as 3D object representations with deep inference networks for unsupervised 3D scene decomposition. uORF infers a set of object radiance fields and a background radiance field; thus, uORF represents a 3D scene as a composition of object radiance fields (Figure 1). During training, such radiance fields are neurally rendered in multiple views, with reconstruction losses in pixel space as training supervision; during testing, uORF infers the set of object radiance fields from a single image. Learning uORF does not require explicit supervision of 3D geometry or object segmentation, but only sparse multi-view RGB images of training scenes. ", + "bbox": [ + 176, + 875, + 823, + 904 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/5432514a57bb1445597c05650057330b2b9697276ff3dd9a74da2b03e6d6dc26.jpg", + "image_caption": [ + "Figure 1: Illustration of unsupervised discovery of Object Radiance Fields. We aim to infer factorized object and background radiance fields from a single view, allowing reconstructing and editing of the scene. " + ], + "image_footnote": [], + "bbox": [ + 205, + 98, + 789, + 262 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 301, + 825, + 385 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The integration of NeRFs allows us to work with more realistic scenes with complex object shapes and diverse background environments, beyond simple scenes such as those in multi-dSprites (Greff et al., 2019) and CLEVR (Johnson et al., 2017), as considered by most current unsupervised scene decomposition methods. We further make two innovations to improve uORF’s performance. First, as background geometry and appearance can be quite different from foreground objects in 3D, we design uORF with explicit modeling of both components. This background-aware design not only facilitates learning on complex scenes, but also allows single-image scene editing including moving individual objects and changing background. Second, as volume rendering requires massive queries to render a single pixel for the recomposed scene, a practical challenge of learning uORF lies in the computational inefficiency. We tackle this issue by proposing a novel progressive coarse-to-fine training which improves representation quality while remaining affordable computational cost. ", + "bbox": [ + 174, + 391, + 825, + 545 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We evaluate uORF on factorized scene representation learning (e.g., segmentation in 3D) and scene generation (e.g., novel view synthesis, scene editing in 3D). Our evaluation is on three datasets with a gradually increasing complexity: first, CLEVR-like scenes with primitives foreground shapes; second, room scenes with complex chair shapes and textured backgrounds; third, more diverse room scenes with various foreground shapes and backgrounds. Our results show that uORF learns factorized representations that can segment 3D scenes into objects with fine shape details (e.g., thin chair legs) and backgrounds with well-recovered appearance details (e.g., irregular textures of a wooden floor). ", + "bbox": [ + 173, + 551, + 825, + 648 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In summary, our contributions are three-fold. First, we propose the problem of inferring an unsupervised, factorized, generative, and 3D-aware scene representation from a single image. Second, we introduce unsupervised discovery of Object Radiance Fields (uORF) that infers individual 3D object radiance fields from a single view for the proposed problem. Third, we demonstrate that uORF enables novel tasks such as scene segmentation and editing in 3D, and we show that it generalizes to novel scene arrangement and unseen combinations of object properties. ", + "bbox": [ + 174, + 655, + 825, + 739 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 751, + 344, + 767 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Co-segmentation and object discovery. Our work is closely related to traditional computer vision methods on object discovery, which aims to locate (visually similar) objects in a collection of images. These methods typically model objects as visual words and adopted methods from topic modeling to localize objects (Russell et al., 2006; Sivic et al., 2005; 2008), or cluster and group image patches (Grauman & Darrell, 2006; Joulin et al., 2010; Rubio et al., 2012; Vicente et al., 2011; Rubinstein et al., 2013; Cho et al., 2015). Recent works have integrated the clustering-based strategy with deep learning (Li et al., 2019; Vo et al., 2020). Nevertheless, they do not explain image formation process nor are they 3D-aware. ", + "bbox": [ + 174, + 779, + 550, + 875 + ], + "page_idx": 1 + }, + { + "type": "table", + "img_path": "images/c6c51d5097ae598c90a7ee9b37b165bebf7fa2eaae6f02f60a5c127b579159cb.jpg", + "table_caption": [], + "table_footnote": [ + "Table 1: Comparison to existing methods. " + ], + "table_body": "
ApproachUnsup.Gen. 3D
Co-segmentationxx
Deep prob. infer.
Scene"de-render"
Ours
", + "bbox": [ + 570, + 782, + 810, + 856 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 876, + 826, + 931 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/b771ad360722e178944c575023b7fc9d95a1b5d37ba0b3fe34ca525f2399a212.jpg", + "image_caption": [ + "Figure 2: Overview. I. Our model learns to infer a set of latents in a single forward pass. II. Each object/background radiance field consists of a latent and a shared conditional NeRF. III. During training, we recompose the scene and re-render images for supervision. We train our model on different scenes. At test time, we use a single image of an unseen scene for reconstruction or editing. " + ], + "image_footnote": [], + "bbox": [ + 189, + 94, + 805, + 238 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Deep probabilistic inference for scene decomposition. Our method is also closely related to deep probabilistic inference for scene decomposition. Most works formulate the problem as compositional generative modeling, where a visual scene is represented by a set of latent codes that either correspond to localized object-centric patches (Eslami et al., 2016; Crawford & Pineau, 2019; Kosiorek et al., 2018; Lin et al., 2020; Jiang et al., 2019) or scene mixture components (Burgess et al., 2019; Greff et al., 2019; 2016; 2017; Engelcke et al., 2019). Recently, Locatello et al. (2020) proposed the Slot Attention module to simplify the inference by a slot-based encoder. Besides these inference models, Monnier et al. (2021) formulated scene decomposition as layered image decomposition and demonstrated it on real images. However, these methods do not account for the 3D nature of scenes. ", + "bbox": [ + 173, + 299, + 825, + 424 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "A few methods have recently been proposed for unsupervised 3D scene decomposition. Elich et al. (2020) infer object shapes from a single scene image, but they require pretraining on groundtruth shapes. Chen et al. (2020) extend Generative Query Network (Eslami et al., 2018) to decompose 3D scenes, but they require multi-view images during inference. The closest to our work is a concurrent work by Stelzner et al. (2021) which also utilizes a slot-based encoder and NeRFs as 3D representations. However, Stelzner et al. (2021) relies on groundtruth multi-view dense depth in addition to images in training. Moreover, we explicitly model the separation of objects and background to address various complex shapes and textured backgrounds, while they only demonstrate scenes with a single textureless background. ", + "bbox": [ + 174, + 430, + 825, + 556 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Scene de-rendering. A few recent works have shown reconstructing 3D object-centric representations by incorporating forward image rendering process (Wu et al., 2017; Yao et al., 2018; Kundu et al., 2018; Ost et al., 2021). Yao et al. (2018) de-render an image into semantic segments and geometric object attributes, which enable 3D scene manipulation. Most recently, Ost et al. (2021) propose Neural Scene Graph to represent dynamic scenes into a scene graph where each node encodes object-centric information. However, these methods rely on manual annotations of specific objects (such as cars) and scene categories (such as street scenes). ", + "bbox": [ + 174, + 560, + 825, + 659 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Neural scene representations and rendering. Our method is related to recent progresses in neural continuous scene representations (Sitzmann et al., 2019) and neural rendering (Tewari et al., 2020). Neural scene representations parameterize 3D scenes with a deep network (Sitzmann et al., 2019). Combined with differentiable neural rendering techniques (Kato et al., 2020; Tewari et al., 2020), they can be learned from only 2D images (Niemeyer et al., 2020). In particular, Neural Radiance Fields (NeRFs) (Mildenhall et al., 2020) have shown impressive novel view synthesis. Related follow-up works include those that infer NeRFs from a single image (Yu et al., 2020; Kosiorek et al., 2021; Jang & Agapito, 2021) and those that incorporate NeRFs into generative models (Schwarz et al., 2020; Niemeyer & Geiger, 2021; Chan et al., 2020). Different from these works which cope with single objects or holistic scenes, we learn object NeRFs via decomposing a multi-object scene without segmentation annotations. GIRAFFE (Niemeyer & Geiger, 2020) generates object NeRFs and thus compose 3D scenes in an adversarial framework. However, it targets at unconditional generation and cannot tackle inference (see Appendix E), while we focus on single-image inference of multi-object scenes. Thus, we address a fundamentally different problem compared to GIRAFFE. ", + "bbox": [ + 173, + 664, + 826, + 858 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 APPROACH", + "text_level": 1, + "bbox": [ + 174, + 869, + 297, + 886 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our goal is to infer from a single image a set of object-centric 3D representations to generate the underlying 3D scene. We show an illustration in Figure 2. Our object representation is a conditional object radiance field. Thus, we learn to infer object-centric latents from a single image (Figure 2- I). The inferred latents are used to condition a network to yield the 3D object and background radiance fields (Figure 2-II), forming our 3D-aware, generative and factorized scene representation. In training, we compose all object and background radiance fields and render the recomposed scene from multiple views. We obtain supervision by comparing rendered images to reference images (Figure 2-III) without needing 3D geometry or segmentation annotations. We describe each of our model components in the following and leave implementation details in Appendix B. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 826, + 202 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 OBJECT-CENTRIC LATENT INFERENCE ", + "text_level": 1, + "bbox": [ + 176, + 210, + 480, + 224 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Our goal is to infer latent object-centric representations from a single input image. We assume that an underlying 3D scene is composed of a background environment and no more than $K$ foreground objects. Thus, the output of our object-centric latent inference process is a latent $\\mathbf { z } ^ { b }$ for background and a set of latents $\\{ \\mathbf { z } _ { i } ^ { f } \\} _ { i = 1 } ^ { K }$ for foreground objects (empty objects are allowed). To encourage unsupervised object-wise factorization, we adopt a slot-based formulation (Locatello et al., 2020). The assumption in this formulation is that objects should share a common prior latent space. The main idea include three steps. The first step is to sample all object latents (i.e., slots) from the same prior ", + "bbox": [ + 174, + 233, + 485, + 443 + ], + "page_idx": 3 + }, + { + "type": "image", + "img_path": "images/614299cdcf3735001f5da11d5324b929532aabf1f5fb87b68e70b315fe7a4d2a.jpg", + "image_caption": [ + "Figure 3: Our object-centric latent inference. The attention binds each object’s features to a slot. " + ], + "image_footnote": [], + "bbox": [ + 500, + 231, + 803, + 411 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "distribution (background is a special object) to encourage representational uniformity across all slots (“sampling”). Then each slot is bound to an object region via an attention module (“binding”). In the last step each slot gets updated by the bound object features to specialize for that object (“updating”). Locatello et al. (2020) have demonstrated success on segmenting 2D images. ", + "bbox": [ + 174, + 444, + 826, + 498 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "However, in 3D scenes, the geometry and appearance of the background are highly different from those of foreground objects. Modeling them indistinguishably often leads to object representations entangled with blurry background segments (Burgess et al., 2019; Locatello et al., 2020), which impedes applications such as scene editing and re-composition. Thus, we propose a backgroundaware slot attention module (Figure 3) that separately models objects and environment to better capture the compositional structure of 3D scenes. ", + "bbox": [ + 173, + 506, + 825, + 589 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Background-aware slot attention for sampling and binding. In the sampling step, we model the latent prior distribution of foreground objects by a Gaussian with learnable mean and variance, i.e., we sample $\\mathbf { s } \\mathbf { 1 } \\mathsf { o t } \\mathbf { s } ^ { f } \\sim \\mathcal { N } ^ { f } ( \\mu ^ { f } , \\mathsf { d i a g } ( \\sigma ^ { f } ) \\bar { ) } \\in \\mathbb { R } ^ { \\bar { K } \\times D }$ for $K$ objects. For latent prior of backgrounds, we learn another Gaussian and sample a single slot from it, i.e., $\\mathbf { s } \\mathbf { 1 } \\mathbf { o t } ^ { b } \\sim \\mathcal { N } ^ { b } ( \\dot { \\mu ^ { b } } , \\mathbf { d i a g } ( \\sigma ^ { b } ) ) \\stackrel { \\smile } { \\in } \\mathbb { R } ^ { 1 \\times D }$ . ", + "bbox": [ + 173, + 598, + 826, + 655 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "To bind slots to image features, we let all the slots to compete for explaining the input image representation. To do this, we flatten the convolutional feature map (we include details about convolutional encoder in Appendix B.1) into a set of $N$ input feature vectors, feat $\\in \\mathbb { R } ^ { N \\times D }$ . The slot competition is modeled by a key-query attention (Bahdanau et al., 2014): ", + "bbox": [ + 174, + 660, + 825, + 717 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/9381b1110a169b153416f58ae036b5812fb4335a79e3e86be87f3040da2dd18c.jpg", + "text": "$$\n\\mathrm { a t } { \\bf u } _ { i , j } : = \\frac { \\exp ( M _ { i , j } ) } { \\sum _ { l } \\exp ( M _ { i , l } ) } , \\quad \\mathrm { w h e r e } \\quad M : = \\frac { 1 } { \\sqrt { D } } k ( \\mathbf { f e a t } ) \\cdot \\left[ \\boldsymbol { q } ^ { b } ( \\mathbf { s } \\mathbf { l o t } \\boldsymbol { \\bf s } ^ { b } ) \\right] ^ { T } \\in \\mathbb { R } ^ { N \\times ( K + 1 ) } .\n$$", + "text_format": "latex", + "bbox": [ + 186, + 727, + 790, + 765 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Here $k$ and $q ^ { b } / q ^ { f }$ are learnable linear mappings √ $\\mathbb { R } ^ { D D }$ for computing dot-product similarity (Luong et al., 2015), and $\\sqrt { D }$ is a fixed softmax temperature (Vaswani et al., 2017). One can see this process as a soft K-means, where $\\tt a t t r a _ { i }$ softly assigns a feature $i$ to the slots (centroids). The background slot is expected to capture the modality of background features and bind all of them, allowing foreground slots to focus only on the objects without explaining background segments (Figure 3). Besides the representation design, we further encourage disentanglement between background and foregrounds by two additional designs: (1) We represent and query foreground/background (during the neural rendering process) in different coordinate frames. (2) To discourage object slots from fitting background, we impose a locality constraint in early training. We set a foreground box and enforce that every foreground query point outside the box has zero density. We include details in Appendix B.2. ", + "bbox": [ + 173, + 773, + 826, + 931 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Updating slots to infer latents. With the attention weights, we form the update signal by aggregating input values via a weighted mean pooling updatesb := W bT · vb(feat) ∈ R1×D, where $\\bar { W } _ { i , 1 } ^ { b } : = \\mathsf { a t t n } _ { i , 1 } / ( \\sum _ { l = 1 } ^ { N } \\bar { \\mathsf { a t t n } _ { l , 1 } } )$ , and up $\\mathsf { i a t e s } ^ { f } : = W ^ { f T } \\cdot v ^ { f } ( \\mathsf { f e a t } ) \\in \\mathbb { R } ^ { K \\times D }$ , where $W _ { i , j } ^ { f } ~ : = ~ \\mathsf { a t t n } _ { i , j + 1 } / ( \\sum _ { l = 1 } ^ { N } \\mathsf { a t t n } _ { l , j + 1 } ) .$ Slots are then updated using the update signals via a learnable rule parameterized by a Gated Recurrent Unit (GRU) (Cho et al., 2014), so that $\\mathbf { s } \\mathbf { 1 } { \\mathsf { o t s } } ^ { f } \\gets \\mathsf { G R U } ^ { f } \\big ( \\mathbf { s } \\mathbf { 1 } { \\mathsf { o t s } } ^ { f } , \\mathbf { u p d a t } \\bar { \\mathsf { e s } } ^ { f } \\big )$ ) and $\\mathbf { s } 1 0 \\mathbf { t } ^ { b } \\gets \\mathsf { G R U } ^ { b } ( \\mathsf { s } 1 0 \\mathbf { t } ^ { b } , \\mathsf { u p d a t e s } ^ { b } )$ ). We repeat the attention computation and updating for 3 iterations, and output all the slots as the final latents $\\mathbf { z } ^ { b }$ and $\\{ \\mathbf { z } _ { i } ^ { f } \\} _ { i = 1 } ^ { K }$ . We show pseudo-code of our background-aware slot attention in Appendix (Alg. 1). ", + "bbox": [ + 173, + 103, + 826, + 226 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 COMPOSITIONAL NEURAL RENDERING ", + "text_level": 1, + "bbox": [ + 176, + 231, + 486, + 244 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We represent a 3D object as a conditional neural radiance field. A NeRF is a continuous mapping $g : ( \\bar { \\mathbf { x } , \\mathbf { d } } ) ( \\mathbf { c } , \\sigma )$ from spatial location $\\mathbf { x }$ and viewing direction d to emitted color c and volume density $\\sigma$ used for volume rendering (Max, 1995). This mapping is parameterized by an MLP network. We adopt a conditional NeRF $g ( \\mathbf { x } , \\mathbf { d } | \\mathbf { z } )$ for our inference scheme (detailed in Appendix B.3). The MLP parameters are shared across all objects $g ^ { f } ( \\mathbf { x } , \\mathbf { d } | \\mathbf { z } _ { i } ^ { f } )$ , but not the background $g ^ { b } ( \\mathbf { x } , \\mathbf { d } | \\mathbf { z } ^ { b } )$ due to its distinct geometry and appearance distribution. ", + "bbox": [ + 173, + 251, + 825, + 338 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To compose individual objects and background into the holistic scmodel and use density-weighted mean to combine all components: $\\begin{array} { r } { \\bar { \\boldsymbol { \\sigma } } = \\sum _ { i = 0 } ^ { K } w _ { i } \\sigma _ { i } , \\bar { \\mathbf { c } } = \\sum _ { i = 0 } ^ { K } w _ { i } \\mathbf { c } _ { i } } \\end{array}$ , where $w _ { i } = \\sigma _ { i } / \\sum _ { j = 0 } ^ { K } \\sigma _ { j }$ . Here $\\bar { \\sigma }$ and c¯ are the combined density and color, respectively. The color $C ( \\mathbf { r } )$ of a camera ray $\\mathbf { r } ( t ) = \\mathbf { o } + \\mathbf { d } ( t )$ is then estimated via numerical integration of volume rendering, using $S$ discrete combined samples along a ray (Max, 1995): $\\begin{array} { r } { C ( \\mathbf { r } ) = \\bar { \\sum _ { i = 1 } ^ { S } } T _ { i } [ 1 - \\exp ( - \\bar { \\sigma } _ { i } \\delta _ { i } ) ] \\bar { \\mathbf { c } } _ { i } } \\end{array}$ where $\\begin{array} { r } { T _ { i } = \\exp \\left( - \\sum _ { j = 1 } ^ { i - 1 } \\bar { \\sigma } _ { j } \\delta _ { j } \\right) } \\end{array}$ . Here $\\delta _ { j }$ is the distance between adjacent samples along a ray. ", + "bbox": [ + 173, + 344, + 826, + 450 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 MODEL LEARNING ", + "text_level": 1, + "bbox": [ + 174, + 457, + 348, + 470 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Loss functions. As shown in Figure 2, during training we input a single image of a scene, infer object and background radiance fields, render multiple views from the recomposed scene, and compare them to reference images for loss computation. We train our model across multiple scenes. Our training loss function comprises of a reconstruction loss, a perceptual loss, and an adversarial loss: ${ \\mathcal { L } } = { \\mathcal { L } } _ { \\mathrm { { r e c o n } } } + \\lambda _ { \\mathrm { { p e r c e p t } } } { \\mathcal { L } } _ { \\mathrm { { p e r c e p t } } } - \\lambda _ { \\mathrm { { a d v } } } { \\mathcal { L } } _ { \\mathrm { { a d v } } }$ , where $\\lambda$ are weights. The reconstruction loss is $\\mathcal { L } _ { \\mathrm { r e c o n } } = \\| \\pmb { I } - \\hat { \\pmb { I } } \\| ^ { 2 }$ , where $\\pmb { I }$ and $\\hat { I }$ denote the reference image and rendered image, respectively. ", + "bbox": [ + 173, + 477, + 825, + 565 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Since we estimate 3D radiance fields from a single view, there can be uncertainties about the appearance from other views (e.g., the back view). For example, regarding visual appearance of objects, inaccurate global lighting estimation leads to uncertainties in brightness and shadows from occluded views even if the object shapes can be well estimated. To address this, we incorporate a perceptual loss (Johnson et al., 2016) which is tolerant to mild appearance changes. The perceptual loss is defined by $\\| \\mathcal { L } _ { \\mathrm { p e r c e p t } } = p ( I ) - p ( \\hat { I } ) \\| ^ { 2 }$ where $p$ is a deep feature extractor (See Appendix B.4). ", + "bbox": [ + 174, + 570, + 825, + 659 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In addition to appearance, there can be even higher uncertainties in estimating object shapes from a single view, which is a multi-modal distribution. In this case, the unimodal reconstruction loss leads to blurry results (“mean shape”). We mitigate this issue by adding an adversarial loss which can deal with multi-modal distributions: ", + "bbox": [ + 174, + 662, + 825, + 719 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/a480036b0d1dd978a64be9573fa35cc977cbdb3f5c6f08e1cd1c97b3583e01f3.jpg", + "text": "$$\n\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { a d v } } = \\mathbb { E } [ f ( D ( \\hat { \\cal I } ) ) ] + \\mathbb { E } [ f ( - D ( { \\cal I } ) ) + \\lambda _ { R } \\| \\nabla D ( { \\cal I } ) \\| ^ { 2 } ] , \\quad \\mathrm { w h e r e } \\quad f ( t ) = - \\log ( 1 + \\exp ( - t ) ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 720, + 799, + 741 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Here we adopt the R1 regularization (Mescheder et al., 2018) to stabilize training. $D$ denotes a discriminator to distinguish rendered images $\\hat { I }$ and reference images $\\pmb { I }$ . We iterate between training the discriminator by minimizing ${ \\mathcal { L } } _ { \\mathrm { a d v } }$ and training our inference model (Figure 2) by minimizing $\\mathcal { L }$ . ", + "bbox": [ + 174, + 742, + 825, + 787 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Coarse-to-fine Progressive Training. A practical challenge in training compositional NeRFs lies in the computational cost of neural volume rendering, as it requires massive queries to render a single pixel. While there have been attempts on fast inference (Liu et al., 2020; Rebain et al., 2020; Neff et al., 2021; Garbin et al., 2021; Reiser et al., 2021; Yu et al., 2021), high space complexity in training remains a challenge. Further, because our perceptual and adversarial losses depend on image patches, the system has to render a large enough patch (instead of a single pixel) at the same time, which further increases its space demand. ", + "bbox": [ + 173, + 790, + 825, + 888 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "To allow training on a higher resolution, we propose a coarse-to-fine progressive training. In a coarse training stage, we bilinearly downsample reference images to a low resolution (e.g., $6 4 \\times 6 4 )$ , and train uORF on these downsampled images. Although the coarsely trained model can already decompose the 3D scenes and recover rough object radiance fields, fine details (e.g., thin legs of chairs) might be missing. Thus, in a following fine training stage, we replace the low-resolution reference images with image patches randomly cropped from high-resolution images (Figure 2-III), and render the correspondingly located patches from our recomposed scene radiance fields to compute the loss. We include further training details in Appendix B.4. ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 188 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 202, + 326, + 217 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We evaluate uORF on both scene representation (via scene segmentation in 3D) and scene generation (via novel view synthesis and scene editing) on three datasets. ", + "bbox": [ + 174, + 229, + 823, + 257 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Data. We build three synthetic datasets with gradually increasing complexity. For each scene in the dataset, we point the camera to the scene center and render four images with a randomly chosen azimuth angle and a fixed elevation angle. We describe more details in Appendix C.1. ", + "bbox": [ + 176, + 265, + 823, + 308 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "CLEVR-567. The first dataset includes scenes of 5–7 CLEVR objects (Johnson et al., 2017), with a random position and orientation on a clean background. Foreground object shapes include three geometric primitives (i.e., cubes, spheres and cylinders). Since there is intrinsic ambiguity in estimating specularity from a single image, we use only the largely diffuse “Rubber” material. There are 1,000 scenes for training and 500 for testing. ", + "bbox": [ + 174, + 314, + 823, + 383 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Room-Chair. The second dataset includes scenes of 3 to 4 chairs of the same shape in a room with three different textured backgrounds. There are 1,000 scenes for training and 500 for testing. ", + "bbox": [ + 173, + 391, + 821, + 419 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Room-Diverse. The third dataset includes scenes of diverse foreground object shapes and background appearances. Each scene includes 4 different chairs, whose shape is randomly sampled from 1,200 ShapeNet chair shapes (Chang et al., 2015), and the background is sampled from 50 floor textures from the web. There are 5,000 scenes for training and 500 for testing. ", + "bbox": [ + 174, + 426, + 825, + 482 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.1 SCENE SEGMENTATION IN 3D ", + "text_level": 1, + "bbox": [ + 176, + 491, + 421, + 505 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We first evaluate uORF’s factorized 3D scene representations via scene segmentation in 3D. ", + "bbox": [ + 169, + 513, + 772, + 527 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Baselines. Because there is no previous work focusing on the same setting as uORF, we compare to a 2D state-of-the-art scene decomposition model Slot Attention (Locatello et al., 2020) for unsupervised scene segmentation wherever possible (detailed in Appendix C.2). In addition, we compare to two ablated versions of uORF. First, we remove our background-aware modeling but keep the same number of slots. Second, we ablate our progressive training such that the training procedure only contains the coarse training stage. We refer to ablated models as “uORF (w/o background)” and “uORF (w/o prog. train.)”, respectively. ", + "bbox": [ + 174, + 535, + 825, + 632 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Metrics. We adopt the widely-used Adjusted Rand Index (ARI) as our metric. To evaluate scene segmentation in 3D, we consider three kinds of ARIs: (1) For direct comparison to 2D methods, we compute ARI on reconstructed images. (2) To reflect the 3D nature, we also compute ARI on synthesized novel views, denoted as “NV-ARI”. Note that each scene includes 4 views, and only one is used as input, and the other three are treated as novel views for this metric. (3) In line with previous 2D methods, we also report foreground ARI $\\mathrm { F g }$ -ARI), computed only on foreground regions indicated by groundtruth masks. Yet, we note that $\\mathrm { F g }$ -ARI cannot fully reflect the segmentation quality, because background segmentation is completely ignored. ", + "bbox": [ + 174, + 640, + 825, + 752 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Results. We volume-render a density map $\\mathbf { d } ^ { i }$ for each slot . The segmentation label for each pixel $s _ { p }$ is given by $s _ { p } = \\arg \\operatorname* { m a x } _ { i = 1 } ^ { K + 1 } { \\bf d } _ { p } ^ { i }$ . We show results on Table 2 and Figure 4 (more in Appendix D). For all segmentation metrics, we show mean and standard deviation for three runs. uORF outperforms all methods in terms of ARI and NV-ARI. From Figure 4, it is clear that uORF is able to discover the 3D objects from a single image. These results validate that uORF can learn well-factorized 3D object-centric scene representations. Also notice that uORF yields better ARI even in input views compared to 2D slot attention. This is likely due to our background-aware design, as our ablated model “uORF w/o background” has shown similar input-view results compared to slot attention (e.g., see 3rd and 4th columns in Figure 4). ", + "bbox": [ + 174, + 758, + 825, + 886 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.2 NOVEL VIEW SYNTHESIS ", + "text_level": 1, + "bbox": [ + 176, + 893, + 392, + 907 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "We then show that uORF is 3D-aware and generative via evaluation on novel view synthesis. ", + "bbox": [ + 176, + 916, + 777, + 931 + ], + "page_idx": 5 + }, + { + "type": "image", + "img_path": "images/7783d6f6b011891979bd7aeefad251582074bc3420a9dbfabcca1cd7db9ef3af.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 187, + 95, + 803, + 431 + ], + "page_idx": 6 + }, + { + "type": "table", + "img_path": "images/cc0d787833183eb4d5fe01644c43faad7b081b530a8ed0e5f43df54061d805be.jpg", + "table_caption": [ + "Figure 4: Examples on scene segmentation in 3D. Novel view images are for reference but not input. " + ], + "table_footnote": [ + "Table 2: Scene segmentation results. “NV-ARI” refers to ARI evaluated on novel views. “Fg-ARI” refers to ARI evaluated with only foreground pixels. Slot Attention (Locatello et al., 2020) is a state-of-the-art 2D method. " + ], + "table_body": "
ModelsCLEVR-567Room-ChairRoom-Diverse
3D metric2D metric3D metric2D metric3D metric2D metric
NV-ARI↑ARI↑Fg-ARI个NV-ARI个ARI个Fg-ARI↑NV-ARI↑ARI个Fg-ARI↑
Slot AttentionN/A3.5±0.793.2±1.5N/A38.4±18.440.2±4.5N/A17.4±11.343.8±11.7
uORF(w/o background)10.5±3.611.7±4.686.4±2.840.4±9.242.3±10.693.3±1.921.0±8.124.0±9.978.9±3.1
uORF(w/o prog. train.)81.1±0.783.7±0.884.2±0.562.3±2.565.4±2.681.0±3.053.8±1.463.7±1.766.9±4.1
uORF(ours)83.8±0.386.3±0.187.4±0.874.3±1.978.8±2.688.8±2.756.9±0.265.6±1.067.9±1.7
", + "bbox": [ + 176, + 458, + 825, + 558 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Setup. For each test scene, we randomly pick one image as input and the remaining three images as groundtruth for novel view synthesis. As Slot Attention is purely in 2D and does not support novel view synthesis, we compare to a conditional NeRF (Mildenhall et al., 2020), equipped with a convolutional encoder similar to uORF, termed as “NeRF-AE” (see Appendix C.2). For fair comparison, we increase the latent dimension for NeRF-AE to guarantee approximately the same computational cost, and we use the same training strategy and losses as uORF. Thus, NeRF-AE can also be seen as a monolithic alternative model to uORF. We also compare with the ablated models, “uORF (w/o background)” and “uORF (w/o prog. train.)”. We use the perceptual metric LPIPS (Zhang et al., 2018), together with SSIM (Wang et al., 2004) and PSNR, as our evaluation metrics. ", + "bbox": [ + 173, + 598, + 825, + 724 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Results. Quantitative results are in Table 3 and qualitative results are in Figure 5 (more in Appendix D). Quantitatively, uORF outperforms all compared methods on all metrics. From the qualitative comparison in Figure 5, we highlight three advantages of uORF. First, compared with NeRF-AE, which has a monolithic latent structure for the entire scene, uORF better preserves the features of each object: for example, see how NeRF-AE fuses object colors in the first two rows, while uORF does not. This shows the advantage of factorized scene representations to structurally describe a visual scene. Second, compared with uORF (w/o background), one can clearly see how our background-aware modeling helps recovering background appearances: uORF can accurately recover background appearance of the Room-Chair example, while uORF (w/o background) does not. It also facilitates learning on complex scenes with diverse, textured background: uORF can learn to roughly recover object shapes in the Room-Diverse example. Third, compared with uORF (w/o prog. train.), we highlight that the fine training on image patches indeed improves both visual quality and representation quality: the full uORF tries to recover sharp edges of cubes, while uORF (w/o prog. train.) cannot distinguish cube from sphere. ", + "bbox": [ + 174, + 729, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/232183a9d35988986c77d1a94fc50b45dc9cf79f1c2590ae6196917d9c3ce14c.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 205, + 85, + 785, + 363 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/28791c2f79b91bb65a6bf4ca13c8551e71ea8d8889c6f46c0fadbbc4462f1ce5.jpg", + "table_caption": [ + "Figure 5: Qualitative results on scene decomposition and novel view synthesis. Within every two rows, the first is reconstruction and the second is a novel view. " + ], + "table_footnote": [ + "Table 3: Comparison on novel view synthesis from a single image. " + ], + "table_body": "
ModelsCLEVR-567Room-ChairRoom-Diverse
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
NeRF-AE0.12880.865827.160.11660.826528.130.24580.668824.80
uORF (w/o background)0.09190.892428.930.16710.785227.860.22310.692425.90
uORF(w/o prog. train.)0.10440.889428.840.15730.828728.330.21230.676025.19
uORF (ours)0.08590.897129.280.08210.872229.600.17290.709425.96
", + "bbox": [ + 176, + 396, + 818, + 486 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Overall, the novel view synthesis results suggest that uORF can learn to represent 3D scenes with reasonable fidelity, even with the presence of complex foreground object shapes, such as chairs and different textured backgrounds. ", + "bbox": [ + 176, + 505, + 825, + 546 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.3 SCENE DESIGN AND EDITING IN 3D ", + "text_level": 1, + "bbox": [ + 176, + 554, + 465, + 568 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Being object-centric and 3D-aware, uORF is able to edit 3D scene radiance fields inferred from a single view, and generate novel scene images. ", + "bbox": [ + 174, + 575, + 823, + 604 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Setup. We test uORF’s ability to edit scenes and synthesize novel images on the Room-Chair dataset. We consider both moving foreground objects and changing background appearance. For object moving, we randomly pick one object in a test scene and move it to a random position. We render 4 images for each of the 500 test scenes. For background changing, we replace the current background texture to a different one and also render 4 images for evaluation. To indicate the new background, we re-pick and re-put foreground objects such that the resultant background indicator image is different from the groundtruth image. ", + "bbox": [ + 174, + 609, + 825, + 708 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For uORF and Slot Attention (Locatello et al., 2020), we use groundtruth masks of the input view only for ease of evaluation. We determine which slot to move by picking the one with largest mask IoU. For NeRF-AE (Mildenhall et al., 2020) to do editing, we back-project the masks to frustums to determine the 3D regions to be moved/replaced. We use LPIPS, SSIM, and PSNR as our metrics. ", + "bbox": [ + 174, + 714, + 825, + 770 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Results. We show results in Table 4 and Figure 6 (more in Appendix D). Again, uORF outperforms all compared methods on all metrics. As Figure 6 depicts, images synthesized by uORF show least artifacts and highest quality and fidelity. ", + "bbox": [ + 173, + 776, + 419, + 873 + ], + "page_idx": 7 + }, + { + "type": "table", + "img_path": "images/87ce8cd11da2e956f5819758325b386fccd259c183f6187a3100321ad240105d.jpg", + "table_caption": [ + "Table 4: Comparison on scene editing. " + ], + "table_footnote": [], + "table_body": "
ModelsMoving objectsChanging background
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR个
NeRF-AE0.24510.728423.180.21850.713225.42
Slot Attention0.39410.713423.060.36890.728323.94
uORF(w/o background)0.22060.744824.550.18790.771926.68
uORF(w/o prog.train.)0.15830.831328.190.15860.830628.27
uORF (ours)0.08550.871129.260.08220.872929.53
", + "bbox": [ + 431, + 773, + 825, + 873 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.4 GENERALIZATION AND ANALYSIS ", + "text_level": 1, + "bbox": [ + 176, + 882, + 450, + 895 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Finally we explore the generalization ability of uORF. We consider generalization on unseen, challenging spatial arrangement of objects, as well as generalization on unseen object appearances. ", + "bbox": [ + 173, + 902, + 825, + 931 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/069d7fc72a2cb4c001e4eae3b974f2c9acaac825ec3bf24b12d1c6a9ced3338f.jpg", + "image_caption": [ + "Figure 6: Qualitative results on single-image 3D scene manipulation. The first two rows are for moving object and the second two rows are for changing background. " + ], + "image_footnote": [], + "bbox": [ + 184, + 103, + 821, + 396 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/a32f14dc24c3dc711cebaec4e74059f1b8c308ec0a3056af45cd8bae319c6059.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
ModelsNV-ARI个ARI个
Slot AttentionN/A2.2±0.6
uORF (ours)85.0±0.387.4±0.4
uORF (oracle)85.5±0.387.5±0.3
", + "bbox": [ + 375, + 452, + 583, + 507 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/a70f6f62cad948c5b13ac674e554dc62ed801dfd45be632bbeef4a4676de4948.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Loss functionsARI↑LPIPS↓
Rec.59.1±0.50.3610
Rec.+Percept.65.2±0.80.2156
Rec.+ Adv.60.4±2.20.2288
Rec.+ Percept. + Adv.65.6±1.00.1729
", + "bbox": [ + 584, + 441, + 821, + 508 + ], + "page_idx": 8 + }, + { + "type": "table", + "img_path": "images/16a7f9c056e3b82830f45e1d1071c0e57d10b50fc872f13a52b922a4fd258d09.jpg", + "table_caption": [ + "Table 5: Generalization to novel Table 6: Generalization to unseen Table 7: Ablation study for losses on the challenging spatial arrangements. combinations of color and shape. Room-Diverse dataset. " + ], + "table_footnote": [], + "table_body": "
ModelsARI个LPIPS↓
Slot Attention5.7±0.3N/A
NeRF-AEN/A0.2201
uORF (ours)83.2±0.60.1540
", + "bbox": [ + 173, + 452, + 370, + 507 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Generalizing to challenging spatial arrangements. We build a new test dataset, packed-CLEVR11, where each scene has 11 objects that are closely packed into a cluster. Therefore, each scene bears an unseen number of objects in an unseen challenging arrangement. We test models trained on CLEVR-567, report results in Table 5 and Appendix Figure 19. Despite uORF never sees such object arrangements, it still achieves a reasonable performance and outperforms baselines. ", + "bbox": [ + 174, + 550, + 825, + 619 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Generalizing to new combination of shape and color. For unseen object appearances, we consider generalization in a systematic way such that the model can deal with unseen combination of object color and shape. Thus, we build a new training set similar to CLEVR-567, but we remove red cylinders and blue spheres from the object candidate pool. Then we test trained models on another dataset with only red cylinders and blue spheres in the candidate pool. We show results in Table 6 and examples in Appendix Figure 20. We see that although uORF has never seen any of the test set objects, it achieves similar results to the one trained on a normal CLEVR-567 dataset (denoted as “uORF (oracle)”). This suggests uORF’s ability for systematic generalization to unseen combinations of object color and shape. We further validate generalization to unseen object shapes in Appendix D. ", + "bbox": [ + 173, + 630, + 825, + 755 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Evaluating loss functions. uORF uses perceptual and adversarial losses to combat intrinsic uncertainties in single-image inference of 3D representations. We show ablation results on novel view synthesis in Table 7 and Appendix Figure 18. Both losses significantly improve image quality. ", + "bbox": [ + 174, + 765, + 823, + 808 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 824, + 318, + 839 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this work, we propose unsupervised discovery of Object Radiance Fields (uORF), which learns to infer object-centric 3D radiance fields from a single image of complex multi-object scenes. We demonstrate uORF’s ability on scene segmentation and scene generation in 3D. Our positive results suggest a promising direction to integrate neural rendering into deep probabilistic inference scheme, allowing learning factorized 3D object-centric scene representations from only RGB images. ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "ACKNOWLEDGMENTS ", + "text_level": 1, + "bbox": [ + 176, + 103, + 356, + 117 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This work was in part supported by Qualcomm Innovation Fellowship (QIF), Stanford Institute for Human-Centered AI (HAI), Stanford Center for Integrated Facility Engineering (CIFE), Toyota Research Institute, a Vannevar Bush faculty fellowship, Amazon, Autodesk, Google, and Bosch. ", + "bbox": [ + 176, + 127, + 823, + 170 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REPRODUCIBILITY STATEMENT ", + "text_level": 1, + "bbox": [ + 176, + 183, + 437, + 198 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "To ensure reproducibility of our work, we have provided the training and test code repository†, together with all three synthetic datasets, and pre-trained models on all three datasets. We have also provided a detailed instruction on using our code as well as training on new datasets. In Appendix B, we describe details for re-implementing our work. ", + "bbox": [ + 174, + 209, + 825, + 265 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "ETHICS STATEMENT ", + "text_level": 1, + "bbox": [ + 174, + 277, + 344, + 292 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Learning object-centric scene representations is a long-standing topic in vision and it finds various applications in downstream tasks. We represent a 3D scene as a composition of simple radiance fields, which only models object appearances and entangles their physical properties that may be crucial to downstream tasks in a non-interpretable way. However, we envision that careful designs in more structured 3D object representations for specific downstream applications could help improve transparency and human interpretability in model prediction and behavior, allowing both better performances and secure, fair usage. In our code release, we will explicitly specify allowable uses of our system with appropriate licenses. We will use techniques such as watermarking to identify and label visual contents generated by our system. ", + "bbox": [ + 174, + 303, + 825, + 429 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "REFERENCES ", + "text_level": 1, + "bbox": [ + 176, + 440, + 285, + 455 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Dzmitry Bahdanau, Kyunghyun Cho, and Yoshua Bengio. Neural machine translation by jointly learning to align and translate. arXiv:1409.0473, 2014. 4 \nChristopher P Burgess, Loic Matthey, Nicholas Watters, Rishabh Kabra, Irina Higgins, Matt Botvinick, and Alexander Lerchner. 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Unsupervised object class discovery via saliency-guided multiple class learning. In CVPR, 2012. 1 ", + "bbox": [ + 169, + 80, + 828, + 926 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 103, + 826, + 297 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A SUPPLEMENTARY MATERIAL OVERVIEW ", + "text_level": 1, + "bbox": [ + 174, + 315, + 547, + 332 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "In the following supplementary document, we first provide implementation details on unsupervised discovery of Object Radiance Fields in Section B. We then describe details on datasets and baseline architectures in Section C. We show additional results in in Section D, including results on generalization to unseen object shapes, a demonstration on real photos, an analysis on the sensitivity to slot initialization, and additional qualitative results on all experiments of the main paper and failure cases. In Section E, we show comparison to GIRAFFE (Niemeyer & Geiger, 2020) to demonstrate that it focus on a fundamentally different problem (unconditional generation) than our work (conditional inference). All mathematical and algorithmic notations are the same as those in the main manuscript. ", + "bbox": [ + 174, + 342, + 826, + 453 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "In the supplementary video, we provide an overview of our paper. ", + "bbox": [ + 174, + 460, + 612, + 474 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B IMPLEMENTATION ", + "text_level": 1, + "bbox": [ + 176, + 487, + 361, + 502 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Here, we provide implementation details of our uORF model. ", + "bbox": [ + 174, + 512, + 576, + 526 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B.1 OBJECT-CENTRIC LATENT INFERENCE ", + "bbox": [ + 176, + 535, + 478, + 547 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We show a pseudo code of inferring object-centric latents with the background-aware slot attention in Algorithm 1. ", + "bbox": [ + 171, + 555, + 823, + 583 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Convolutional feature extraction. The convolutional net extracts features from the input image for updating the latent slots. Our convolutional encoder is a simple U-net. We show our encoder architecture in Table 8 and Table 9. Since we want the model to generalize to decompose unseen images, it is natural to represent foreground objects position and pose in the viewer coordinate system. As identified in previous studies (Tatarchenko et al., 2019), this facilitates the learning of 3D object position and helps generalization. In order for the object-centric representations to include such information in the viewer coordinate system, we can inform the encoder of position information by feeding pixel coordinates and viewer-space ray directions as additional input channels. In our experiments we assume fixed camera focal length. In this case, the ray direction does not provide additional information to the pixel coordinates, and thus we only feed pixel coordinates as input channels in addition to the input RGB image. Each of the $X Y$ pixel coordinates is normalized to $[ - 1 , 1 ]$ in both directions, leading to 4 additional channels to RGB. ", + "bbox": [ + 174, + 589, + 825, + 755 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B.2 COORDINATE SPACE AND LOCALITY CONSTRAINT FOR BETTER FORE-/BACK-GROUND DISENTANGLEMENT ", + "bbox": [ + 178, + 765, + 807, + 790 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Coordinate space. We represent foreground objects in the viewer space. Regarding background environment, we represent it in the world coordinate space for two reasons. Firstly, since it is difficult to estimate full geometry from a single view (e.g., the geometry behind the camera), our model assumes a similar background geometry across scenes and aggregates information about background geometry from multiple sparse views. Representing background in a fixed world space facilitates this aggregation process and empirically leads to better performance. We show a quantitative comparison in Table 10, Table 11 and a visual comparison in Figure 7. Modeling the background in world space provides more details than modeling it in viewer space. Incorporating multi-view images as inference input might relax this assumption (Yu et al., 2020), but we leave it as future exploration. ", + "bbox": [ + 174, + 797, + 825, + 924 + ], + "page_idx": 12 + }, + { + "type": "table", + "img_path": "images/a06bd942bd46651bb162bab9b497ba29cadfce5babb664963022fdbc9f2b94e6.jpg", + "table_caption": [ + "Table 8: Encoder architecture for the CLEVR-567 dataset and the Room-Chair dataset. All convolutional kernel sizes are $3 \\times 3$ . All activation functions for convolutional layers are ReLU. " + ], + "table_footnote": [], + "table_body": "
Layer nameInput shapeOutput shapeStrideNote
Conv164×64×764×64×642Skip to Conv6
Conv264×64×6432×32×642Skip to Conv5
Conv332×32×6416×16×642
Conv416×16×6416×16×641
Upsample16×16×6432×32×64Bilinear upsampling
Conv532×32×12832×32×641
Upsample32×32×6464×64×64Bilinear upsampling
Conv664×64×12864×64×641
", + "bbox": [ + 228, + 101, + 764, + 266 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/857f145383c472e4f6aa55d6ba33d5b2079d500c995c60d41fc13cde13bcc7f0.jpg", + "table_caption": [ + "Table 9: Encoder architecture for the Room-Diverse dataset. All convolutional kernel sizes are $3 \\times 3$ . All activation functions for convolutional layers are ReLU. " + ], + "table_footnote": [], + "table_body": "
Layer nameInput shapeOutput shapeStrideNote
ConvO128×128×7128×128×641
Conv1128×128×6464×64×642Skip to Conv6
Conv264×64×6432×32×642Skip to Conv5
Conv332×32×6416×16×642
Conv416×16×6416×16×641
Upsample16×16×6432×32×64Bilinear upsampling
Conv532×32×12832×32×641
Upsample32×32×6464×64×64Bilinear upsampling
Conv664×64×12864×64×641
", + "bbox": [ + 225, + 323, + 767, + 506 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Secondly, this design also encourages the disentanglement between foreground objects and background by preventing the background slot from decoding foreground objects, because the positional information provided in the encoder is represented in viewer space. ", + "bbox": [ + 174, + 575, + 826, + 617 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Foreground locality. To further encourage the disentanglement, we add a locality constraint during early training to prevent foreground slots to represent the background environment. Specifically, considering that “foreground” objects should be largely visible in sight, we set a foreground box and enforce that every foreground-querying point outside the box has zero density. The foreground box is defined such that its projection in image space can engage roughly $9 0 \\%$ pixels. The locality constraint is imposed for the first 100K iterations, and it empirically helps prevent the foreground slots from fitting the background. We show a visual comparison in Figure 8, which from we can observe that the model without foreground locality design attaches some background segments to each object. ", + "bbox": [ + 173, + 625, + 825, + 751 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B.3 NEURAL RADIANCE FIELD ARCHITECTURE. ", + "text_level": 1, + "bbox": [ + 174, + 758, + 516, + 772 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We show our conditional object radiance field architecture in Figure 9. ", + "bbox": [ + 176, + 781, + 633, + 795 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "B.4 MODEL LEARNING ", + "text_level": 1, + "bbox": [ + 176, + 804, + 349, + 818 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Loss functions. We set $\\lambda _ { \\mathrm { p e r c e p t } } = 0 . 0 0 6$ , $\\lambda _ { \\mathrm { a d v } } = 0 . 0 1$ , $\\lambda _ { R } = 1 0$ . For perceptual loss, we implement the feature extractor $p$ by using the output of the 4-th convolutional block in a VGG16 (Simonyan & Zisserman, 2014) pretrained on ImageNet. For the adversarial discriminator, we follow the architecture of StyleGAN2 (Karras et al., 2020) with slight modification such that the maximum channel number is 128. We also use the lazy R1 regularization (Karras et al., 2020). We use Adam optimizer for discriminator with learning rate 0.001, $\\beta _ { 1 } = 0$ and $\\beta _ { 2 } = 0 . 9$ . The adversarial loss is incorporated after 100K iterations. Since shape uncertainty only appears in the Room-Diverse ", + "bbox": [ + 173, + 827, + 825, + 924 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Algorithm 1: Object-centric latent inference with background-aware slot attention. ", + "text_level": 1, + "bbox": [ + 174, + 107, + 720, + 122 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Input: feat ∈ RN×D \nLearnable: $\\mu ^ { b } , \\sigma ^ { b } , \\mu ^ { f } , \\sigma ^ { f }$ : prior parameters, $k , q ^ { b } , q ^ { f } , v ^ { b } , v ^ { f }$ : linear mappings, GRUb, GRUf , MLPb, MLPf slotb ∼ N b ∈ R1×D // Sampling slots from priors. slotsf ∼ N f ∈ RK×D for t = 1, · · · , T slot prevb = slotb, slots prevf = slotsf attn = Softmax √D 1 k(feat) · qb(slotb)f f \u0015T , dim=‘slot’! // Binding slots to object features. attn $^ b =$ attn[0], attnf = attn[1:end] updates $^ { b } =$ WeightedMean(weights=attnb, values $= \\boldsymbol { v } ^ { b }$ (inputs)) // Aggregating update signals. updates $f _ { = }$ WeightedMean(weights=attnf , values $\\scriptstyle \\operatorname { \\mathsf { \\Omega } } _ { 3 } = v ^ { f }$ (inputs)) slot ${ \\ v O } ^ { b } = \\mathtt { G R U } ^ { b }$ (state=slot prevb, inputs=updatesb) // Updating slots. slotsf = GRUf (state slots prevf , inputs=updatesf ) $\\mathsf { s } \\mathsf { l o t } ^ { b } + = \\mathsf { M L P } ^ { b } ( \\mathsf { s } \\mathsf { l o t } ^ { b } )$ , slotsf + = MLPf (slotsf ) // Residual update. return slotb, slotsf ", + "bbox": [ + 174, + 125, + 854, + 347 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/3d649393bc58708ea7bf4c3121fab6939a320a0e57e7906036812f9f284468f4.jpg", + "table_caption": [ + "Table 10: Ablation for background coordinate space on novel view synthesis on Room-Chair dataset. " + ], + "table_footnote": [], + "table_body": "
ModelsLPIPS↓SSIM↑PSNR↑
uORF w/ view-space Backg.0.1510.79927.86
uORF (ours)0.0820.87229.60
", + "bbox": [ + 178, + 382, + 483, + 429 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/2bbb249d0b52381a0d5128af77031500bd70aebaf2445a5ef6cc52b88cb2c057.jpg", + "table_caption": [ + "Table 11: Ablation for background coordinate space on segmentation on Room-Chair dataset. " + ], + "table_footnote": [], + "table_body": "
Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI个
uORF w/ view-space Backg.73.578.089.0
uORF (ours)74.378.888.8
", + "bbox": [ + 509, + 366, + 823, + 429 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "dataset, we only impose the adversarial loss on the Room-Diverse dataset but not on CLEVR-567 or Room-Chair. Both perceptual loss and adversarial loss are added after the first 100K iterations. ", + "bbox": [ + 171, + 492, + 823, + 520 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "Coarse-to-fine progressive training. For coarse training, we bilinearly downsample supervision images to $6 4 \\times 6 4$ . The coarse training lasts for 600K iterations. For fine training, we randomly crop $6 4 \\times 6 4$ patches from $1 2 8 \\times 1 2 8$ images. The fine training lasts for 600K iterations. Our model is trained on a single Nvidia RTX 3090 GPU for about 6 days. For all networks except discriminator, we use Adam optimizer with learning rate 0.0003, $\\beta _ { 1 } = 0 . 9$ and $\\beta _ { 2 } ~ = ~ 0 . 9 9 9$ . Learning rate is exponentially decreased by half for every 200K iterations until after 600K iterations. We also adopt the learning rate warm-up from the slot attention paper (Locatello et al., 2020) for the first 1K iterations. We initialize decoder networks with Xavier’s initialization. In each batch, we input one image and neurally render 4 images for supervision. We render each pixel with 64 samples. ", + "bbox": [ + 174, + 526, + 825, + 652 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 174, + 665, + 330, + 681 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "In this section we provide further details on experiment settings. ", + "bbox": [ + 173, + 693, + 593, + 708 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "C.1 DATA ", + "text_level": 1, + "bbox": [ + 174, + 715, + 256, + 729 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "For the construction of all three datasets, the training/testing sets share the same pool of textures, shapes, and colors. The scenes in both sets differ in the spatial arrangement of objects, as well as the appearance differences induced by soft shadows and inter-reflections due to global illumination effects. ", + "bbox": [ + 174, + 738, + 825, + 792 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "CLEVR-567. In the CLEVR-567 dataset, each object’s shape is randomly chosen from three geometric primitives (i.e., cylinder, cube and sphere). The color is randomly chosen from {red, blue, purple, gray, cyan, yellow, green, brown}. There are two possible sizes for each object. When rendering images, we use the same camera intrinsic as original CLEVR dataset (Johnson et al., 2017). We do not use the visibility check due to our 360 degree multi-view setting, so we increase elevation angle by $\\pi / 1 5$ to increase the chance of object visibility. Rendering setting is the same for all datasets. ", + "bbox": [ + 174, + 800, + 825, + 898 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "For CLEVR-567 dataset we set the latent dimension $D = 4 0$ and the maximum number of objects $K = 8$ . ", + "bbox": [ + 173, + 905, + 823, + 934 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/86827f15238e9fd22616cf13abe4aa97a44a41899cbda2d6a55ff8ca68513a13.jpg", + "image_caption": [ + "Figure 7: Visual comparison for representing background on view-space on novel view synthesis. " + ], + "image_footnote": [], + "bbox": [ + 258, + 102, + 787, + 263 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/d4b9384222b30c14917df03f0898acd42366ba5482f07c370cfbd81fe1b4c4a6.jpg", + "image_caption": [ + "Figure 8: Visual comparison on ablation for foreground locality constraint. We show examples in CLEVR-567 testset. We can see that our foreground locality box helps prevent object slots from fitting background segments. " + ], + "image_footnote": [], + "bbox": [ + 338, + 284, + 658, + 539 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Room-Chair. For the object shape we use a chair model‡ from ShapeNet (Chang et al., 2015). We use the same material and colors as CLEVR-567. For Room-Chair and Room-Diverse datasets, we set the latent dimension $D = 6 4$ and the maximum number of objects $K = 5$ . ", + "bbox": [ + 174, + 585, + 825, + 627 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Room-Diverse. All object shapes are randomly chosen from 1,200 ShapeNet chairs. For each shape, we normalize it into a unit cube according to vertex coordinates. We also use 8 colors $\\{ { \\tt r e d }$ , blue, purple, gray, cyan, yellow, green, $\\mathtt { b l a c k } \\}$ with diffuse material. Since shape uncertainty only appears in this dataset, we only impose the adversarial loss on this dataset. ", + "bbox": [ + 174, + 632, + 825, + 689 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "C.2 BASELINE ARCHITECTURES ", + "text_level": 1, + "bbox": [ + 176, + 695, + 413, + 709 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Slot attention. We use the encoder-decoder architecture in the slot attention paper (Locatello et al., 2020) used for object discovery experiments on the CLEVR dataset. Basically it has 6 convolutional layers for encoder and 6 convolution-transpose layers for decoder. The number of channels for each layer is 64. All models are trained on $1 2 8 \\times 1 2 8$ images. ", + "bbox": [ + 174, + 717, + 825, + 773 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "NeRF-AE. We follow NeRF implementation without view direction as input and set the highest frequency to 5. The encoder is similar to ours in Figure 9, but the basic number of channels is increased from 64 to 256 (and thus the number of channels of inputs to Conv5 and Conv6 is 512). The number of slot is set to 1. ", + "bbox": [ + 174, + 777, + 825, + 834 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "D ADDITIONAL RESULTS ", + "text_level": 1, + "bbox": [ + 176, + 845, + 400, + 861 + ], + "page_idx": 15 + }, + { + "type": "text", + "text": "Generalization to unseen objects. In the main paper we demonstrate systematic generalization to unseen combination of shape and color, here we further validate our model’s generalization to unseen object shapes. To this end, we construct another test set for Room-Diverse. All test objects in the new test set are drawn from a pool of 500 shapenet chairs that are completely disjoint from the 1200 training chairs. All other settings are the same as the original test set. We show quantitative results in Table 12 for novel view synthesis and in Table 13 for segmentation. As we can see, our model yields the same level of performances even on the unseen shape test set, suggesting its generalization to unseen object shapes. ", + "bbox": [ + 174, + 871, + 823, + 900 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/ce1a42408946a0969581380d8e3057950c3abdf0f8bbe5b0bf72ac5204eb2412.jpg", + "image_caption": [ + "Figure 9: Illustration for foreground decoder architecture. We follow the architecture in NeRF (Mildenhall et al., 2020) but with fewer parameters to decrease space demand. We set the highest positional embedding frequency to 5, so that the positional embedding input dimension is $5 \\times 2 \\times 3 + \\mathbf { \\breve { 3 } } = 3 3$ . The background decoder is slightly different in that it does not have the second last layer and third last layer. Density $\\sigma$ is activated by ReLU. Since estimating specularity from a single image is intrinsically ambiguous, we assume Lambertian surfaces and do not use the ray direction as input. " + ], + "image_footnote": [], + "bbox": [ + 194, + 101, + 807, + 300 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/1d8cd8f4363d5812cae6fea0264d1e3086e03b0367321c1f522031c0d2f43a61.jpg", + "table_caption": [ + "Table 12: Novel view synthesis results on unseen/seen shape testset of Room-Diverse. " + ], + "table_footnote": [], + "table_body": "
ModelsLPIPS↓SSIM↑PSNR↑
uORF on seen shape testset0.17290.709425.96
uORF on unseen shape testset0.17710.712526.16
", + "bbox": [ + 174, + 421, + 485, + 467 + ], + "page_idx": 16 + }, + { + "type": "table", + "img_path": "images/c0a4a35ce3310acf13ab40a7ca4f4dfa559d2c6db827facdc6dc01d4a88b8682.jpg", + "table_caption": [ + "Table 13: Unsupervised segmentation in 3D results on unseen/seen shape testset of Room-Diverse. " + ], + "table_footnote": [], + "table_body": "
Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI↑
uORF on seen shape testset56.965.667.9
uORF on unseen shape testset57.066.167.7
", + "bbox": [ + 509, + 405, + 828, + 468 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 530, + 825, + 614 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Generalization to real images. We also take a step further to test our pretrained model’s generalization on real photos. To do this, we use uORF trained on Room-Diverse. We take a few real photos by a cellphone, providing an input image and a few reference images. We show the visual results in Figure 10. Although the real photo has a different imaging process and consists of unseen objects and background, uORF is able to discover all objects with roughly correct positions and orientations, yielding plausible segmentation results and object-moving results. ", + "bbox": [ + 174, + 622, + 825, + 705 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Analysis on the sensitivity to slot initialization. We test the robustness of our model to the slot initialization on the Room-Chair dataset. For each test scene, we now use 5 different random seeds for sampling initial centers. We compute the mean $\\mu$ and std $\\sigma$ of ARI over the 5 seeds. We average them over the 500 test scenes. The averaged mean $\\bar { \\mu }$ of ARI is $7 8 . 8 \\%$ and $\\bar { \\sigma }$ is $1 . 7 \\%$ . The mean ARI suggests good segmentation results (very close to $7 8 . 8 \\%$ as reported in Table 2 in our main paper), and $\\bar { \\sigma } = 1 . 7 \\%$ indicates that different seeds all lead to results close to such good ARI performance. ", + "bbox": [ + 174, + 713, + 825, + 796 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Additional qualitative results. We show additional qualitative results for our experiments in the main manuscript. We show additional examples for scene segmentation in Figure 11 and Figure 12, for novel view synthesis in Figure 13, Figure 14 and Figure 15, for scene editing in Figure 16 and Figure 17, for evaluating losses in Figure 18, for generalization to challenging spatial arrangement in Figure 19 (note that in the packed-CLEVR-11 dataset we only use a single size for higher object visibility), and for generalization to unseen object appearance in Figure 20. ", + "bbox": [ + 174, + 804, + 825, + 888 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Failure case. In our experiments, we observed a type of failure which we call “attention rankcollapse”. We show examples in Figure 21. ", + "bbox": [ + 173, + 895, + 823, + 924 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/10704020334297855d27e977f22568e81b87c24a9887ad3cc58086fc89b6e228.jpg", + "image_caption": [ + "Figure 10: Demonstration on generalization to real photos. We use uORF pretrained on Room-Diverse and take photos by a cellphone. " + ], + "image_footnote": [], + "bbox": [ + 176, + 104, + 820, + 270 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "“Attention rank-collapse” refers to that all the foreground object slots have (nearly) the same attention map and collapse to the same representation. Each collapsed slot decodes simply nothing (or all the foreground objects). This “attention rank-collapse” happens when the initialization is prompt to a degenerate solution for the slot attention. It occasionally happens and empirically changing the initialization seed can address it. A related rank-collapse problem is discussed in Dong et al. (2021), which suggests that adding some architectural inductive bias can largely alleviate the problem. We hope future research can address this problem fundamentally. ", + "bbox": [ + 173, + 315, + 825, + 414 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "E COMPARISON TO GIRAFFE ", + "text_level": 1, + "bbox": [ + 176, + 424, + 442, + 439 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Our work has a fundamentally different focus compared to GIRAFFE (Niemeyer & Geiger, 2020). While GIRAFFE focuses on unconditional generation and enables multi-object scene synthesis and rendering, the goal of our uORF is to simultaneously infer 3D multi-object scene representations from a single image, in addition to using those representations for rendering and editing as in GIRAFFE. ", + "bbox": [ + 173, + 449, + 826, + 505 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "E.1 COMPARISONS BETWEEN OUR UORF AND GIRAFFE ", + "text_level": 1, + "bbox": [ + 173, + 511, + 586, + 525 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "To demonstrate that the inference of such multi-object scenes is highly non-trivial, we compare with GIRAFFE on both CLEVR-567 and Room-Chair (we cannot compare on their datasets because they only have a single image for each scene). To train GIRAFFE on our datasets, we use the official repo§ and the same hyper-parameters that GIRAFFE authors used for their CLEVR-2345 dataset, except for a few adaptive changes to our datasets: (1) We try different sizes for the object slot, because CLEVR-2345 only uses small objects while our datasets both contain larger objects. Specifically, we try $2 \\times$ , $1 . 5 \\times$ , and $1 \\times$ original size, and use the one with the lowest FID for each dataset. (2) We adjust the camera elevation angle and focal lengths to match our datasets. (3) We set the number of objects to 4 for the Room-Chair dataset because each scene has no more than 4 chairs. We train the GIRAFFE models for around 500K iterations on 128-by-128 images, such that FID does not drop anymore. ", + "bbox": [ + 173, + 531, + 825, + 684 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "For GIRAFFE to do inference, we sample object (including background) latents and positions in the same manner as training, and then we optimize for L2 reconstruction loss for both the latents and the positions. We use Adam and do a learning rate sweep to select the one that leads to the best reconstruction loss. We divide the learning rate by 10 when the loss plateaus. We do this learning rate decay twice. We sweep in $\\{ 0 . 1 , 0 . 0 1 , 0 . 0 0 1 , 0 . 0 0 0 1 \\}$ and find that 0.01 works best. Since each scene has an unknown number of objects, we set the number to the maximum number across all scenes. It converges at around 150 iterations on CLEVR-567 and around 300 iterations on Room-Chair. Thus we set the maximum iteration to 300 and 500 for them, respectively. ", + "bbox": [ + 173, + 690, + 825, + 803 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We also compare with a GIRAFFE model that is pretrained on CLEVR-2345. The pretrained model is provided by the authors. The pretrained model yields $\\mathrm { F I D = 8 2 }$ on CLEVR-567 $\\mathrm { { F I D } = 6 1 }$ on CLEVR-2345), indicating that it could be a valid baseline even though the two datasets are mildly different. ", + "bbox": [ + 174, + 809, + 825, + 866 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "We show input-view reconstruction and novel view synthesis results in Table 14 and Table 15, and we show qualitative comparison in Figure 22 and Figure 23. We can see that GIRAFFE fails in reconstructing the multi-object scenes from a single image, as well as novel view synthesis. Let alone segmentation in 3D. ", + "bbox": [ + 178, + 872, + 823, + 901 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/bdbe51ab93a3a1f2ca93d712bae7cb03e3e985e00efb30f0c901c4f21345028d.jpg", + "table_caption": [ + "Table 14: Inference comparison with GIRAFFE on CLEVR-567. " + ], + "table_footnote": [], + "table_body": "
ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on CLEVR-567)0.3300.81523.750.5490.67216.65
GIRAFFE (author-pretrained model on CLEVR-2345)0.3820.78021.760.6430.34811.70
uORF (ours)0.0850.90129.330.0860.89729.28
", + "bbox": [ + 173, + 101, + 839, + 179 + ], + "page_idx": 18 + }, + { + "type": "table", + "img_path": "images/548394d672f946305d265c867082f9906303e72bafcd92eca0d1a71a79276f46.jpg", + "table_caption": [ + "Table 15: Inference comparison with GIRAFFE on Room-Chair. " + ], + "table_footnote": [], + "table_body": "
ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on Room-Chair) uORF (ours)0.4140.59720.900.5880.53818.53
0.0850.87629.650.0820.87229.60
", + "bbox": [ + 222, + 217, + 777, + 284 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "", + "bbox": [ + 176, + 333, + 821, + 362 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "E.2 GIRAFFE INFERENCE ON CLEVR-2345 ", + "text_level": 1, + "bbox": [ + 173, + 368, + 503, + 383 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "While we have compared with GIRAFFE on our datasets, we further evaluate the author-provided pretrained model on the simpler dataset CLEVR-2345 from the GIRAFFE paper itself. We found that while GIRAFFE does well on unconditional scene synthesis, it cannot perform novel view synthesis on their own dataset, either. This shows that GIRAFFE focuses on problems very different from ours. ", + "bbox": [ + 174, + 390, + 825, + 445 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "We first show that inference/reconstruction is challenging for GIRAFFE, even on the simpler dataset. We do inference on the author-provided CLEVR-2345 dataset using the author-provided pretrained model. We show randomly sampled examples through the iterative inference process in Figure 24. ", + "bbox": [ + 174, + 453, + 825, + 510 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Then we show that GIRAFFE fails in wide-baseline novel view synthesis. We use the author-provided pretrained model to sample from its latent space and unconditionally generate one image. Then we keep all the variables the same, but circularly move cameras to render novel views. We show 10 random examples of this circular novel view synthesis in Figure 25. We see that when the viewpoint changes become significant, GIRAFFE fails novel view synthesis, because its neural renderer is based on 2D feature maps and it’s not inherently 3D. ", + "bbox": [ + 174, + 516, + 825, + 599 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "E.3 DISCUSSION AND SUMMARY ", + "text_level": 1, + "bbox": [ + 176, + 607, + 415, + 621 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "In general, inverting GAN latent space even for the holistic image is non-trivial and needs architecturalspecific designs (we refer the reader to the discussion and references in a recent survey on GAN inversion (Xia et al., 2021)). As for inverting compositional multi-object scenes, it becomes even harder due to ambiguous correspondences (“which slot corresponds to which object?”), number of objects (“how many slots should I put?”), object position constraints (“there are two objects overlapping in the image, but they should not be overlapping in 3D”), optimization issues (e.g., optimizing rotation is notoriously difficult (Zhou et al., 2019)), etc. ", + "bbox": [ + 173, + 627, + 825, + 726 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "In summary, it is highly non-trivial for GIRAFFE to do inference for multi-object scenes due to complexities such as ambiguous correspondences, the number of objects, and optimization issues. We will include more discussions on the difference between the two methods in the following separate thread. In short, our uORF tries to solve a fundamentally different problem from GIRAFFE, i.e., we aim at inferring the joint distribution of objects from a single image while GIRAFFE targets extrinsiccontrollable image generation. Therefore, our method enables novel tasks such as unsupervised segmentation and editing in 3D, where prior methods including GIRAFFE are not able to do. ", + "bbox": [ + 174, + 732, + 825, + 830 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/19bf08acd7353a7c9385d698a984b8b5c0759f03d3b1774d2225a741527fd8c1.jpg", + "image_caption": [ + "Figure 11: Additional qualitative results for segmentation in 3D on Room-Chair dataset. " + ], + "image_footnote": [], + "bbox": [ + 251, + 114, + 746, + 890 + ], + "page_idx": 19 + }, + { + "type": "image", + "img_path": "images/bd2a4d2ae18efdcb9369f41480871a7b72686149f57cfe0d080cceb138a3634d.jpg", + "image_caption": [ + "Figure 12: Additional qualitative results for segmentation in 3D on Room-Diverse dataset. " + ], + "image_footnote": [], + "bbox": [ + 245, + 107, + 750, + 888 + ], + "page_idx": 20 + }, + { + "type": "image", + "img_path": "images/7f11f0075116b24fa763ba70d24eb0da2a808b01a2aae55d6cedd47fd586ebc5.jpg", + "image_caption": [ + "Figure 13: Additional qualitative results for novel view synthesis on CLEVR-567 dataset. " + ], + "image_footnote": [], + "bbox": [ + 246, + 106, + 754, + 893 + ], + "page_idx": 21 + }, + { + "type": "image", + "img_path": "images/6732c3707108a7215523aa0aab2d594d084b80d65f3caf91d949fd239674a93f.jpg", + "image_caption": [ + "Figure 14: Additional qualitative results for novel view synthesis on Room-Chair dataset. " + ], + "image_footnote": [], + "bbox": [ + 246, + 111, + 750, + 891 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/0bd7e49728394bdea1ceedd8afe5868ee007f1eabcad44e04453c24b860ce8c8.jpg", + "image_caption": [ + "Figure 15: Additional qualitative results for novel view synthesis on Room-Diverse dataset. " + ], + "image_footnote": [], + "bbox": [ + 248, + 108, + 751, + 891 + ], + "page_idx": 23 + }, + { + "type": "image", + "img_path": "images/f72aaf5006162684a910793f433975c574de0f5bce37b5bd1b11a3d274d2f6b1.jpg", + "image_caption": [ + "Figure 16: Additional qualitative results for scene editing. " + ], + "image_footnote": [], + "bbox": [ + 210, + 106, + 789, + 893 + ], + "page_idx": 24 + }, + { + "type": "image", + "img_path": "images/4c8330edf5fb11a16f63770f6848eebfb9cb033975419fc998c5c2edf839e70c.jpg", + "image_caption": [ + "Figure 17: Additional qualitative results for scene editing. " + ], + "image_footnote": [], + "bbox": [ + 210, + 108, + 787, + 896 + ], + "page_idx": 25 + }, + { + "type": "image", + "img_path": "images/8dd48691313a75ab7bef33e0d771bf027b1f5e311f6c683f28eeceb5fd80e85f.jpg", + "image_caption": [ + "Figure 18: Qualitative results for loss evaluations. Using both perceptual loss and adversarial loss improves image quality. " + ], + "image_footnote": [], + "bbox": [ + 241, + 102, + 756, + 883 + ], + "page_idx": 26 + }, + { + "type": "image", + "img_path": "images/77c2ae606c705e289945f2d9b7f4b938d53ac98fd76b919265110f2c5a04c0ca.jpg", + "image_caption": [ + "Figure 19: Qualitative results for generalization to unseen spatial arrangement. " + ], + "image_footnote": [], + "bbox": [ + 271, + 114, + 720, + 881 + ], + "page_idx": 27 + }, + { + "type": "image", + "img_path": "images/4ce7657ad278b85ed9b36f70f6db2402cc7e50a8dec2652cc73fcba81755eed1.jpg", + "image_caption": [ + "Figure 20: Qualitative results for generalization to unseen combination of color and shape. " + ], + "image_footnote": [], + "bbox": [ + 205, + 117, + 789, + 611 + ], + "page_idx": 28 + }, + { + "type": "image", + "img_path": "images/cf07e024fed74d4886761556aa25aae43b9209aa30b4c6c92d86a8797cd5c5ed.jpg", + "image_caption": [ + "Figure 21: Failure case of our model, which we call “attention rank-collapse”. All foreground slots share the same attention map. Every foreground slot decodes to the same radiance field (empty radiance here) rather than specializing to an object. Here we only show one object slot, as all others look the same. " + ], + "image_footnote": [], + "bbox": [ + 303, + 689, + 692, + 848 + ], + "page_idx": 28 + }, + { + "type": "image", + "img_path": "images/57181a60bae40d182b210a94ce21422bc1d3b9329328919ce329da14a2593641.jpg", + "image_caption": [ + "Figure 22: Visual comparison with GIRAFFE for inference on CLEVR-567 dataset. GIRAFFE fails inference. " + ], + "image_footnote": [], + "bbox": [ + 274, + 125, + 722, + 476 + ], + "page_idx": 29 + }, + { + "type": "image", + "img_path": "images/2446417d4976de23655f3793d84d6e65c2457b1d8431a89c2c0ab594542cd5c5.jpg", + "image_caption": [ + "Figure 23: Visual comparison with GIRAFFE for inference on Room-Chair dataset. GIRAFFE fails inference. " + ], + "image_footnote": [], + "bbox": [ + 320, + 554, + 674, + 869 + ], + "page_idx": 29 + }, + { + "type": "image", + "img_path": "images/9ae9b21e90622cea96eb2a94ea8b22a4e1278f91ddada0da20d98cb5b82c6c52.jpg", + "image_caption": [ + "Figure 24: Inference trajectory of GIRAFFE using author-provided models on the author-provided dataset CLEVR-2345. " + ], + "image_footnote": [], + "bbox": [ + 194, + 253, + 802, + 727 + ], + "page_idx": 30 + }, + { + "type": "image", + "img_path": "images/fa168c3931e2e67cb5b01ebf98eafa9f0a78ab3e23515eb651e8fcf4a3d3f352.jpg", + "image_caption": [ + "Figure 25: Novel view synthesis on randomly generated examples using author-provided pretrained GIRAFFE model on CLEVR-2345. GIRAFFE fails inference of these multi-object scenes. GIRAFFE cannot synthesize novel views with large rotations. 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We identify that such", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "representations should bear three characteristics: they should be learned without supervision or prior", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "knowledge about object categories, and therefore applicable to environments where object categories", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 423, + 504, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 504, + 435 + ], + "score": 1.0, + "content": "are unknown; they should explain the image formation process, addressing questions like ‘what if the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "score": 1.0, + "content": "object is not there?’; they should be 3D-aware, capturing geometric and physical object properties for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 446, + 275, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 275, + 459 + ], + "score": 1.0, + "content": "navigation, interaction, and manipulation.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 462, + 505, + 583 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "For decades, researchers have attempted to solve the problems from various angles. Inspiring as they", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "are, these methods each lack in one or more of the three aspects (Table 1). Computer vision research", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 485, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 497 + ], + "score": 1.0, + "content": "on unsupervised object discovery has achieved great success on deriving object segments from real", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 496, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 508 + ], + "score": 1.0, + "content": "images, but it doesn’t capture the image formation process, nor is it 3D-aware (Rubinstein et al.,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 506, + 506, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 506, + 519 + ], + "score": 1.0, + "content": "2013; Zhu et al., 2012). Recent work on deep probabilistic inference for visual scene decomposition", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 517, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 506, + 529 + ], + "score": 1.0, + "content": "is unsupervised and generative (Burgess et al., 2019; Engelcke et al., 2019; Locatello et al., 2020),", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "though most still formulate the problem as 2D segmentation and work on simple scenes of geometric", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "primitives, ignoring the complex 3D nature of realistic visual scenes. A few recent papers on ‘scene", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 551, + 504, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 504, + 562 + ], + "score": 1.0, + "content": "de-rendering’ have attempted to reconstruct 3D, object-centric representations by leveraging the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 560, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 575 + ], + "score": 1.0, + "content": "forward rendering procedure (Yao et al., 2018; Ost et al., 2021); they are however supervised, relying", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 573, + 443, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 443, + 585 + ], + "score": 1.0, + "content": "on annotations of specific object and scene categories, such as cars and road scenes.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 589, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 588, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 602 + ], + "score": 1.0, + "content": "The fundamental challenge that prevents these systems from acquiring all three desired properties", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "score": 1.0, + "content": "is that the image formation process from 3D to 2D is complex and non-differentiable (e.g., due to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 610, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 625 + ], + "score": 1.0, + "content": "occlusion). Thus, for a long time, it has been unclear how it may be integrated with powerful deep", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 621, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 635 + ], + "score": 1.0, + "content": "inference schemes. But most recently, progresses in neural rendering (Tewari et al., 2020) have", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "demonstrated that their continuous, implicit representation works well with gradient-based inference", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 643, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 506, + 657 + ], + "score": 1.0, + "content": "models, such as deep networks. In particular, Neural Radiance Fields (NeRFs) (Mildenhall et al.,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "2020) recover a 3D scene from a set of RGB images via differentiable volume rendering. Such", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 665, + 507, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 507, + 680 + ], + "score": 1.0, + "content": "encouraging advances in generative modeling suggest a promising route for inferring 3D, generative,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 676, + 351, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 351, + 689 + ], + "score": 1.0, + "content": "and object-centric scene representations without supervision.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 108, + 693, + 504, + 716 + ], + "lines": [ + { + "bbox": [ + 105, + 692, + 505, + 707 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 505, + 707 + ], + "score": 1.0, + "content": "In this paper, we propose unsupervised discovery of Object Radiance Fields (uORF), integrating", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 704, + 505, + 717 + ], + "spans": [ + { + "bbox": [ + 106, + 704, + 505, + 717 + ], + "score": 1.0, + "content": "conditional NeRFs as 3D object representations with deep inference networks for unsupervised 3D", + "type": "text" + } + ], + "index": 51 + } + ], + "index": 50.5 + } + ], + "page_idx": 0, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 119, + 722, + 355, + 731 + ], + "lines": [ + { + "bbox": [ + 119, + 720, + 356, + 732 + ], + "spans": [ + { + "bbox": [ + 119, + 720, + 356, + 732 + ], + "score": 1.0, + "content": "*Code and data can be found at https://kovenyu.com/uORF/.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "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": "1", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 79, + 337, + 116 + ], + "lines": [ + { + "bbox": [ + 106, + 79, + 339, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 79, + 339, + 96 + ], + "score": 1.0, + "content": "UNSUPERVISED DISCOVERY OF", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 97, + 310, + 118 + ], + "spans": [ + { + "bbox": [ + 106, + 97, + 310, + 118 + ], + "score": 1.0, + "content": "OBJECT RADIANCE FIELDS", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 113, + 135, + 192, + 157 + ], + "lines": [ + { + "bbox": [ + 112, + 135, + 176, + 147 + ], + "spans": [ + { + "bbox": [ + 112, + 135, + 176, + 147 + ], + "score": 1.0, + "content": "Hong-Xing Yu", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 112, + 144, + 193, + 159 + ], + "spans": [ + { + "bbox": [ + 112, + 144, + 193, + 159 + ], + "score": 1.0, + "content": "Stanford University", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 112, + 135, + 193, + 159 + ] + }, + { + "type": "text", + "bbox": [ + 244, + 135, + 326, + 157 + ], + "lines": [ + { + "bbox": [ + 242, + 134, + 328, + 147 + ], + "spans": [ + { + "bbox": [ + 242, + 134, + 328, + 147 + ], + "score": 1.0, + "content": "Leonidas J. 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Most", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 236, + 471, + 249 + ], + "spans": [ + { + "bbox": [ + 141, + 236, + 471, + 249 + ], + "score": 1.0, + "content": "existing methods on scene decomposition lack one or more of these characteristics,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 248, + 469, + 260 + ], + "spans": [ + { + "bbox": [ + 141, + 248, + 469, + 260 + ], + "score": 1.0, + "content": "due to the fundamental challenge in integrating powerful unsupervised inference", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 259, + 470, + 271 + ], + "spans": [ + { + "bbox": [ + 141, + 259, + 470, + 271 + ], + "score": 1.0, + "content": "schemes like deep networks with the complex 3D-to-2D image formation pro-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 270, + 470, + 282 + ], + "spans": [ + { + "bbox": [ + 141, + 270, + 470, + 282 + ], + "score": 1.0, + "content": "cess. In this paper, we propose unsupervised discovery of Object Radiance Fields", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 280, + 471, + 294 + ], + "spans": [ + { + "bbox": [ + 141, + 280, + 471, + 294 + ], + "score": 1.0, + "content": "(uORF), integrating recent progresses in neural 3D scene representations and ren-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 292, + 470, + 303 + ], + "spans": [ + { + "bbox": [ + 141, + 292, + 470, + 303 + ], + "score": 1.0, + "content": "dering with deep inference networks for unsupervised 3D scene decomposition.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 302, + 469, + 314 + ], + "spans": [ + { + "bbox": [ + 141, + 302, + 469, + 314 + ], + "score": 1.0, + "content": "Trained on only multi-view RGB images, uORF learns to decompose complex", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 313, + 469, + 326 + ], + "spans": [ + { + "bbox": [ + 141, + 313, + 469, + 326 + ], + "score": 1.0, + "content": "scenes with diverse, textured background from a single image. We show that uORF", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 324, + 469, + 336 + ], + "spans": [ + { + "bbox": [ + 141, + 324, + 469, + 336 + ], + "score": 1.0, + "content": "enables novel tasks, such as scene segmentation and editing in 3D, and it performs", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 142, + 335, + 409, + 347 + ], + "spans": [ + { + "bbox": [ + 142, + 335, + 409, + 347 + ], + "score": 1.0, + "content": "well on these tasks and on novel view synthesis on three datasets*.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 15, + "bbox_fs": [ + 141, + 204, + 471, + 347 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 361, + 206, + 374 + ], + "lines": [ + { + "bbox": [ + 105, + 360, + 208, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 208, + 377 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 380, + 505, + 457 + ], + "lines": [ + { + "bbox": [ + 106, + 380, + 505, + 392 + ], + "spans": [ + { + "bbox": [ + 106, + 380, + 505, + 392 + ], + "score": 1.0, + "content": "Building factorized, object-centric scene representations is a fundamental ability in human vision", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 390, + 506, + 404 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 506, + 404 + ], + "score": 1.0, + "content": "and a constant topic of interest in computer vision and machine learning. We identify that such", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "score": 1.0, + "content": "representations should bear three characteristics: they should be learned without supervision or prior", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "knowledge about object categories, and therefore applicable to environments where object categories", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 423, + 504, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 504, + 435 + ], + "score": 1.0, + "content": "are unknown; they should explain the image formation process, addressing questions like ‘what if the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "score": 1.0, + "content": "object is not there?’; they should be 3D-aware, capturing geometric and physical object properties for", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 446, + 275, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 275, + 459 + ], + "score": 1.0, + "content": "navigation, interaction, and manipulation.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 380, + 506, + 459 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 462, + 505, + 583 + ], + "lines": [ + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "For decades, researchers have attempted to solve the problems from various angles. Inspiring as they", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 486 + ], + "score": 1.0, + "content": "are, these methods each lack in one or more of the three aspects (Table 1). Computer vision research", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 485, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 505, + 497 + ], + "score": 1.0, + "content": "on unsupervised object discovery has achieved great success on deriving object segments from real", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 496, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 508 + ], + "score": 1.0, + "content": "images, but it doesn’t capture the image formation process, nor is it 3D-aware (Rubinstein et al.,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 506, + 506, + 519 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 506, + 519 + ], + "score": 1.0, + "content": "2013; Zhu et al., 2012). Recent work on deep probabilistic inference for visual scene decomposition", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 517, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 506, + 529 + ], + "score": 1.0, + "content": "is unsupervised and generative (Burgess et al., 2019; Engelcke et al., 2019; Locatello et al., 2020),", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "though most still formulate the problem as 2D segmentation and work on simple scenes of geometric", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "primitives, ignoring the complex 3D nature of realistic visual scenes. A few recent papers on ‘scene", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 551, + 504, + 562 + ], + "spans": [ + { + "bbox": [ + 106, + 551, + 504, + 562 + ], + "score": 1.0, + "content": "de-rendering’ have attempted to reconstruct 3D, object-centric representations by leveraging the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 560, + 506, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 506, + 575 + ], + "score": 1.0, + "content": "forward rendering procedure (Yao et al., 2018; Ost et al., 2021); they are however supervised, relying", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 573, + 443, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 443, + 585 + ], + "score": 1.0, + "content": "on annotations of specific object and scene categories, such as cars and road scenes.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 35, + "bbox_fs": [ + 105, + 462, + 506, + 585 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 589, + 505, + 687 + ], + "lines": [ + { + "bbox": [ + 105, + 588, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 602 + ], + "score": 1.0, + "content": "The fundamental challenge that prevents these systems from acquiring all three desired properties", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 505, + 613 + ], + "score": 1.0, + "content": "is that the image formation process from 3D to 2D is complex and non-differentiable (e.g., due to", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 610, + 506, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 610, + 506, + 625 + ], + "score": 1.0, + "content": "occlusion). Thus, for a long time, it has been unclear how it may be integrated with powerful deep", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 621, + 505, + 635 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 635 + ], + "score": 1.0, + "content": "inference schemes. But most recently, progresses in neural rendering (Tewari et al., 2020) have", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "demonstrated that their continuous, implicit representation works well with gradient-based inference", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 643, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 506, + 657 + ], + "score": 1.0, + "content": "models, such as deep networks. In particular, Neural Radiance Fields (NeRFs) (Mildenhall et al.,", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 654, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 654, + 505, + 668 + ], + "score": 1.0, + "content": "2020) recover a 3D scene from a set of RGB images via differentiable volume rendering. Such", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 665, + 507, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 507, + 680 + ], + "score": 1.0, + "content": "encouraging advances in generative modeling suggest a promising route for inferring 3D, generative,", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 676, + 351, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 351, + 689 + ], + "score": 1.0, + "content": "and object-centric scene representations without supervision.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 45, + "bbox_fs": [ + 105, + 588, + 507, + 689 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 693, + 504, + 716 + ], + "lines": [ + { + "bbox": [ + 105, + 692, + 505, + 707 + ], + "spans": [ + { + "bbox": [ + 105, + 692, + 505, + 707 + ], + "score": 1.0, + "content": "In this paper, we propose unsupervised discovery of Object Radiance Fields (uORF), integrating", + "type": "text" + } + ], + "index": 50 + }, + { + "bbox": [ + 106, + 704, + 505, + 717 + ], + "spans": [ + { + "bbox": [ + 106, + 704, + 505, + 717 + ], + "score": 1.0, + "content": "conditional NeRFs as 3D object representations with deep inference networks for unsupervised 3D", + "type": "text" + } + ], + "index": 51 + }, + { + "bbox": [ + 105, + 238, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 506, + 251 + ], + "score": 1.0, + "content": "scene decomposition. uORF infers a set of object radiance fields and a background radiance field;", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 248, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 264 + ], + "score": 1.0, + "content": "thus, uORF represents a 3D scene as a composition of object radiance fields (Figure 1). During", + "type": "text", + "cross_page": true + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 260, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 273 + ], + "score": 1.0, + "content": "training, such radiance fields are neurally rendered in multiple views, with reconstruction losses", + "type": "text", + "cross_page": true + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "score": 1.0, + "content": "in pixel space as training supervision; during testing, uORF infers the set of object radiance fields", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "score": 1.0, + "content": "from a single image. Learning uORF does not require explicit supervision of 3D geometry or object", + "type": "text", + "cross_page": true + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 294, + 402, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 402, + 306 + ], + "score": 1.0, + "content": "segmentation, but only sparse multi-view RGB images of training scenes.", + "type": "text", + "cross_page": true + } + ], + "index": 10 + } + ], + "index": 50.5, + "bbox_fs": [ + 105, + 692, + 505, + 717 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 126, + 78, + 483, + 208 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 126, + 78, + 483, + 208 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 126, + 78, + 483, + 208 + ], + "spans": [ + { + "bbox": [ + 126, + 78, + 483, + 208 + ], + "score": 0.971, + "type": "image", + "image_path": "5432514a57bb1445597c05650057330b2b9697276ff3dd9a74da2b03e6d6dc26.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 126, + 78, + 483, + 121.33333333333334 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 126, + 121.33333333333334, + 483, + 164.66666666666669 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 126, + 164.66666666666669, + 483, + 208.00000000000003 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 211, + 504, + 231 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 212, + 505, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 212, + 505, + 222 + ], + "score": 1.0, + "content": "Figure 1: Illustration of unsupervised discovery of Object Radiance Fields. We aim to infer factorized object and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 220, + 453, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 453, + 232 + ], + "score": 1.0, + "content": "background radiance fields from a single view, allowing reconstructing and editing of the scene.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 107, + 239, + 505, + 305 + ], + "lines": [ + { + "bbox": [ + 105, + 238, + 506, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 506, + 251 + ], + "score": 1.0, + "content": "scene decomposition. uORF infers a set of object radiance fields and a background radiance field;", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 248, + 505, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 264 + ], + "score": 1.0, + "content": "thus, uORF represents a 3D scene as a composition of object radiance fields (Figure 1). During", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 260, + 505, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 505, + 273 + ], + "score": 1.0, + "content": "training, such radiance fields are neurally rendered in multiple views, with reconstruction losses", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "score": 1.0, + "content": "in pixel space as training supervision; during testing, uORF infers the set of object radiance fields", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "score": 1.0, + "content": "from a single image. Learning uORF does not require explicit supervision of 3D geometry or object", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 294, + 402, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 402, + 306 + ], + "score": 1.0, + "content": "segmentation, but only sparse multi-view RGB images of training scenes.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 310, + 505, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 323 + ], + "score": 1.0, + "content": "The integration of NeRFs allows us to work with more realistic scenes with complex object shapes", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "and diverse background environments, beyond simple scenes such as those in multi-dSprites (Greff", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 331, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 104, + 331, + 506, + 346 + ], + "score": 1.0, + "content": "et al., 2019) and CLEVR (Johnson et al., 2017), as considered by most current unsupervised scene", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 343, + 507, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 507, + 357 + ], + "score": 1.0, + "content": "decomposition methods. We further make two innovations to improve uORF’s performance. First,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 353, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 368 + ], + "score": 1.0, + "content": "as background geometry and appearance can be quite different from foreground objects in 3D, we", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "score": 1.0, + "content": "design uORF with explicit modeling of both components. This background-aware design not only", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 374, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 390 + ], + "score": 1.0, + "content": "facilitates learning on complex scenes, but also allows single-image scene editing including moving", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "individual objects and changing background. Second, as volume rendering requires massive queries", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "to render a single pixel for the recomposed scene, a practical challenge of learning uORF lies in", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "score": 1.0, + "content": "the computational inefficiency. We tackle this issue by proposing a novel progressive coarse-to-fine", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 420, + 486, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 486, + 433 + ], + "score": 1.0, + "content": "training which improves representation quality while remaining affordable computational cost.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 437, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "score": 1.0, + "content": "We evaluate uORF on factorized scene representation learning (e.g., segmentation in 3D) and scene", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 448, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 460 + ], + "score": 1.0, + "content": "generation (e.g., novel view synthesis, scene editing in 3D). Our evaluation is on three datasets with a", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 459, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 459, + 506, + 471 + ], + "score": 1.0, + "content": "gradually increasing complexity: first, CLEVR-like scenes with primitives foreground shapes; second,", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 470, + 506, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 506, + 482 + ], + "score": 1.0, + "content": "room scenes with complex chair shapes and textured backgrounds; third, more diverse room scenes", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "with various foreground shapes and backgrounds. Our results show that uORF learns factorized", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 492, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 504 + ], + "score": 1.0, + "content": "representations that can segment 3D scenes into objects with fine shape details (e.g., thin chair legs)", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "and backgrounds with well-recovered appearance details (e.g., irregular textures of a wooden floor).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 519, + 505, + 586 + ], + "lines": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "In summary, our contributions are three-fold. 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ApproachUnsup.Gen. 3D
Co-segmentationxx
Deep prob. infer.
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We aim to infer factorized object and", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 220, + 453, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 220, + 453, + 232 + ], + "score": 1.0, + "content": "background radiance fields from a single view, allowing reconstructing and editing of the scene.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 107, + 239, + 505, + 305 + ], + "lines": [], + "index": 7.5, + "bbox_fs": [ + 105, + 238, + 506, + 306 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 310, + 505, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 505, + 323 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 323 + ], + "score": 1.0, + "content": "The integration of NeRFs allows us to work with more realistic scenes with complex object shapes", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 322, + 505, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 505, + 334 + ], + "score": 1.0, + "content": "and diverse background environments, beyond simple scenes such as those in multi-dSprites (Greff", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 331, + 506, + 346 + ], + "spans": [ + { + "bbox": [ + 104, + 331, + 506, + 346 + ], + "score": 1.0, + "content": "et al., 2019) and CLEVR (Johnson et al., 2017), as considered by most current unsupervised scene", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 343, + 507, + 357 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 507, + 357 + ], + "score": 1.0, + "content": "decomposition methods. We further make two innovations to improve uORF’s performance. First,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 353, + 506, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 506, + 368 + ], + "score": 1.0, + "content": "as background geometry and appearance can be quite different from foreground objects in 3D, we", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 505, + 379 + ], + "score": 1.0, + "content": "design uORF with explicit modeling of both components. This background-aware design not only", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 374, + 505, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 505, + 390 + ], + "score": 1.0, + "content": "facilitates learning on complex scenes, but also allows single-image scene editing including moving", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "individual objects and changing background. Second, as volume rendering requires massive queries", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "to render a single pixel for the recomposed scene, a practical challenge of learning uORF lies in", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "score": 1.0, + "content": "the computational inefficiency. We tackle this issue by proposing a novel progressive coarse-to-fine", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 420, + 486, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 486, + 433 + ], + "score": 1.0, + "content": "training which improves representation quality while remaining affordable computational cost.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 16, + "bbox_fs": [ + 104, + 309, + 507, + 433 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 437, + 505, + 514 + ], + "lines": [ + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 505, + 450 + ], + "score": 1.0, + "content": "We evaluate uORF on factorized scene representation learning (e.g., segmentation in 3D) and scene", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 448, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 460 + ], + "score": 1.0, + "content": "generation (e.g., novel view synthesis, scene editing in 3D). 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Our results show that uORF learns factorized", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 492, + 506, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 504 + ], + "score": 1.0, + "content": "representations that can segment 3D scenes into objects with fine shape details (e.g., thin chair legs)", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 515 + ], + "score": 1.0, + "content": "and backgrounds with well-recovered appearance details (e.g., irregular textures of a wooden floor).", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 437, + 506, + 515 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 519, + 505, + 586 + ], + "lines": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "In summary, our contributions are three-fold. 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ApproachUnsup.Gen. 3D
Co-segmentationxx
Deep prob. infer.
Scene"de-render"
Ours
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I. Our model learns to infer a set of latents in a single forward pass. II. Each ob-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 200, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 506, + 213 + ], + "score": 1.0, + "content": "ject/background radiance field consists of a latent and a shared conditional NeRF. III. During training, we", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 210, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 221 + ], + "score": 1.0, + "content": "recompose the scene and re-render images for supervision. We train our model on different scenes. 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Recently, Locatello et al. (2020) proposed the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "score": 1.0, + "content": "Slot Attention module to simplify the inference by a slot-based encoder. Besides these inference", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 313, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 505, + 326 + ], + "score": 1.0, + "content": "models, Monnier et al. (2021) formulated scene decomposition as layered image decomposition and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 324, + 507, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 507, + 337 + ], + "score": 1.0, + "content": "demonstrated it on real images. However, these methods do not account for the 3D nature of scenes.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 341, + 505, + 441 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 354 + ], + "score": 1.0, + "content": "A few methods have recently been proposed for unsupervised 3D scene decomposition. Elich et al.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 352, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 366 + ], + "score": 1.0, + "content": "(2020) infer object shapes from a single scene image, but they require pretraining on groundtruth", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 362, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 377 + ], + "score": 1.0, + "content": "shapes. Chen et al. (2020) extend Generative Query Network (Eslami et al., 2018) to decompose", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 375, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 506, + 387 + ], + "score": 1.0, + "content": "3D scenes, but they require multi-view images during inference. The closest to our work is a", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 385, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 506, + 397 + ], + "score": 1.0, + "content": "concurrent work by Stelzner et al. (2021) which also utilizes a slot-based encoder and NeRFs", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 396, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 506, + 409 + ], + "score": 1.0, + "content": "as 3D representations. However, Stelzner et al. (2021) relies on groundtruth multi-view dense", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 407, + 506, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 506, + 420 + ], + "score": 1.0, + "content": "depth in addition to images in training. Moreover, we explicitly model the separation of objects", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 418, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 505, + 431 + ], + "score": 1.0, + "content": "and background to address various complex shapes and textured backgrounds, while they only", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 430, + 336, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 336, + 442 + ], + "score": 1.0, + "content": "demonstrate scenes with a single textureless background.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 444, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 506, + 457 + ], + "score": 1.0, + "content": "Scene de-rendering. A few recent works have shown reconstructing 3D object-centric representa-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "tions by incorporating forward image rendering process (Wu et al., 2017; Yao et al., 2018; Kundu", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 467, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 505, + 479 + ], + "score": 1.0, + "content": "et al., 2018; Ost et al., 2021). Yao et al. (2018) de-render an image into semantic segments and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 478, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 490 + ], + "score": 1.0, + "content": "geometric object attributes, which enable 3D scene manipulation. Most recently, Ost et al. (2021)", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "propose Neural Scene Graph to represent dynamic scenes into a scene graph where each node encodes", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 499, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 505, + 513 + ], + "score": 1.0, + "content": "object-centric information. However, these methods rely on manual annotations of specific objects", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 511, + 340, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 340, + 523 + ], + "score": 1.0, + "content": "(such as cars) and scene categories (such as street scenes).", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 526, + 506, + 680 + ], + "lines": [ + { + "bbox": [ + 106, + 527, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 505, + 538 + ], + "score": 1.0, + "content": "Neural scene representations and rendering. Our method is related to recent progresses in neural", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 506, + 549 + ], + "score": 1.0, + "content": "continuous scene representations (Sitzmann et al., 2019) and neural rendering (Tewari et al., 2020).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 548, + 507, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 507, + 561 + ], + "score": 1.0, + "content": "Neural scene representations parameterize 3D scenes with a deep network (Sitzmann et al., 2019).", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "Combined with differentiable neural rendering techniques (Kato et al., 2020; Tewari et al., 2020), they", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 570, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 506, + 582 + ], + "score": 1.0, + "content": "can be learned from only 2D images (Niemeyer et al., 2020). In particular, Neural Radiance Fields", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 580, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 594 + ], + "score": 1.0, + "content": "(NeRFs) (Mildenhall et al., 2020) have shown impressive novel view synthesis. Related follow-up", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 590, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 104, + 590, + 506, + 606 + ], + "score": 1.0, + "content": "works include those that infer NeRFs from a single image (Yu et al., 2020; Kosiorek et al., 2021; Jang", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "score": 1.0, + "content": "& Agapito, 2021) and those that incorporate NeRFs into generative models (Schwarz et al., 2020;", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 614, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 626 + ], + "score": 1.0, + "content": "Niemeyer & Geiger, 2021; Chan et al., 2020). Different from these works which cope with single", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 624, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 506, + 637 + ], + "score": 1.0, + "content": "objects or holistic scenes, we learn object NeRFs via decomposing a multi-object scene without", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "score": 1.0, + "content": "segmentation annotations. GIRAFFE (Niemeyer & Geiger, 2020) generates object NeRFs and thus", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 647, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 506, + 659 + ], + "score": 1.0, + "content": "compose 3D scenes in an adversarial framework. However, it targets at unconditional generation and", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 657, + 506, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 506, + 670 + ], + "score": 1.0, + "content": "cannot tackle inference (see Appendix E), while we focus on single-image inference of multi-object", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 668, + 447, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 447, + 681 + ], + "score": 1.0, + "content": "scenes. Thus, we address a fundamentally different problem compared to GIRAFFE.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 38.5 + }, + { + "type": "title", + "bbox": [ + 107, + 689, + 182, + 702 + ], + "lines": [ + { + "bbox": [ + 104, + 687, + 185, + 704 + ], + "spans": [ + { + "bbox": [ + 104, + 687, + 185, + 704 + ], + "score": 1.0, + "content": "3 APPROACH", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Our goal is to infer from a single image a set of object-centric 3D representations to generate the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "underlying 3D scene. We show an illustration in Figure 2. Our object representation is a conditional", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 47.5 + } + ], + "page_idx": 2, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "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": "image", + "bbox": [ + 116, + 75, + 493, + 189 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 116, + 75, + 493, + 189 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 116, + 75, + 493, + 189 + ], + "spans": [ + { + "bbox": [ + 116, + 75, + 493, + 189 + ], + "score": 0.969, + "type": "image", + "image_path": "b771ad360722e178944c575023b7fc9d95a1b5d37ba0b3fe34ca525f2399a212.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 116, + 75, + 493, + 113.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 116, + 113.0, + 493, + 151.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 116, + 151.0, + 493, + 189.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 107, + 192, + 505, + 229 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 192, + 506, + 203 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 506, + 203 + ], + "score": 1.0, + "content": "Figure 2: Overview. I. Our model learns to infer a set of latents in a single forward pass. II. Each ob-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 200, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 506, + 213 + ], + "score": 1.0, + "content": "ject/background radiance field consists of a latent and a shared conditional NeRF. III. During training, we", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 210, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 221 + ], + "score": 1.0, + "content": "recompose the scene and re-render images for supervision. We train our model on different scenes. At test time,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 218, + 362, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 362, + 232 + ], + "score": 1.0, + "content": "we use a single image of an unseen scene for reconstruction or editing.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5 + } + ], + "index": 2.75 + }, + { + "type": "text", + "bbox": [ + 106, + 237, + 505, + 336 + ], + "lines": [ + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "score": 1.0, + "content": "Deep probabilistic inference for scene decomposition. Our method is also closely related to deep", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 248, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 248, + 505, + 260 + ], + "score": 1.0, + "content": "probabilistic inference for scene decomposition. Most works formulate the problem as compositional", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 259, + 506, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 259, + 506, + 272 + ], + "score": 1.0, + "content": "generative modeling, where a visual scene is represented by a set of latent codes that either correspond", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 270, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 506, + 282 + ], + "score": 1.0, + "content": "to localized object-centric patches (Eslami et al., 2016; Crawford & Pineau, 2019; Kosiorek et al.,", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 279, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 295 + ], + "score": 1.0, + "content": "2018; Lin et al., 2020; Jiang et al., 2019) or scene mixture components (Burgess et al., 2019; Greff", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 291, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 505, + 304 + ], + "score": 1.0, + "content": "et al., 2019; 2016; 2017; Engelcke et al., 2019). Recently, Locatello et al. (2020) proposed the", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 303, + 504, + 315 + ], + "score": 1.0, + "content": "Slot Attention module to simplify the inference by a slot-based encoder. Besides these inference", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 313, + 505, + 326 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 505, + 326 + ], + "score": 1.0, + "content": "models, Monnier et al. (2021) formulated scene decomposition as layered image decomposition and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 324, + 507, + 337 + ], + "spans": [ + { + "bbox": [ + 106, + 324, + 507, + 337 + ], + "score": 1.0, + "content": "demonstrated it on real images. However, these methods do not account for the 3D nature of scenes.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 236, + 507, + 337 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 341, + 505, + 441 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 506, + 354 + ], + "score": 1.0, + "content": "A few methods have recently been proposed for unsupervised 3D scene decomposition. Elich et al.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 352, + 505, + 366 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 366 + ], + "score": 1.0, + "content": "(2020) infer object shapes from a single scene image, but they require pretraining on groundtruth", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 362, + 506, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 506, + 377 + ], + "score": 1.0, + "content": "shapes. Chen et al. (2020) extend Generative Query Network (Eslami et al., 2018) to decompose", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 375, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 106, + 375, + 506, + 387 + ], + "score": 1.0, + "content": "3D scenes, but they require multi-view images during inference. The closest to our work is a", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 385, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 385, + 506, + 397 + ], + "score": 1.0, + "content": "concurrent work by Stelzner et al. (2021) which also utilizes a slot-based encoder and NeRFs", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 396, + 506, + 409 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 506, + 409 + ], + "score": 1.0, + "content": "as 3D representations. However, Stelzner et al. 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Moreover, we explicitly model the separation of objects", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 418, + 505, + 431 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 505, + 431 + ], + "score": 1.0, + "content": "and background to address various complex shapes and textured backgrounds, while they only", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 430, + 336, + 442 + ], + "spans": [ + { + "bbox": [ + 106, + 430, + 336, + 442 + ], + "score": 1.0, + "content": "demonstrate scenes with a single textureless background.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 340, + 506, + 442 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 444, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 506, + 457 + ], + "score": 1.0, + "content": "Scene de-rendering. A few recent works have shown reconstructing 3D object-centric representa-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 505, + 468 + ], + "score": 1.0, + "content": "tions by incorporating forward image rendering process (Wu et al., 2017; Yao et al., 2018; Kundu", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 467, + 505, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 467, + 505, + 479 + ], + "score": 1.0, + "content": "et al., 2018; Ost et al., 2021). Yao et al. (2018) de-render an image into semantic segments and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 478, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 105, + 478, + 506, + 490 + ], + "score": 1.0, + "content": "geometric object attributes, which enable 3D scene manipulation. Most recently, Ost et al. (2021)", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 505, + 501 + ], + "score": 1.0, + "content": "propose Neural Scene Graph to represent dynamic scenes into a scene graph where each node encodes", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 499, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 505, + 513 + ], + "score": 1.0, + "content": "object-centric information. However, these methods rely on manual annotations of specific objects", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 511, + 340, + 523 + ], + "spans": [ + { + "bbox": [ + 106, + 511, + 340, + 523 + ], + "score": 1.0, + "content": "(such as cars) and scene categories (such as street scenes).", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 444, + 506, + 523 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 526, + 506, + 680 + ], + "lines": [ + { + "bbox": [ + 106, + 527, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 106, + 527, + 505, + 538 + ], + "score": 1.0, + "content": "Neural scene representations and rendering. Our method is related to recent progresses in neural", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 537, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 506, + 549 + ], + "score": 1.0, + "content": "continuous scene representations (Sitzmann et al., 2019) and neural rendering (Tewari et al., 2020).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 548, + 507, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 507, + 561 + ], + "score": 1.0, + "content": "Neural scene representations parameterize 3D scenes with a deep network (Sitzmann et al., 2019).", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 506, + 572 + ], + "score": 1.0, + "content": "Combined with differentiable neural rendering techniques (Kato et al., 2020; Tewari et al., 2020), they", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 570, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 506, + 582 + ], + "score": 1.0, + "content": "can be learned from only 2D images (Niemeyer et al., 2020). In particular, Neural Radiance Fields", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 580, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 594 + ], + "score": 1.0, + "content": "(NeRFs) (Mildenhall et al., 2020) have shown impressive novel view synthesis. Related follow-up", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 104, + 590, + 506, + 606 + ], + "spans": [ + { + "bbox": [ + 104, + 590, + 506, + 606 + ], + "score": 1.0, + "content": "works include those that infer NeRFs from a single image (Yu et al., 2020; Kosiorek et al., 2021; Jang", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 603, + 506, + 615 + ], + "score": 1.0, + "content": "& Agapito, 2021) and those that incorporate NeRFs into generative models (Schwarz et al., 2020;", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 614, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 506, + 626 + ], + "score": 1.0, + "content": "Niemeyer & Geiger, 2021; Chan et al., 2020). Different from these works which cope with single", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 624, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 506, + 637 + ], + "score": 1.0, + "content": "objects or holistic scenes, we learn object NeRFs via decomposing a multi-object scene without", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 506, + 648 + ], + "score": 1.0, + "content": "segmentation annotations. GIRAFFE (Niemeyer & Geiger, 2020) generates object NeRFs and thus", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 647, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 506, + 659 + ], + "score": 1.0, + "content": "compose 3D scenes in an adversarial framework. However, it targets at unconditional generation and", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 657, + 506, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 657, + 506, + 670 + ], + "score": 1.0, + "content": "cannot tackle inference (see Appendix E), while we focus on single-image inference of multi-object", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 668, + 447, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 447, + 681 + ], + "score": 1.0, + "content": "scenes. Thus, we address a fundamentally different problem compared to GIRAFFE.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 38.5, + "bbox_fs": [ + 104, + 527, + 507, + 681 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 689, + 182, + 702 + ], + "lines": [ + { + "bbox": [ + 104, + 687, + 185, + 704 + ], + "spans": [ + { + "bbox": [ + 104, + 687, + 185, + 704 + ], + "score": 1.0, + "content": "3 APPROACH", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 46 + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "Our goal is to infer from a single image a set of object-centric 3D representations to generate the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 505, + 733 + ], + "score": 1.0, + "content": "underlying 3D scene. We show an illustration in Figure 2. Our object representation is a conditional", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "object radiance field. Thus, we learn to infer object-centric latents from a single image (Figure 2-", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "I). The inferred latents are used to condition a network to yield the 3D object and background", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "radiance fields (Figure 2-II), forming our 3D-aware, generative and factorized scene representation.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "In training, we compose all object and background radiance fields and render the recomposed scene", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 506, + 140 + ], + "score": 1.0, + "content": "from multiple views. We obtain supervision by comparing rendered images to reference images", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 506, + 151 + ], + "score": 1.0, + "content": "(Figure 2-III) without needing 3D geometry or segmentation annotations. We describe each of our", + "type": "text", + "cross_page": true + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 448, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 448, + 161 + ], + "score": 1.0, + "content": "model components in the following and leave implementation details in Appendix B.", + "type": "text", + "cross_page": true + } + ], + "index": 6 + } + ], + "index": 47.5, + "bbox_fs": [ + 106, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 506, + 160 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 506, + 95 + ], + "score": 1.0, + "content": "object radiance field. Thus, we learn to infer object-centric latents from a single image (Figure 2-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 506, + 106 + ], + "score": 1.0, + "content": "I). The inferred latents are used to condition a network to yield the 3D object and background", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 506, + 117 + ], + "score": 1.0, + "content": "radiance fields (Figure 2-II), forming our 3D-aware, generative and factorized scene representation.", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "In training, we compose all object and background radiance fields and render the recomposed scene", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 125, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 506, + 140 + ], + "score": 1.0, + "content": "from multiple views. We obtain supervision by comparing rendered images to reference images", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 136, + 506, + 151 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 506, + 151 + ], + "score": 1.0, + "content": "(Figure 2-III) without needing 3D geometry or segmentation annotations. We describe each of our", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 148, + 448, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 148, + 448, + 161 + ], + "score": 1.0, + "content": "model components in the following and leave implementation details in Appendix B.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3 + }, + { + "type": "title", + "bbox": [ + 108, + 167, + 294, + 178 + ], + "lines": [ + { + "bbox": [ + 105, + 166, + 295, + 179 + ], + "spans": [ + { + "bbox": [ + 105, + 166, + 295, + 179 + ], + "score": 1.0, + "content": "3.1 OBJECT-CENTRIC LATENT INFERENCE", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 185, + 297, + 351 + ], + "lines": [ + { + "bbox": [ + 106, + 184, + 298, + 198 + ], + "spans": [ + { + "bbox": [ + 106, + 184, + 298, + 198 + ], + "score": 1.0, + "content": "Our goal is to infer latent object-centric repre-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 196, + 298, + 208 + ], + "spans": [ + { + "bbox": [ + 106, + 196, + 298, + 208 + ], + "score": 1.0, + "content": "sentations from a single input image. We as-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 207, + 298, + 219 + ], + "spans": [ + { + "bbox": [ + 106, + 207, + 298, + 219 + ], + "score": 1.0, + "content": "sume that an underlying 3D scene is composed", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 218, + 297, + 230 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 297, + 230 + ], + "score": 1.0, + "content": "of a background environment and no more than", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 107, + 228, + 298, + 241 + ], + "spans": [ + { + "bbox": [ + 107, + 229, + 117, + 239 + ], + "score": 0.8, + "content": "K", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 228, + 298, + 241 + ], + "score": 1.0, + "content": "foreground objects. Thus, the output of our", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 240, + 297, + 252 + ], + "spans": [ + { + "bbox": [ + 106, + 240, + 297, + 252 + ], + "score": 1.0, + "content": "object-centric latent inference process is a latent", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 245, + 296, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 251, + 117, + 263 + ], + "score": 0.86, + "content": "\\mathbf { z } ^ { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 245, + 261, + 270 + ], + "score": 1.0, + "content": "for background and a set of latents", + "type": "text" + }, + { + "bbox": [ + 261, + 250, + 296, + 265 + ], + "score": 0.91, + "content": "\\{ \\mathbf { z } _ { i } ^ { f } \\} _ { i = 1 } ^ { K }", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 263, + 298, + 276 + ], + "spans": [ + { + "bbox": [ + 106, + 263, + 298, + 276 + ], + "score": 1.0, + "content": "for foreground objects (empty objects are al-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 273, + 298, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 298, + 287 + ], + "score": 1.0, + "content": "lowed). To encourage unsupervised object-wise", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 285, + 298, + 296 + ], + "spans": [ + { + "bbox": [ + 106, + 285, + 298, + 296 + ], + "score": 1.0, + "content": "factorization, we adopt a slot-based formula-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 295, + 297, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 295, + 297, + 308 + ], + "score": 1.0, + "content": "tion (Locatello et al., 2020). The assumption", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 307, + 297, + 319 + ], + "spans": [ + { + "bbox": [ + 105, + 307, + 297, + 319 + ], + "score": 1.0, + "content": "in this formulation is that objects should share", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 319, + 297, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 297, + 329 + ], + "score": 1.0, + "content": "a common prior latent space. The main idea", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 329, + 297, + 341 + ], + "spans": [ + { + "bbox": [ + 105, + 329, + 297, + 341 + ], + "score": 1.0, + "content": "include three steps. 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The atten-", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 304, + 338, + 455, + 347 + ], + "spans": [ + { + "bbox": [ + 304, + 338, + 455, + 347 + ], + "score": 1.0, + "content": "tion binds each object’s features to a slot.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34.5 + } + ], + "index": 31.25 + }, + { + "type": "text", + "bbox": [ + 107, + 352, + 506, + 395 + ], + "lines": [ + { + "bbox": [ + 106, + 350, + 505, + 364 + ], + "spans": [ + { + "bbox": [ + 106, + 350, + 505, + 364 + ], + "score": 1.0, + "content": "distribution (background is a special object) to encourage representational uniformity across all slots", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 361, + 506, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 361, + 506, + 375 + ], + "score": 1.0, + "content": "(“sampling”). Then each slot is bound to an object region via an attention module (“binding”). In the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 371, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 506, + 387 + ], + "score": 1.0, + "content": "last step each slot gets updated by the bound object features to specialize for that object (“updating”).", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 382, + 416, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 416, + 398 + ], + "score": 1.0, + "content": "Locatello et al. (2020) have demonstrated success on segmenting 2D images.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37.5 + }, + { + "type": "text", + "bbox": [ + 106, + 401, + 505, + 467 + ], + "lines": [ + { + "bbox": [ + 106, + 401, + 505, + 413 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 505, + 413 + ], + "score": 1.0, + "content": "However, in 3D scenes, the geometry and appearance of the background are highly different from", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 411, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 505, + 425 + ], + "score": 1.0, + "content": "those of foreground objects. 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In the", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 371, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 371, + 506, + 387 + ], + "score": 1.0, + "content": "last step each slot gets updated by the bound object features to specialize for that object (“updating”).", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 382, + 416, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 416, + 398 + ], + "score": 1.0, + "content": "Locatello et al. 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The", + "type": "text" + } + ], + "index": 52 + }, + { + "bbox": [ + 105, + 556, + 418, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 556, + 418, + 569 + ], + "score": 1.0, + "content": "slot competition is modeled by a key-query attention (Bahdanau et al., 2014):", + "type": "text" + } + ], + "index": 53 + } + ], + "index": 51.5, + "bbox_fs": [ + 105, + 522, + 506, + 569 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 114, + 576, + 484, + 606 + ], + "lines": [ + { + "bbox": [ + 114, + 576, + 484, + 606 + ], + "spans": [ + { + "bbox": [ + 114, + 576, + 484, + 606 + ], + "score": 0.92, + "content": "\\mathrm { a t } { \\bf u } _ { i , j } : = \\frac { \\exp ( M _ { i , j } ) } { \\sum _ { l } \\exp ( M _ { i , l } ) } , \\quad \\mathrm { w h e r e } \\quad M : = \\frac { 1 } { \\sqrt { D } } k ( \\mathbf { f e a t } ) \\cdot \\left[ \\boldsymbol { q } ^ { b } ( \\mathbf { s } \\mathbf { l o t } \\boldsymbol { \\bf s } ^ { b } ) \\right] ^ { T } \\in \\mathbb { R } ^ { N \\times ( K + 1 ) } .", + "type": "interline_equation", + "image_path": "9381b1110a169b153416f58ae036b5812fb4335a79e3e86be87f3040da2dd18c.jpg" + } + ] + } + ], + "index": 55, + "virtual_lines": [ + { + "bbox": [ + 114, + 576, + 484, + 586.0 + ], + "spans": [], + "index": 54 + }, + { + "bbox": [ + 114, + 586.0, + 484, + 596.0 + ], + "spans": [], + "index": 55 + }, + { + "bbox": [ + 114, + 596.0, + 484, + 606.0 + ], + "spans": [], + "index": 56 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 613, + 506, + 738 + ], + "lines": [ + { + "bbox": [ + 104, + 612, + 506, + 630 + ], + "spans": [ + { + "bbox": [ + 104, + 612, + 128, + 630 + ], + "score": 1.0, + "content": "Here", + "type": "text" + }, + { + "bbox": [ + 128, + 615, + 135, + 626 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 135, + 612, + 153, + 630 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 153, + 614, + 175, + 627 + ], + "score": 0.92, + "content": "q ^ { b } / q ^ { f }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 612, + 295, + 630 + ], + "score": 1.0, + "content": "are learnable linear mappings √", + "type": "text" + }, + { + "bbox": [ + 295, + 614, + 325, + 626 + ], + "score": 0.9, + "content": "\\mathbb { R } ^ { D D }", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 612, + 506, + 630 + ], + "score": 1.0, + "content": "for computing dot-product similarity (Luong", + "type": "text" + } + ], + "index": 57 + }, + { + "bbox": [ + 105, + 626, + 505, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 627, + 175, + 640 + ], + "score": 1.0, + "content": "et al., 2015), and", + "type": "text" + }, + { + "bbox": [ + 175, + 626, + 193, + 639 + ], + "score": 0.91, + "content": "\\sqrt { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 627, + 505, + 640 + ], + "score": 1.0, + "content": "is a fixed softmax temperature (Vaswani et al., 2017). One can see this process", + "type": "text" + } + ], + "index": 58 + }, + { + "bbox": [ + 105, + 639, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 211, + 651 + ], + "score": 1.0, + "content": "as a soft K-means, where", + "type": "text" + }, + { + "bbox": [ + 212, + 640, + 237, + 650 + ], + "score": 0.35, + "content": "\\tt a t t r a _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 639, + 333, + 651 + ], + "score": 1.0, + "content": "softly assigns a feature", + "type": "text" + }, + { + "bbox": [ + 334, + 640, + 339, + 649 + ], + "score": 0.71, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 639, + 506, + 651 + ], + "score": 1.0, + "content": "to the slots (centroids). 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As shown in Figure 2, during training we input a single image of a scene, infer", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 390, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 505, + 401 + ], + "score": 1.0, + "content": "object and background radiance fields, render multiple views from the recomposed scene, and", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 400, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 506, + 413 + ], + "score": 1.0, + "content": "compare them to reference images for loss computation. 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For example, regarding visual appearance of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 474, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 488 + ], + "score": 1.0, + "content": "objects, inaccurate global lighting estimation leads to uncertainties in brightness and shadows from", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 485, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 506, + 498 + ], + "score": 1.0, + "content": "occluded views even if the object shapes can be well estimated. To address this, we incorporate a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "perceptual loss (Johnson et al., 2016) which is tolerant to mild appearance changes. 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A practical challenge in training compositional NeRFs lies", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 639, + 504, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 504, + 650 + ], + "score": 1.0, + "content": "in the computational cost of neural volume rendering, as it requires massive queries to render a single", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 649, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 661 + ], + "score": 1.0, + "content": "pixel. 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With the attention weights, we form the update signal by ag-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 103, + 89, + 507, + 110 + ], + "spans": [ + { + "bbox": [ + 103, + 89, + 507, + 110 + ], + "score": 1.0, + "content": "gregating input values via a weighted mean pooling updatesb := W bT · vb(feat) ∈ R1×D,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 102, + 508, + 123 + ], + "spans": [ + { + "bbox": [ + 104, + 102, + 134, + 123 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 104, + 273, + 120 + ], + "score": 0.92, + "content": "\\bar { W } _ { i , 1 } ^ { b } : = \\mathsf { a t t n } _ { i , 1 } / ( \\sum _ { l = 1 } ^ { N } \\bar { \\mathsf { a t t n } _ { l , 1 } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 102, + 309, + 123 + ], + "score": 1.0, + "content": ", and up", + "type": "text" + }, + { + "bbox": [ + 310, + 105, + 473, + 119 + ], + "score": 0.77, + "content": "\\mathsf { i a t e s } ^ { f } : = W ^ { f T } \\cdot v ^ { f } ( \\mathsf { f e a t } ) \\in \\mathbb { R } ^ { K \\times D }", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 102, + 508, + 123 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 107, + 114, + 509, + 142 + ], + "spans": [ + { + "bbox": [ + 107, + 120, + 270, + 135 + ], + "score": 0.87, + "content": "W _ { i , j } ^ { f } ~ : = ~ \\mathsf { a t t n } _ { i , j + 1 } / ( \\sum _ { l = 1 } ^ { N } \\mathsf { a t t n } _ { l , j + 1 } ) .", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 114, + 509, + 142 + ], + "score": 1.0, + "content": "Slots are then updated using the update signals via", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "spans": [ + { + "bbox": [ + 105, + 132, + 506, + 145 + ], + "score": 1.0, + "content": "a learnable rule parameterized by a Gated Recurrent Unit (GRU) (Cho et al., 2014), so that", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 141, + 506, + 156 + ], + "spans": [ + { + "bbox": [ + 106, + 142, + 261, + 155 + ], + "score": 0.85, + "content": "\\mathbf { s } \\mathbf { 1 } { \\mathsf { o t s } } ^ { f } \\gets \\mathsf { G R U } ^ { f } \\big ( \\mathbf { s } \\mathbf { 1 } { \\mathsf { o t s } } ^ { f } , \\mathbf { u p d a t } \\bar { \\mathsf { e s } } ^ { f } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 141, + 284, + 156 + ], + "score": 1.0, + "content": ") and", + "type": "text" + }, + { + "bbox": [ + 284, + 143, + 424, + 155 + ], + "score": 0.87, + "content": "\\mathbf { s } 1 0 \\mathbf { t } ^ { b } \\gets \\mathsf { G R U } ^ { b } ( \\mathsf { s } 1 0 \\mathbf { t } ^ { b } , \\mathsf { u p d a t e s } ^ { b } )", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 141, + 506, + 156 + ], + "score": 1.0, + "content": "). We repeat the at-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 154, + 506, + 167 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 476, + 167 + ], + "score": 1.0, + "content": "tention computation and updating for 3 iterations, and output all the slots as the final latents", + "type": "text" + }, + { + "bbox": [ + 476, + 154, + 487, + 165 + ], + "score": 0.86, + "content": "\\mathbf { z } ^ { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 154, + 506, + 167 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 107, + 164, + 484, + 182 + ], + "spans": [ + { + "bbox": [ + 107, + 165, + 141, + 180 + ], + "score": 0.92, + "content": "\\{ \\mathbf { z } _ { i } ^ { f } \\} _ { i = 1 } ^ { K }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 164, + 484, + 182 + ], + "score": 1.0, + "content": ". 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Here", + "type": "text" + }, + { + "bbox": [ + 234, + 301, + 242, + 311 + ], + "score": 0.79, + "content": "\\bar { \\sigma }", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 298, + 507, + 316 + ], + "score": 1.0, + "content": "and c¯ are the combined density and color, respectively. 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As shown in Figure 2, during training we input a single image of a scene, infer", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 390, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 505, + 401 + ], + "score": 1.0, + "content": "object and background radiance fields, render multiple views from the recomposed scene, and", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 400, + 506, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 400, + 506, + 413 + ], + "score": 1.0, + "content": "compare them to reference images for loss computation. We train our model across multiple scenes.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 105, + 410, + 505, + 424 + ], + "score": 1.0, + "content": "Our training loss function comprises of a reconstruction loss, a perceptual loss, and an adversarial", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 421, + 507, + 437 + ], + "spans": [ + { + "bbox": [ + 104, + 421, + 130, + 437 + ], + "score": 1.0, + "content": "loss:", + "type": "text" + }, + { + "bbox": [ + 131, + 423, + 295, + 434 + ], + "score": 0.9, + "content": "{ \\mathcal { L } } = { \\mathcal { L } } _ { \\mathrm { { r e c o n } } } + \\lambda _ { \\mathrm { { p e r c e p t } } } { \\mathcal { L } } _ { \\mathrm { { p e r c e p t } } } - \\lambda _ { \\mathrm { { a d v } } } { \\mathcal { L } } _ { \\mathrm { { a d v } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 421, + 329, + 437 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 329, + 423, + 336, + 432 + ], + "score": 0.77, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 421, + 507, + 437 + ], + "score": 1.0, + "content": "are weights. The reconstruction loss is", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 434, + 495, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 434, + 183, + 448 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { r e c o n } } = \\| \\pmb { I } - \\hat { \\pmb { I } } \\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 434, + 215, + 450 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 216, + 436, + 223, + 446 + ], + "score": 0.68, + "content": "\\pmb { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 434, + 240, + 450 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 241, + 434, + 248, + 446 + ], + "score": 0.79, + "content": "\\hat { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 434, + 495, + 450 + ], + "score": 1.0, + "content": "denote the reference image and rendered image, respectively.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 23.5, + "bbox_fs": [ + 104, + 378, + 507, + 450 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 452, + 505, + 522 + ], + "lines": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 106, + 453, + 505, + 465 + ], + "score": 1.0, + "content": "Since we estimate 3D radiance fields from a single view, there can be uncertainties about the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 463, + 506, + 477 + ], + "spans": [ + { + "bbox": [ + 105, + 463, + 506, + 477 + ], + "score": 1.0, + "content": "appearance from other views (e.g., the back view). For example, regarding visual appearance of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 474, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 505, + 488 + ], + "score": 1.0, + "content": "objects, inaccurate global lighting estimation leads to uncertainties in brightness and shadows from", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 485, + 506, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 506, + 498 + ], + "score": 1.0, + "content": "occluded views even if the object shapes can be well estimated. To address this, we incorporate a", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 509 + ], + "score": 1.0, + "content": "perceptual loss (Johnson et al., 2016) which is tolerant to mild appearance changes. The perceptual", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 507, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 177, + 523 + ], + "score": 1.0, + "content": "loss is defined by", + "type": "text" + }, + { + "bbox": [ + 178, + 507, + 283, + 522 + ], + "score": 0.92, + "content": "\\| \\mathcal { L } _ { \\mathrm { p e r c e p t } } = p ( I ) - p ( \\hat { I } ) \\| ^ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 508, + 311, + 523 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 311, + 511, + 318, + 521 + ], + "score": 0.79, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 508, + 506, + 523 + ], + "score": 1.0, + "content": "is a deep feature extractor (See Appendix B.4).", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 453, + 506, + 523 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 525, + 505, + 570 + ], + "lines": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "In addition to appearance, there can be even higher uncertainties in estimating object shapes from a", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 537, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 549 + ], + "score": 1.0, + "content": "single view, which is a multi-modal distribution. In this case, the unimodal reconstruction loss leads", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 548, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 548, + 506, + 561 + ], + "score": 1.0, + "content": "to blurry results (“mean shape”). We mitigate this issue by adding an adversarial loss which can deal", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 558, + 233, + 571 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 233, + 571 + ], + "score": 1.0, + "content": "with multi-modal distributions:", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 525, + 506, + 571 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 571, + 489, + 587 + ], + "lines": [ + { + "bbox": [ + 111, + 571, + 489, + 587 + ], + "spans": [ + { + "bbox": [ + 111, + 571, + 489, + 587 + ], + "score": 0.79, + "content": "\\begin{array} { r } { \\mathcal { L } _ { \\mathrm { a d v } } = \\mathbb { E } [ f ( D ( \\hat { \\cal I } ) ) ] + \\mathbb { E } [ f ( - D ( { \\cal I } ) ) + \\lambda _ { R } \\| \\nabla D ( { \\cal I } ) \\| ^ { 2 } ] , \\quad \\mathrm { w h e r e } \\quad f ( t ) = - \\log ( 1 + \\exp ( - t ) ) . } \\end{array}", + "type": "interline_equation", + "image_path": "a480036b0d1dd978a64be9573fa35cc977cbdb3f5c6f08e1cd1c97b3583e01f3.jpg" + } + ] + } + ], + "index": 37, + "virtual_lines": [ + { + "bbox": [ + 111, + 571, + 489, + 587 + ], + "spans": [], + "index": 37 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 588, + 505, + 624 + ], + "lines": [ + { + "bbox": [ + 105, + 587, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 105, + 587, + 452, + 602 + ], + "score": 1.0, + "content": "Here we adopt the R1 regularization (Mescheder et al., 2018) to stabilize training.", + "type": "text" + }, + { + "bbox": [ + 452, + 589, + 462, + 599 + ], + "score": 0.76, + "content": "D", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 587, + 506, + 602 + ], + "score": 1.0, + "content": "denotes a", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 600, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 286, + 615 + ], + "score": 1.0, + "content": "discriminator to distinguish rendered images", + "type": "text" + }, + { + "bbox": [ + 286, + 600, + 294, + 612 + ], + "score": 0.83, + "content": "\\hat { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 600, + 381, + 615 + ], + "score": 1.0, + "content": "and reference images", + "type": "text" + }, + { + "bbox": [ + 382, + 601, + 389, + 611 + ], + "score": 0.55, + "content": "\\pmb { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 389, + 600, + 505, + 615 + ], + "score": 1.0, + "content": ". We iterate between training", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 612, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 237, + 625 + ], + "score": 1.0, + "content": "the discriminator by minimizing", + "type": "text" + }, + { + "bbox": [ + 238, + 612, + 257, + 623 + ], + "score": 0.9, + "content": "{ \\mathcal { L } } _ { \\mathrm { a d v } }", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 612, + 494, + 625 + ], + "score": 1.0, + "content": "and training our inference model (Figure 2) by minimizing", + "type": "text" + }, + { + "bbox": [ + 494, + 613, + 502, + 622 + ], + "score": 0.78, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 612, + 505, + 625 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 587, + 506, + 625 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 626, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 105, + 626, + 506, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 506, + 640 + ], + "score": 1.0, + "content": "Coarse-to-fine Progressive Training. A practical challenge in training compositional NeRFs lies", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 639, + 504, + 650 + ], + "spans": [ + { + "bbox": [ + 106, + 639, + 504, + 650 + ], + "score": 1.0, + "content": "in the computational cost of neural volume rendering, as it requires massive queries to render a single", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 649, + 506, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 506, + 661 + ], + "score": 1.0, + "content": "pixel. While there have been attempts on fast inference (Liu et al., 2020; Rebain et al., 2020; Neff", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 658, + 506, + 674 + ], + "spans": [ + { + "bbox": [ + 104, + 658, + 506, + 674 + ], + "score": 1.0, + "content": "et al., 2021; Garbin et al., 2021; Reiser et al., 2021; Yu et al., 2021), high space complexity in training", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 671, + 506, + 684 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 506, + 684 + ], + "score": 1.0, + "content": "remains a challenge. Further, because our perceptual and adversarial losses depend on image patches,", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 682, + 505, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 682, + 505, + 694 + ], + "score": 1.0, + "content": "the system has to render a large enough patch (instead of a single pixel) at the same time, which", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 106, + 693, + 249, + 705 + ], + "spans": [ + { + "bbox": [ + 106, + 693, + 249, + 705 + ], + "score": 1.0, + "content": "further increases its space demand.", + "type": "text" + } + ], + "index": 47 + } + ], + "index": 44, + "bbox_fs": [ + 104, + 626, + 506, + 705 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "To allow training on a higher resolution, we propose a coarse-to-fine progressive training. In a coarse", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 720, + 504, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 431, + 733 + ], + "score": 1.0, + "content": "training stage, we bilinearly downsample reference images to a low resolution (e.g.,", + "type": "text" + }, + { + "bbox": [ + 432, + 721, + 464, + 731 + ], + "score": 0.87, + "content": "6 4 \\times 6 4 )", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 720, + 504, + 733 + ], + "score": 1.0, + "content": ", and train", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "uORF on these downsampled images. Although the coarsely trained model can already decompose", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 105 + ], + "score": 1.0, + "content": "the 3D scenes and recover rough object radiance fields, fine details (e.g., thin legs of chairs) might", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "be missing. Thus, in a following fine training stage, we replace the low-resolution reference images", + "type": "text", + "cross_page": true + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "with image patches randomly cropped from high-resolution images (Figure 2-III), and render the", + "type": "text", + "cross_page": true + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "correspondingly located patches from our recomposed scene radiance fields to compute the loss. We", + "type": "text", + "cross_page": true + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 301, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 301, + 149 + ], + "score": 1.0, + "content": "include further training details in Appendix B.4.", + "type": "text", + "cross_page": true + } + ], + "index": 5 + } + ], + "index": 48.5, + "bbox_fs": [ + 105, + 709, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 149 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "uORF on these downsampled images. Although the coarsely trained model can already decompose", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 105 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 505, + 105 + ], + "score": 1.0, + "content": "the 3D scenes and recover rough object radiance fields, fine details (e.g., thin legs of chairs) might", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 106, + 105, + 505, + 117 + ], + "score": 1.0, + "content": "be missing. Thus, in a following fine training stage, we replace the low-resolution reference images", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 505, + 128 + ], + "score": 1.0, + "content": "with image patches randomly cropped from high-resolution images (Figure 2-III), and render the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "correspondingly located patches from our recomposed scene radiance fields to compute the loss. We", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 301, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 301, + 149 + ], + "score": 1.0, + "content": "include further training details in Appendix B.4.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 108, + 160, + 200, + 172 + ], + "lines": [ + { + "bbox": [ + 105, + 159, + 201, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 201, + 174 + ], + "score": 1.0, + "content": "4 EXPERIMENTS", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 182, + 504, + 204 + ], + "lines": [ + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "score": 1.0, + "content": "We evaluate uORF on both scene representation (via scene segmentation in 3D) and scene generation", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 193, + 356, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 356, + 205 + ], + "score": 1.0, + "content": "(via novel view synthesis and scene editing) on three datasets.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 108, + 210, + 504, + 244 + ], + "lines": [ + { + "bbox": [ + 105, + 210, + 506, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 223 + ], + "score": 1.0, + "content": "Data. We build three synthetic datasets with gradually increasing complexity. For each scene in", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 222, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 107, + 222, + 505, + 233 + ], + "score": 1.0, + "content": "the dataset, we point the camera to the scene center and render four images with a randomly chosen", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 233, + 451, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 451, + 244 + ], + "score": 1.0, + "content": "azimuth angle and a fixed elevation angle. We describe more details in Appendix C.1.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 249, + 504, + 304 + ], + "lines": [ + { + "bbox": [ + 106, + 250, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 505, + 262 + ], + "score": 1.0, + "content": "CLEVR-567. The first dataset includes scenes of 5–7 CLEVR objects (Johnson et al., 2017), with", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 260, + 506, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 506, + 273 + ], + "score": 1.0, + "content": "a random position and orientation on a clean background. Foreground object shapes include three", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 271, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 285 + ], + "score": 1.0, + "content": "geometric primitives (i.e., cubes, spheres and cylinders). Since there is intrinsic ambiguity in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "score": 1.0, + "content": "estimating specularity from a single image, we use only the largely diffuse “Rubber” material. There", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 292, + 302, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 302, + 307 + ], + "score": 1.0, + "content": "are 1,000 scenes for training and 500 for testing.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 310, + 503, + 332 + ], + "lines": [ + { + "bbox": [ + 107, + 310, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 107, + 310, + 505, + 321 + ], + "score": 1.0, + "content": "Room-Chair. The second dataset includes scenes of 3 to 4 chairs of the same shape in a room with", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 319, + 479, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 479, + 335 + ], + "score": 1.0, + "content": "three different textured backgrounds. There are 1,000 scenes for training and 500 for testing.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 505, + 382 + ], + "lines": [ + { + "bbox": [ + 106, + 338, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 505, + 350 + ], + "score": 1.0, + "content": "Room-Diverse. The third dataset includes scenes of diverse foreground object shapes and background", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "appearances. Each scene includes 4 different chairs, whose shape is randomly sampled from 1,200", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "ShapeNet chair shapes (Chang et al., 2015), and the background is sampled from 50 floor textures", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 370, + 387, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 387, + 384 + ], + "score": 1.0, + "content": "from the web. There are 5,000 scenes for training and 500 for testing.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + }, + { + "type": "title", + "bbox": [ + 108, + 389, + 258, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 388, + 259, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 259, + 401 + ], + "score": 1.0, + "content": "4.1 SCENE SEGMENTATION IN 3D", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 104, + 407, + 473, + 418 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 474, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 474, + 420 + ], + "score": 1.0, + "content": "We first evaluate uORF’s factorized 3D scene representations via scene segmentation in 3D.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 424, + 505, + 501 + ], + "lines": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "score": 1.0, + "content": "Baselines. Because there is no previous work focusing on the same setting as uORF, we compare", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 435, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 447 + ], + "score": 1.0, + "content": "to a 2D state-of-the-art scene decomposition model Slot Attention (Locatello et al., 2020) for", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "score": 1.0, + "content": "unsupervised scene segmentation wherever possible (detailed in Appendix C.2). In addition, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 456, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 471 + ], + "score": 1.0, + "content": "compare to two ablated versions of uORF. First, we remove our background-aware modeling but keep", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "score": 1.0, + "content": "the same number of slots. Second, we ablate our progressive training such that the training procedure", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "only contains the coarse training stage. We refer to ablated models as “uORF (w/o background)” and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 489, + 266, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 266, + 503 + ], + "score": 1.0, + "content": "“uORF (w/o prog. train.)”, respectively.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 107, + 507, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 520 + ], + "score": 1.0, + "content": "Metrics. We adopt the widely-used Adjusted Rand Index (ARI) as our metric. To evaluate scene", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "score": 1.0, + "content": "segmentation in 3D, we consider three kinds of ARIs: (1) For direct comparison to 2D methods,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "we compute ARI on reconstructed images. (2) To reflect the 3D nature, we also compute ARI on", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 540, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 505, + 553 + ], + "score": 1.0, + "content": "synthesized novel views, denoted as “NV-ARI”. Note that each scene includes 4 views, and only", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 551, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 505, + 563 + ], + "score": 1.0, + "content": "one is used as input, and the other three are treated as novel views for this metric. 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We volume-render a density map", + "type": "text" + }, + { + "bbox": [ + 282, + 601, + 293, + 612 + ], + "score": 0.85, + "content": "\\mathbf { d } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 600, + 345, + 614 + ], + "score": 1.0, + "content": "for each slot", + "type": "text" + }, + { + "bbox": [ + 351, + 600, + 506, + 614 + ], + "score": 1.0, + "content": ". The segmentation label for each pixel", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 606, + 510, + 633 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 117, + 626 + ], + "score": 0.84, + "content": "s _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 606, + 162, + 633 + ], + "score": 1.0, + "content": "is given by", + "type": "text" + }, + { + "bbox": [ + 162, + 612, + 251, + 627 + ], + "score": 0.92, + "content": "s _ { p } = \\arg \\operatorname* { m a x } _ { i = 1 } ^ { K + 1 } { \\bf d } _ { p } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 606, + 510, + 633 + ], + "score": 1.0, + "content": ". We show results on Table 2 and Figure 4 (more in Appendix D).", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "score": 1.0, + "content": "For all segmentation metrics, we show mean and standard deviation for three runs. uORF outperforms", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "score": 1.0, + "content": "all methods in terms of ARI and NV-ARI. From Figure 4, it is clear that uORF is able to discover", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 647, + 505, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 647, + 505, + 659 + ], + "score": 1.0, + "content": "the 3D objects from a single image. These results validate that uORF can learn well-factorized 3D", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "score": 1.0, + "content": "object-centric scene representations. Also notice that uORF yields better ARI even in input views", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 668, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 506, + 681 + ], + "score": 1.0, + "content": "compared to 2D slot attention. This is likely due to our background-aware design, as our ablated", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 104, + 678, + 507, + 694 + ], + "spans": [ + { + "bbox": [ + 104, + 678, + 507, + 694 + ], + "score": 1.0, + "content": "model “uORF w/o background” has shown similar input-view results compared to slot attention (e.g.,", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 690, + 258, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 258, + 704 + ], + "score": 1.0, + "content": "see 3rd and 4th columns in Figure 4).", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 44 + }, + { + "type": "title", + "bbox": [ + 108, + 708, + 240, + 719 + ], + "lines": [ + { + "bbox": [ + 106, + 707, + 241, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 707, + 241, + 721 + ], + "score": 1.0, + "content": "4.2 NOVEL VIEW SYNTHESIS", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 49 + }, + { + "type": "text", + "bbox": [ + 108, + 726, + 476, + 738 + ], + "lines": [ + { + "bbox": [ + 105, + 725, + 477, + 739 + ], + "spans": [ + { + "bbox": [ + 105, + 725, + 477, + 739 + ], + "score": 1.0, + "content": "We then show that uORF is 3D-aware and generative via evaluation on novel view synthesis.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 50 + } + ], + "page_idx": 5, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "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": [ + 107, + 82, + 505, + 149 + ], + "lines": [], + "index": 2.5, + "bbox_fs": [ + 105, + 82, + 505, + 149 + ], + "lines_deleted": true + }, + { + "type": "title", + "bbox": [ + 108, + 160, + 200, + 172 + ], + "lines": [ + { + "bbox": [ + 105, + 159, + 201, + 174 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 201, + 174 + ], + "score": 1.0, + "content": "4 EXPERIMENTS", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 107, + 182, + 504, + 204 + ], + "lines": [ + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 505, + 195 + ], + "score": 1.0, + "content": "We evaluate uORF on both scene representation (via scene segmentation in 3D) and scene generation", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 193, + 356, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 193, + 356, + 205 + ], + "score": 1.0, + "content": "(via novel view synthesis and scene editing) on three datasets.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 181, + 505, + 205 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 210, + 504, + 244 + ], + "lines": [ + { + "bbox": [ + 105, + 210, + 506, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 506, + 223 + ], + "score": 1.0, + "content": "Data. We build three synthetic datasets with gradually increasing complexity. For each scene in", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 222, + 505, + 233 + ], + "spans": [ + { + "bbox": [ + 107, + 222, + 505, + 233 + ], + "score": 1.0, + "content": "the dataset, we point the camera to the scene center and render four images with a randomly chosen", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 233, + 451, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 451, + 244 + ], + "score": 1.0, + "content": "azimuth angle and a fixed elevation angle. We describe more details in Appendix C.1.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10, + "bbox_fs": [ + 105, + 210, + 506, + 244 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 249, + 504, + 304 + ], + "lines": [ + { + "bbox": [ + 106, + 250, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 106, + 250, + 505, + 262 + ], + "score": 1.0, + "content": "CLEVR-567. The first dataset includes scenes of 5–7 CLEVR objects (Johnson et al., 2017), with", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 260, + 506, + 273 + ], + "spans": [ + { + "bbox": [ + 105, + 260, + 506, + 273 + ], + "score": 1.0, + "content": "a random position and orientation on a clean background. Foreground object shapes include three", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 271, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 506, + 285 + ], + "score": 1.0, + "content": "geometric primitives (i.e., cubes, spheres and cylinders). Since there is intrinsic ambiguity in", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 506, + 295 + ], + "score": 1.0, + "content": "estimating specularity from a single image, we use only the largely diffuse “Rubber” material. There", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 292, + 302, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 302, + 307 + ], + "score": 1.0, + "content": "are 1,000 scenes for training and 500 for testing.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 250, + 506, + 307 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 310, + 503, + 332 + ], + "lines": [ + { + "bbox": [ + 107, + 310, + 505, + 321 + ], + "spans": [ + { + "bbox": [ + 107, + 310, + 505, + 321 + ], + "score": 1.0, + "content": "Room-Chair. The second dataset includes scenes of 3 to 4 chairs of the same shape in a room with", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 319, + 479, + 335 + ], + "spans": [ + { + "bbox": [ + 105, + 319, + 479, + 335 + ], + "score": 1.0, + "content": "three different textured backgrounds. There are 1,000 scenes for training and 500 for testing.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 310, + 505, + 335 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 505, + 382 + ], + "lines": [ + { + "bbox": [ + 106, + 338, + 505, + 350 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 505, + 350 + ], + "score": 1.0, + "content": "Room-Diverse. The third dataset includes scenes of diverse foreground object shapes and background", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "appearances. Each scene includes 4 different chairs, whose shape is randomly sampled from 1,200", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "ShapeNet chair shapes (Chang et al., 2015), and the background is sampled from 50 floor textures", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 370, + 387, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 387, + 384 + ], + "score": 1.0, + "content": "from the web. There are 5,000 scenes for training and 500 for testing.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 338, + 505, + 384 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 389, + 258, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 388, + 259, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 259, + 401 + ], + "score": 1.0, + "content": "4.1 SCENE SEGMENTATION IN 3D", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 104, + 407, + 473, + 418 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 474, + 420 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 474, + 420 + ], + "score": 1.0, + "content": "We first evaluate uORF’s factorized 3D scene representations via scene segmentation in 3D.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 106, + 406, + 474, + 420 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 424, + 505, + 501 + ], + "lines": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 505, + 437 + ], + "score": 1.0, + "content": "Baselines. Because there is no previous work focusing on the same setting as uORF, we compare", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 435, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 505, + 447 + ], + "score": 1.0, + "content": "to a 2D state-of-the-art scene decomposition model Slot Attention (Locatello et al., 2020) for", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 505, + 459 + ], + "score": 1.0, + "content": "unsupervised scene segmentation wherever possible (detailed in Appendix C.2). In addition, we", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 456, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 471 + ], + "score": 1.0, + "content": "compare to two ablated versions of uORF. First, we remove our background-aware modeling but keep", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 481 + ], + "score": 1.0, + "content": "the same number of slots. Second, we ablate our progressive training such that the training procedure", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 505, + 491 + ], + "score": 1.0, + "content": "only contains the coarse training stage. We refer to ablated models as “uORF (w/o background)” and", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 489, + 266, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 489, + 266, + 503 + ], + "score": 1.0, + "content": "“uORF (w/o prog. train.)”, respectively.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 423, + 505, + 503 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 507, + 505, + 596 + ], + "lines": [ + { + "bbox": [ + 105, + 507, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 520 + ], + "score": 1.0, + "content": "Metrics. We adopt the widely-used Adjusted Rand Index (ARI) as our metric. To evaluate scene", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 506, + 531 + ], + "score": 1.0, + "content": "segmentation in 3D, we consider three kinds of ARIs: (1) For direct comparison to 2D methods,", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 530, + 505, + 542 + ], + "score": 1.0, + "content": "we compute ARI on reconstructed images. (2) To reflect the 3D nature, we also compute ARI on", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 540, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 505, + 553 + ], + "score": 1.0, + "content": "synthesized novel views, denoted as “NV-ARI”. Note that each scene includes 4 views, and only", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 551, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 505, + 563 + ], + "score": 1.0, + "content": "one is used as input, and the other three are treated as novel views for this metric. (3) In line with", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 318, + 575 + ], + "score": 1.0, + "content": "previous 2D methods, we also report foreground ARI", + "type": "text" + }, + { + "bbox": [ + 318, + 563, + 330, + 574 + ], + "score": 0.55, + "content": "\\mathrm { F g }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "-ARI), computed only on foreground regions", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 574, + 505, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 317, + 586 + ], + "score": 1.0, + "content": "indicated by groundtruth masks. Yet, we note that", + "type": "text" + }, + { + "bbox": [ + 317, + 574, + 329, + 585 + ], + "score": 0.34, + "content": "\\mathrm { F g }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 574, + 505, + 586 + ], + "score": 1.0, + "content": "-ARI cannot fully reflect the segmentation", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 585, + 369, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 369, + 597 + ], + "score": 1.0, + "content": "quality, because background segmentation is completely ignored.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 507, + 506, + 597 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 505, + 702 + ], + "lines": [ + { + "bbox": [ + 105, + 600, + 506, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 282, + 614 + ], + "score": 1.0, + "content": "Results. We volume-render a density map", + "type": "text" + }, + { + "bbox": [ + 282, + 601, + 293, + 612 + ], + "score": 0.85, + "content": "\\mathbf { d } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 600, + 345, + 614 + ], + "score": 1.0, + "content": "for each slot", + "type": "text" + }, + { + "bbox": [ + 351, + 600, + 506, + 614 + ], + "score": 1.0, + "content": ". The segmentation label for each pixel", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 606, + 510, + 633 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 117, + 626 + ], + "score": 0.84, + "content": "s _ { p }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 606, + 162, + 633 + ], + "score": 1.0, + "content": "is given by", + "type": "text" + }, + { + "bbox": [ + 162, + 612, + 251, + 627 + ], + "score": 0.92, + "content": "s _ { p } = \\arg \\operatorname* { m a x } _ { i = 1 } ^ { K + 1 } { \\bf d } _ { p } ^ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 606, + 510, + 633 + ], + "score": 1.0, + "content": ". We show results on Table 2 and Figure 4 (more in Appendix D).", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 637 + ], + "score": 1.0, + "content": "For all segmentation metrics, we show mean and standard deviation for three runs. uORF outperforms", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "score": 1.0, + "content": "all methods in terms of ARI and NV-ARI. From Figure 4, it is clear that uORF is able to discover", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 106, + 647, + 505, + 659 + ], + "spans": [ + { + "bbox": [ + 106, + 647, + 505, + 659 + ], + "score": 1.0, + "content": "the 3D objects from a single image. These results validate that uORF can learn well-factorized 3D", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 505, + 670 + ], + "score": 1.0, + "content": "object-centric scene representations. Also notice that uORF yields better ARI even in input views", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 668, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 506, + 681 + ], + "score": 1.0, + "content": "compared to 2D slot attention. This is likely due to our background-aware design, as our ablated", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 104, + 678, + 507, + 694 + ], + "spans": [ + { + "bbox": [ + 104, + 678, + 507, + 694 + ], + "score": 1.0, + "content": "model “uORF w/o background” has shown similar input-view results compared to slot attention (e.g.,", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 690, + 258, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 258, + 704 + ], + "score": 1.0, + "content": "see 3rd and 4th columns in Figure 4).", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 44, + "bbox_fs": [ + 104, + 600, + 510, + 704 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 708, + 240, + 719 + ], + "lines": [ + { + "bbox": [ + 106, + 707, + 241, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 707, + 241, + 721 + ], + "score": 1.0, + "content": "4.2 NOVEL VIEW SYNTHESIS", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 49 + }, + { + "type": "text", + "bbox": [ + 108, + 726, + 476, + 738 + ], + "lines": [ + { + "bbox": [ + 105, + 725, + 477, + 739 + ], + "spans": [ + { + "bbox": [ + 105, + 725, + 477, + 739 + ], + "score": 1.0, + "content": "We then show that uORF is 3D-aware and generative via evaluation on novel view synthesis.", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 50, + "bbox_fs": [ + 105, + 725, + 477, + 739 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 115, + 76, + 492, + 342 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 115, + 76, + 492, + 342 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 115, + 76, + 492, + 342 + ], + "spans": [ + { + "bbox": [ + 115, + 76, + 492, + 342 + ], + "score": 0.97, + "type": "image", + "image_path": "7783d6f6b011891979bd7aeefad251582074bc3420a9dbfabcca1cd7db9ef3af.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 115, + 76, + 492, + 164.66666666666669 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 115, + 164.66666666666669, + 492, + 253.33333333333337 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 115, + 253.33333333333337, + 492, + 342.00000000000006 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "table", + "bbox": [ + 108, + 363, + 505, + 442 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 122, + 347, + 486, + 358 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 122, + 346, + 488, + 360 + ], + "spans": [ + { + "bbox": [ + 122, + 346, + 488, + 360 + ], + "score": 1.0, + "content": "Figure 4: Examples on scene segmentation in 3D. Novel view images are for reference but not input.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "table_body", + "bbox": [ + 108, + 363, + 505, + 442 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 363, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 108, + 363, + 505, + 442 + ], + "score": 0.968, + "html": "
ModelsCLEVR-567Room-ChairRoom-Diverse
3D metric2D metric3D metric2D metric3D metric2D metric
NV-ARI↑ARI↑Fg-ARI个NV-ARI个ARI个Fg-ARI↑NV-ARI↑ARI个Fg-ARI↑
Slot AttentionN/A3.5±0.793.2±1.5N/A38.4±18.440.2±4.5N/A17.4±11.343.8±11.7
uORF(w/o background)10.5±3.611.7±4.686.4±2.840.4±9.242.3±10.693.3±1.921.0±8.124.0±9.978.9±3.1
uORF(w/o prog. train.)81.1±0.783.7±0.884.2±0.562.3±2.565.4±2.681.0±3.053.8±1.463.7±1.766.9±4.1
uORF(ours)83.8±0.386.3±0.187.4±0.874.3±1.978.8±2.688.8±2.756.9±0.265.6±1.067.9±1.7
", + "type": "table", + "image_path": "cc0d787833183eb4d5fe01644c43faad7b081b530a8ed0e5f43df54061d805be.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 108, + 363, + 505, + 389.3333333333333 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 108, + 389.3333333333333, + 505, + 415.66666666666663 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 108, + 415.66666666666663, + 505, + 441.99999999999994 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "table_footnote", + "bbox": [ + 107, + 446, + 505, + 465 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 445, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 456 + ], + "score": 1.0, + "content": "Table 2: Scene segmentation results. “NV-ARI” refers to ARI evaluated on novel views. “Fg-ARI” refers to ARI", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 455, + 499, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 499, + 465 + ], + "score": 1.0, + "content": "evaluated with only foreground pixels. Slot Attention (Locatello et al., 2020) is a state-of-the-art 2D method.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 474, + 505, + 574 + ], + "lines": [ + { + "bbox": [ + 105, + 474, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 488 + ], + "score": 1.0, + "content": "Setup. For each test scene, we randomly pick one image as input and the remaining three images", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 486, + 506, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 499 + ], + "score": 1.0, + "content": "as groundtruth for novel view synthesis. As Slot Attention is purely in 2D and does not support", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "score": 1.0, + "content": "novel view synthesis, we compare to a conditional NeRF (Mildenhall et al., 2020), equipped with", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 508, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 521 + ], + "score": 1.0, + "content": "a convolutional encoder similar to uORF, termed as “NeRF-AE” (see Appendix C.2). For fair", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "comparison, we increase the latent dimension for NeRF-AE to guarantee approximately the same", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "score": 1.0, + "content": "computational cost, and we use the same training strategy and losses as uORF. Thus, NeRF-AE can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "score": 1.0, + "content": "also be seen as a monolithic alternative model to uORF. We also compare with the ablated models,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 550, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 104, + 550, + 505, + 565 + ], + "score": 1.0, + "content": "“uORF (w/o background)” and “uORF (w/o prog. train.)”. We use the perceptual metric LPIPS", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 563, + 501, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 501, + 575 + ], + "score": 1.0, + "content": "(Zhang et al., 2018), together with SSIM (Wang et al., 2004) and PSNR, as our evaluation metrics.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 578, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 591 + ], + "score": 1.0, + "content": "Results. Quantitative results are in Table 3 and qualitative results are in Figure 5 (more in Appendix", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "D). Quantitatively, uORF outperforms all compared methods on all metrics. From the qualitative", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "comparison in Figure 5, we highlight three advantages of uORF. First, compared with NeRF-AE,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 610, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 506, + 623 + ], + "score": 1.0, + "content": "which has a monolithic latent structure for the entire scene, uORF better preserves the features of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "each object: for example, see how NeRF-AE fuses object colors in the first two rows, while uORF", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "does not. This shows the advantage of factorized scene representations to structurally describe", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 643, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 104, + 643, + 506, + 657 + ], + "score": 1.0, + "content": "a visual scene. Second, compared with uORF (w/o background), one can clearly see how our", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "background-aware modeling helps recovering background appearances: uORF can accurately recover", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "background appearance of the Room-Chair example, while uORF (w/o background) does not. It", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "also facilitates learning on complex scenes with diverse, textured background: uORF can learn to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 686, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 507, + 702 + ], + "score": 1.0, + "content": "roughly recover object shapes in the Room-Diverse example. Third, compared with uORF (w/o prog.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "train.), we highlight that the fine training on image patches indeed improves both visual quality and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 708, + 507, + 724 + ], + "spans": [ + { + "bbox": [ + 104, + 708, + 507, + 724 + ], + "score": 1.0, + "content": "representation quality: the full uORF tries to recover sharp edges of cubes, while uORF (w/o prog.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 720, + 282, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 282, + 733 + ], + "score": 1.0, + "content": "train.) cannot distinguish cube from sphere.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 24.5 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 105, + 26, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 105, + 26, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 115, + 76, + 492, + 342 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 115, + 76, + 492, + 342 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 115, + 76, + 492, + 342 + ], + "spans": [ + { + "bbox": [ + 115, + 76, + 492, + 342 + ], + "score": 0.97, + "type": "image", + "image_path": "7783d6f6b011891979bd7aeefad251582074bc3420a9dbfabcca1cd7db9ef3af.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 115, + 76, + 492, + 164.66666666666669 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 115, + 164.66666666666669, + 492, + 253.33333333333337 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 115, + 253.33333333333337, + 492, + 342.00000000000006 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "table", + "bbox": [ + 108, + 363, + 505, + 442 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 122, + 347, + 486, + 358 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 122, + 346, + 488, + 360 + ], + "spans": [ + { + "bbox": [ + 122, + 346, + 488, + 360 + ], + "score": 1.0, + "content": "Figure 4: Examples on scene segmentation in 3D. Novel view images are for reference but not input.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "table_body", + "bbox": [ + 108, + 363, + 505, + 442 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 363, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 108, + 363, + 505, + 442 + ], + "score": 0.968, + "html": "
ModelsCLEVR-567Room-ChairRoom-Diverse
3D metric2D metric3D metric2D metric3D metric2D metric
NV-ARI↑ARI↑Fg-ARI个NV-ARI个ARI个Fg-ARI↑NV-ARI↑ARI个Fg-ARI↑
Slot AttentionN/A3.5±0.793.2±1.5N/A38.4±18.440.2±4.5N/A17.4±11.343.8±11.7
uORF(w/o background)10.5±3.611.7±4.686.4±2.840.4±9.242.3±10.693.3±1.921.0±8.124.0±9.978.9±3.1
uORF(w/o prog. train.)81.1±0.783.7±0.884.2±0.562.3±2.565.4±2.681.0±3.053.8±1.463.7±1.766.9±4.1
uORF(ours)83.8±0.386.3±0.187.4±0.874.3±1.978.8±2.688.8±2.756.9±0.265.6±1.067.9±1.7
", + "type": "table", + "image_path": "cc0d787833183eb4d5fe01644c43faad7b081b530a8ed0e5f43df54061d805be.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 108, + 363, + 505, + 389.3333333333333 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 108, + 389.3333333333333, + 505, + 415.66666666666663 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 108, + 415.66666666666663, + 505, + 441.99999999999994 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "table_footnote", + "bbox": [ + 107, + 446, + 505, + 465 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 445, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 505, + 456 + ], + "score": 1.0, + "content": "Table 2: Scene segmentation results. “NV-ARI” refers to ARI evaluated on novel views. “Fg-ARI” refers to ARI", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 455, + 499, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 499, + 465 + ], + "score": 1.0, + "content": "evaluated with only foreground pixels. Slot Attention (Locatello et al., 2020) is a state-of-the-art 2D method.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 474, + 505, + 574 + ], + "lines": [ + { + "bbox": [ + 105, + 474, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 474, + 505, + 488 + ], + "score": 1.0, + "content": "Setup. For each test scene, we randomly pick one image as input and the remaining three images", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 486, + 506, + 499 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 506, + 499 + ], + "score": 1.0, + "content": "as groundtruth for novel view synthesis. As Slot Attention is purely in 2D and does not support", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 505, + 510 + ], + "score": 1.0, + "content": "novel view synthesis, we compare to a conditional NeRF (Mildenhall et al., 2020), equipped with", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 508, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 508, + 506, + 521 + ], + "score": 1.0, + "content": "a convolutional encoder similar to uORF, termed as “NeRF-AE” (see Appendix C.2). For fair", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 506, + 532 + ], + "score": 1.0, + "content": "comparison, we increase the latent dimension for NeRF-AE to guarantee approximately the same", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 105, + 529, + 506, + 543 + ], + "score": 1.0, + "content": "computational cost, and we use the same training strategy and losses as uORF. Thus, NeRF-AE can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 506, + 554 + ], + "score": 1.0, + "content": "also be seen as a monolithic alternative model to uORF. We also compare with the ablated models,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 104, + 550, + 505, + 565 + ], + "spans": [ + { + "bbox": [ + 104, + 550, + 505, + 565 + ], + "score": 1.0, + "content": "“uORF (w/o background)” and “uORF (w/o prog. train.)”. We use the perceptual metric LPIPS", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 563, + 501, + 575 + ], + "spans": [ + { + "bbox": [ + 106, + 563, + 501, + 575 + ], + "score": 1.0, + "content": "(Zhang et al., 2018), together with SSIM (Wang et al., 2004) and PSNR, as our evaluation metrics.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13, + "bbox_fs": [ + 104, + 474, + 506, + 575 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 578, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 505, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 505, + 591 + ], + "score": 1.0, + "content": "Results. Quantitative results are in Table 3 and qualitative results are in Figure 5 (more in Appendix", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 505, + 601 + ], + "score": 1.0, + "content": "D). Quantitatively, uORF outperforms all compared methods on all metrics. From the qualitative", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 506, + 613 + ], + "score": 1.0, + "content": "comparison in Figure 5, we highlight three advantages of uORF. First, compared with NeRF-AE,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 610, + 506, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 506, + 623 + ], + "score": 1.0, + "content": "which has a monolithic latent structure for the entire scene, uORF better preserves the features of", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 622, + 506, + 634 + ], + "spans": [ + { + "bbox": [ + 106, + 622, + 506, + 634 + ], + "score": 1.0, + "content": "each object: for example, see how NeRF-AE fuses object colors in the first two rows, while uORF", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 632, + 505, + 645 + ], + "score": 1.0, + "content": "does not. This shows the advantage of factorized scene representations to structurally describe", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 643, + 506, + 657 + ], + "spans": [ + { + "bbox": [ + 104, + 643, + 506, + 657 + ], + "score": 1.0, + "content": "a visual scene. Second, compared with uORF (w/o background), one can clearly see how our", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 506, + 668 + ], + "score": 1.0, + "content": "background-aware modeling helps recovering background appearances: uORF can accurately recover", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 506, + 678 + ], + "score": 1.0, + "content": "background appearance of the Room-Chair example, while uORF (w/o background) does not. It", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 677, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 506, + 690 + ], + "score": 1.0, + "content": "also facilitates learning on complex scenes with diverse, textured background: uORF can learn to", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 686, + 507, + 702 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 507, + 702 + ], + "score": 1.0, + "content": "roughly recover object shapes in the Room-Diverse example. Third, compared with uORF (w/o prog.", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "train.), we highlight that the fine training on image patches indeed improves both visual quality and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 104, + 708, + 507, + 724 + ], + "spans": [ + { + "bbox": [ + 104, + 708, + 507, + 724 + ], + "score": 1.0, + "content": "representation quality: the full uORF tries to recover sharp edges of cubes, while uORF (w/o prog.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 720, + 282, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 282, + 733 + ], + "score": 1.0, + "content": "train.) cannot distinguish cube from sphere.", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 24.5, + "bbox_fs": [ + 104, + 577, + 507, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 126, + 68, + 481, + 288 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 126, + 68, + 481, + 288 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 126, + 68, + 481, + 288 + ], + "spans": [ + { + "bbox": [ + 126, + 68, + 481, + 288 + ], + "score": 0.971, + "type": "image", + "image_path": "232183a9d35988986c77d1a94fc50b45dc9cf79f1c2590ae6196917d9c3ce14c.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 126, + 68, + 481, + 141.33333333333331 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 126, + 141.33333333333331, + 481, + 214.66666666666663 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 126, + 214.66666666666663, + 481, + 287.99999999999994 + ], + "spans": [], + "index": 2 + } + ] + } + ], + "index": 1 + }, + { + "type": "table", + "bbox": [ + 108, + 314, + 501, + 385 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 109, + 290, + 503, + 309 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 289, + 505, + 301 + ], + "spans": [ + { + "bbox": [ + 107, + 289, + 505, + 301 + ], + "score": 1.0, + "content": "Figure 5: Qualitative results on scene decomposition and novel view synthesis. Within every two rows, the first", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 299, + 282, + 309 + ], + "spans": [ + { + "bbox": [ + 107, + 299, + 282, + 309 + ], + "score": 1.0, + "content": "is reconstruction and the second is a novel view.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "table_body", + "bbox": [ + 108, + 314, + 501, + 385 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 314, + 501, + 385 + ], + "spans": [ + { + "bbox": [ + 108, + 314, + 501, + 385 + ], + "score": 0.976, + "html": "
ModelsCLEVR-567Room-ChairRoom-Diverse
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
NeRF-AE0.12880.865827.160.11660.826528.130.24580.668824.80
uORF (w/o background)0.09190.892428.930.16710.785227.860.22310.692425.90
uORF(w/o prog. train.)0.10440.889428.840.15730.828728.330.21230.676025.19
uORF (ours)0.08590.897129.280.08210.872229.600.17290.709425.96
", + "type": "table", + "image_path": "28791c2f79b91bb65a6bf4ca13c8551e71ea8d8889c6f46c0fadbbc4462f1ce5.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 108, + 314, + 501, + 337.6666666666667 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 108, + 337.6666666666667, + 501, + 361.33333333333337 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 108, + 361.33333333333337, + 501, + 385.00000000000006 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "table_footnote", + "bbox": [ + 184, + 387, + 426, + 397 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 183, + 385, + 426, + 400 + ], + "spans": [ + { + "bbox": [ + 183, + 385, + 426, + 400 + ], + "score": 1.0, + "content": "Table 3: Comparison on novel view synthesis from a single image.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 108, + 400, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 106, + 400, + 504, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 504, + 412 + ], + "score": 1.0, + "content": "Overall, the novel view synthesis results suggest that uORF can learn to represent 3D scenes with", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "reasonable fidelity, even with the presence of complex foreground object shapes, such as chairs and", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 421, + 234, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 234, + 433 + ], + "score": 1.0, + "content": "different textured backgrounds.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10 + }, + { + "type": "title", + "bbox": [ + 108, + 439, + 285, + 450 + ], + "lines": [ + { + "bbox": [ + 106, + 438, + 286, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 286, + 451 + ], + "score": 1.0, + "content": "4.3 SCENE DESIGN AND EDITING IN 3D", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 504, + 479 + ], + "lines": [ + { + "bbox": [ + 106, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "Being object-centric and 3D-aware, uORF is able to edit 3D scene radiance fields inferred from a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 467, + 292, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 292, + 480 + ], + "score": 1.0, + "content": "single view, and generate novel scene images.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 483, + 505, + 561 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "Setup. We test uORF’s ability to edit scenes and synthesize novel images on the Room-Chair", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "dataset. We consider both moving foreground objects and changing background appearance. For", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 506, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 518 + ], + "score": 1.0, + "content": "object moving, we randomly pick one object in a test scene and move it to a random position. We", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "score": 1.0, + "content": "render 4 images for each of the 500 test scenes. For background changing, we replace the current", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "score": 1.0, + "content": "background texture to a different one and also render 4 images for evaluation. To indicate the new", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 538, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 551 + ], + "score": 1.0, + "content": "background, we re-pick and re-put foreground objects such that the resultant background indicator", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 549, + 294, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 294, + 563 + ], + "score": 1.0, + "content": "image is different from the groundtruth image.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 566, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "score": 1.0, + "content": "For uORF and Slot Attention (Locatello et al., 2020), we use groundtruth masks of the input view", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 578, + 506, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 589 + ], + "score": 1.0, + "content": "only for ease of evaluation. We determine which slot to move by picking the one with largest mask", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 588, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 601 + ], + "score": 1.0, + "content": "IoU. For NeRF-AE (Mildenhall et al., 2020) to do editing, we back-project the masks to frustums to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 600, + 496, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 496, + 611 + ], + "score": 1.0, + "content": "determine the 3D regions to be moved/replaced. We use LPIPS, SSIM, and PSNR as our metrics.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 106, + 615, + 257, + 692 + ], + "lines": [ + { + "bbox": [ + 106, + 615, + 257, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 257, + 626 + ], + "score": 1.0, + "content": "Results. We show results in Table", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 625, + 258, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 258, + 638 + ], + "score": 1.0, + "content": "4 and Figure 6 (more in Appendix", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 637, + 258, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 258, + 649 + ], + "score": 1.0, + "content": "D). Again, uORF outperforms all com-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 648, + 259, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 259, + 661 + ], + "score": 1.0, + "content": "pared methods on all metrics. As Fig-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 658, + 258, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 258, + 671 + ], + "score": 1.0, + "content": "ure 6 depicts, images synthesized by", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 669, + 258, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 258, + 682 + ], + "score": 1.0, + "content": "uORF show least artifacts and highest", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 681, + 186, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 186, + 693 + ], + "score": 1.0, + "content": "quality and fidelity.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29 + }, + { + "type": "table", + "bbox": [ + 264, + 613, + 505, + 692 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 264, + 613, + 505, + 692 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 264, + 613, + 505, + 692 + ], + "spans": [ + { + "bbox": [ + 264, + 613, + 505, + 692 + ], + "score": 0.975, + "html": "
ModelsMoving objectsChanging background
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR个
NeRF-AE0.24510.728423.180.21850.713225.42
Slot Attention0.39410.713423.060.36890.728323.94
uORF(w/o background)0.22060.744824.550.18790.771926.68
uORF(w/o prog.train.)0.15830.831328.190.15860.830628.27
uORF (ours)0.08550.871129.260.08220.872929.53
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ModelsCLEVR-567Room-ChairRoom-Diverse
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
NeRF-AE0.12880.865827.160.11660.826528.130.24580.668824.80
uORF (w/o background)0.09190.892428.930.16710.785227.860.22310.692425.90
uORF(w/o prog. train.)0.10440.889428.840.15730.828728.330.21230.676025.19
uORF (ours)0.08590.897129.280.08210.872229.600.17290.709425.96
", + "type": "table", + "image_path": "28791c2f79b91bb65a6bf4ca13c8551e71ea8d8889c6f46c0fadbbc4462f1ce5.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 108, + 314, + 501, + 337.6666666666667 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 108, + 337.6666666666667, + 501, + 361.33333333333337 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 108, + 361.33333333333337, + 501, + 385.00000000000006 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "table_footnote", + "bbox": [ + 184, + 387, + 426, + 397 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 183, + 385, + 426, + 400 + ], + "spans": [ + { + "bbox": [ + 183, + 385, + 426, + 400 + ], + "score": 1.0, + "content": "Table 3: Comparison on novel view synthesis from a single image.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 108, + 400, + 505, + 433 + ], + "lines": [ + { + "bbox": [ + 106, + 400, + 504, + 412 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 504, + 412 + ], + "score": 1.0, + "content": "Overall, the novel view synthesis results suggest that uORF can learn to represent 3D scenes with", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 106, + 411, + 505, + 423 + ], + "score": 1.0, + "content": "reasonable fidelity, even with the presence of complex foreground object shapes, such as chairs and", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 421, + 234, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 421, + 234, + 433 + ], + "score": 1.0, + "content": "different textured backgrounds.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10, + "bbox_fs": [ + 106, + 400, + 505, + 433 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 439, + 285, + 450 + ], + "lines": [ + { + "bbox": [ + 106, + 438, + 286, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 438, + 286, + 451 + ], + "score": 1.0, + "content": "4.3 SCENE DESIGN AND EDITING IN 3D", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 504, + 479 + ], + "lines": [ + { + "bbox": [ + 106, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "Being object-centric and 3D-aware, uORF is able to edit 3D scene radiance fields inferred from a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 467, + 292, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 467, + 292, + 480 + ], + "score": 1.0, + "content": "single view, and generate novel scene images.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 456, + 506, + 480 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 483, + 505, + 561 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "Setup. We test uORF’s ability to edit scenes and synthesize novel images on the Room-Chair", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 495, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 505, + 507 + ], + "score": 1.0, + "content": "dataset. We consider both moving foreground objects and changing background appearance. For", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 506, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 505, + 518 + ], + "score": 1.0, + "content": "object moving, we randomly pick one object in a test scene and move it to a random position. We", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 506, + 529 + ], + "score": 1.0, + "content": "render 4 images for each of the 500 test scenes. For background changing, we replace the current", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "score": 1.0, + "content": "background texture to a different one and also render 4 images for evaluation. To indicate the new", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 538, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 505, + 551 + ], + "score": 1.0, + "content": "background, we re-pick and re-put foreground objects such that the resultant background indicator", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 549, + 294, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 294, + 563 + ], + "score": 1.0, + "content": "image is different from the groundtruth image.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 483, + 506, + 563 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 566, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 505, + 579 + ], + "score": 1.0, + "content": "For uORF and Slot Attention (Locatello et al., 2020), we use groundtruth masks of the input view", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 578, + 506, + 589 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 589 + ], + "score": 1.0, + "content": "only for ease of evaluation. We determine which slot to move by picking the one with largest mask", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 588, + 506, + 601 + ], + "spans": [ + { + "bbox": [ + 105, + 588, + 506, + 601 + ], + "score": 1.0, + "content": "IoU. For NeRF-AE (Mildenhall et al., 2020) to do editing, we back-project the masks to frustums to", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 600, + 496, + 611 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 496, + 611 + ], + "score": 1.0, + "content": "determine the 3D regions to be moved/replaced. We use LPIPS, SSIM, and PSNR as our metrics.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 23.5, + "bbox_fs": [ + 105, + 565, + 506, + 611 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 615, + 257, + 692 + ], + "lines": [ + { + "bbox": [ + 106, + 615, + 257, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 257, + 626 + ], + "score": 1.0, + "content": "Results. We show results in Table", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 625, + 258, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 258, + 638 + ], + "score": 1.0, + "content": "4 and Figure 6 (more in Appendix", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 637, + 258, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 258, + 649 + ], + "score": 1.0, + "content": "D). Again, uORF outperforms all com-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 648, + 259, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 648, + 259, + 661 + ], + "score": 1.0, + "content": "pared methods on all metrics. As Fig-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 658, + 258, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 258, + 671 + ], + "score": 1.0, + "content": "ure 6 depicts, images synthesized by", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 669, + 258, + 682 + ], + "spans": [ + { + "bbox": [ + 105, + 669, + 258, + 682 + ], + "score": 1.0, + "content": "uORF show least artifacts and highest", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 681, + 186, + 693 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 186, + 693 + ], + "score": 1.0, + "content": "quality and fidelity.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 615, + 259, + 693 + ] + }, + { + "type": "table", + "bbox": [ + 264, + 613, + 505, + 692 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 264, + 613, + 505, + 692 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 264, + 613, + 505, + 692 + ], + "spans": [ + { + "bbox": [ + 264, + 613, + 505, + 692 + ], + "score": 0.975, + "html": "
ModelsMoving objectsChanging background
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR个
NeRF-AE0.24510.728423.180.21850.713225.42
Slot Attention0.39410.713423.060.36890.728323.94
uORF(w/o background)0.22060.744824.550.18790.771926.68
uORF(w/o prog.train.)0.15830.831328.190.15860.830628.27
uORF (ours)0.08550.871129.260.08220.872929.53
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ModelsNV-ARI个ARI个
Slot AttentionN/A2.2±0.6
uORF (ours)85.0±0.387.4±0.4
uORF (oracle)85.5±0.387.5±0.3
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Loss functionsARI↑LPIPS↓
Rec.59.1±0.50.3610
Rec.+Percept.65.2±0.80.2156
Rec.+ Adv.60.4±2.20.2288
Rec.+ Percept. + Adv.65.6±1.00.1729
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ModelsARI个LPIPS↓
Slot Attention5.7±0.3N/A
NeRF-AEN/A0.2201
uORF (ours)83.2±0.60.1540
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Room-Diverse dataset.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + } + ], + "index": 9.0 + }, + { + "type": "text", + "bbox": [ + 107, + 436, + 505, + 491 + ], + "lines": [ + { + "bbox": [ + 106, + 436, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 436, + 506, + 448 + ], + "score": 1.0, + "content": "Generalizing to challenging spatial arrangements. We build a new test dataset, packed-CLEVR-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 446, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 506, + 460 + ], + "score": 1.0, + "content": "11, where each scene has 11 objects that are closely packed into a cluster. Therefore, each scene", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 457, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 505, + 471 + ], + "score": 1.0, + "content": "bears an unseen number of objects in an unseen challenging arrangement. We test models trained on", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 468, + 505, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 505, + 482 + ], + "score": 1.0, + "content": "CLEVR-567, report results in Table 5 and Appendix Figure 19. Despite uORF never sees such object", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 480, + 441, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 441, + 492 + ], + "score": 1.0, + "content": "arrangements, it still achieves a reasonable performance and outperforms baselines.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 499, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 106, + 498, + 506, + 512 + ], + "spans": [ + { + "bbox": [ + 106, + 498, + 506, + 512 + ], + "score": 1.0, + "content": "Generalizing to new combination of shape and color. For unseen object appearances, we con-", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 510, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 510, + 506, + 522 + ], + "score": 1.0, + "content": "sider generalization in a systematic way such that the model can deal with unseen combination of", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "object color and shape. Thus, we build a new training set similar to CLEVR-567, but we remove red", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 531, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 531, + 506, + 545 + ], + "score": 1.0, + "content": "cylinders and blue spheres from the object candidate pool. Then we test trained models on another", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 542, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 506, + 555 + ], + "score": 1.0, + "content": "dataset with only red cylinders and blue spheres in the candidate pool. We show results in Table 6", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 554, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 506, + 566 + ], + "score": 1.0, + "content": "and examples in Appendix Figure 20. We see that although uORF has never seen any of the test set", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 564, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 506, + 578 + ], + "score": 1.0, + "content": "objects, it achieves similar results to the one trained on a normal CLEVR-567 dataset (denoted as", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 574, + 505, + 589 + ], + "spans": [ + { + "bbox": [ + 104, + 574, + 505, + 589 + ], + "score": 1.0, + "content": "“uORF (oracle)”). This suggests uORF’s ability for systematic generalization to unseen combinations", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 587, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 506, + 600 + ], + "score": 1.0, + "content": "of object color and shape. 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ModelsNV-ARI个ARI个
Slot AttentionN/A2.2±0.6
uORF (ours)85.0±0.387.4±0.4
uORF (oracle)85.5±0.387.5±0.3
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Loss functionsARI↑LPIPS↓
Rec.59.1±0.50.3610
Rec.+Percept.65.2±0.80.2156
Rec.+ Adv.60.4±2.20.2288
Rec.+ Percept. + Adv.65.6±1.00.1729
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ModelsARI个LPIPS↓
Slot Attention5.7±0.3N/A
NeRF-AEN/A0.2201
uORF (ours)83.2±0.60.1540
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We have also", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 188, + 506, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 506, + 201 + ], + "score": 1.0, + "content": "provided a detailed instruction on using our code as well as training on new datasets. 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Firstly, since it is difficult", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 655, + 505, + 668 + ], + "score": 1.0, + "content": "to estimate full geometry from a single view (e.g., the geometry behind the camera), our model", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "assumes a similar background geometry across scenes and aggregates information about background", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 505, + 690 + ], + "score": 1.0, + "content": "geometry from multiple sparse views. Representing background in a fixed world space facilitates this", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "aggregation process and empirically leads to better performance. We show a quantitative comparison", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "in Table 10, Table 11 and a visual comparison in Figure 7. Modeling the background in world space", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 723 + ], + "score": 1.0, + "content": "provides more details than modeling it in viewer space. Incorporating multi-view images as inference", + "type": "text" + } + ], + "index": 48 + }, + { + "bbox": [ + 106, + 720, + 459, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 459, + 733 + ], + "score": 1.0, + "content": "input might relax this assumption (Yu et al., 2020), but we leave it as future exploration.", + "type": "text" + } + ], + "index": 49 + } + ], + "index": 45, + "bbox_fs": [ + 105, + 633, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 140, + 80, + 468, + 211 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 140, + 80, + 468, + 211 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 140, + 80, + 468, + 211 + ], + "spans": [ + { + "bbox": [ + 140, + 80, + 468, + 211 + ], + "score": 0.981, + "html": "
Layer nameInput shapeOutput shapeStrideNote
Conv164×64×764×64×642Skip to Conv6
Conv264×64×6432×32×642Skip to Conv5
Conv332×32×6416×16×642
Conv416×16×6416×16×641
Upsample16×16×6432×32×64Bilinear upsampling
Conv532×32×12832×32×641
Upsample32×32×6464×64×64Bilinear upsampling
Conv664×64×12864×64×641
", + "type": "table", + "image_path": "a06bd942bd46651bb162bab9b497ba29cadfce5babb664963022fdbc9f2b94e6.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 140, + 80, + 468, + 123.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 140, + 123.66666666666666, + 468, + 167.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 140, + 167.33333333333331, + 468, + 210.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 102, + 224, + 504, + 244 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 224, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 505, + 235 + ], + "score": 1.0, + "content": "Table 8: Encoder architecture for the CLEVR-567 dataset and the Room-Chair dataset. All convolutional kernel", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 232, + 374, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 139, + 244 + ], + "score": 1.0, + "content": "sizes are", + "type": "text" + }, + { + "bbox": [ + 139, + 234, + 157, + 243 + ], + "score": 0.86, + "content": "3 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 232, + 374, + 244 + ], + "score": 1.0, + "content": ". All activation functions for convolutional layers are ReLU.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "table", + "bbox": [ + 138, + 256, + 470, + 401 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 138, + 256, + 470, + 401 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 138, + 256, + 470, + 401 + ], + "spans": [ + { + "bbox": [ + 138, + 256, + 470, + 401 + ], + "score": 0.982, + "html": "
Layer nameInput shapeOutput shapeStrideNote
ConvO128×128×7128×128×641
Conv1128×128×6464×64×642Skip to Conv6
Conv264×64×6432×32×642Skip to Conv5
Conv332×32×6416×16×642
Conv416×16×6416×16×641
Upsample16×16×6432×32×64Bilinear upsampling
Conv532×32×12832×32×641
Upsample32×32×6464×64×64Bilinear upsampling
Conv664×64×12864×64×641
", + "type": "table", + "image_path": "857f145383c472e4f6aa55d6ba33d5b2079d500c995c60d41fc13cde13bcc7f0.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 138, + 256, + 470, + 304.3333333333333 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 138, + 304.3333333333333, + 470, + 352.66666666666663 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 138, + 352.66666666666663, + 470, + 400.99999999999994 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 103, + 413, + 504, + 433 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 466, + 424 + ], + "score": 1.0, + "content": "Table 9: Encoder architecture for the Room-Diverse dataset. All convolutional kernel sizes are", + "type": "text" + }, + { + "bbox": [ + 467, + 413, + 484, + 423 + ], + "score": 0.85, + "content": "3 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 414, + 505, + 424 + ], + "score": 1.0, + "content": ". All", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 423, + 307, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 307, + 433 + ], + "score": 1.0, + "content": "activation functions for convolutional layers are ReLU.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + } + ], + "index": 7.25 + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 506, + 489 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "Secondly, this design also encourages the disentanglement between foreground objects and back-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 468, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 479 + ], + "score": 1.0, + "content": "ground by preventing the background slot from decoding foreground objects, because the positional", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 478, + 376, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 376, + 491 + ], + "score": 1.0, + "content": "information provided in the encoder is represented in viewer space.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 495, + 505, + 595 + ], + "lines": [ + { + "bbox": [ + 105, + 493, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 509 + ], + "score": 1.0, + "content": "Foreground locality. To further encourage the disentanglement, we add a locality constraint during", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 506, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 506, + 520 + ], + "score": 1.0, + "content": "early training to prevent foreground slots to represent the background environment. Specifically,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 518, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 530 + ], + "score": 1.0, + "content": "considering that “foreground” objects should be largely visible in sight, we set a foreground box", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "and enforce that every foreground-querying point outside the box has zero density. The foreground", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 538, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 403, + 553 + ], + "score": 1.0, + "content": "box is defined such that its projection in image space can engage roughly", + "type": "text" + }, + { + "bbox": [ + 404, + 539, + 424, + 550 + ], + "score": 0.87, + "content": "9 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 538, + 506, + 553 + ], + "score": 1.0, + "content": "pixels. The locality", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "constraint is imposed for the first 100K iterations, and it empirically helps prevent the foreground", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 562, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 573 + ], + "score": 1.0, + "content": "slots from fitting the background. We show a visual comparison in Figure 8, which from we can", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "observe that the model without foreground locality design attaches some background segments to", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 583, + 157, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 157, + 596 + ], + "score": 1.0, + "content": "each object.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17 + }, + { + "type": "title", + "bbox": [ + 107, + 601, + 316, + 612 + ], + "lines": [ + { + "bbox": [ + 106, + 601, + 318, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 318, + 613 + ], + "score": 1.0, + "content": "B.3 NEURAL RADIANCE FIELD ARCHITECTURE.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 108, + 619, + 388, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 389, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 389, + 633 + ], + "score": 1.0, + "content": "We show our conditional object radiance field architecture in Figure 9.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "title", + "bbox": [ + 108, + 637, + 214, + 648 + ], + "lines": [ + { + "bbox": [ + 106, + 636, + 216, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 216, + 649 + ], + "score": 1.0, + "content": "B.4 MODEL LEARNING", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 208, + 669 + ], + "score": 1.0, + "content": "Loss functions. We set", + "type": "text" + }, + { + "bbox": [ + 208, + 655, + 272, + 667 + ], + "score": 0.86, + "content": "\\lambda _ { \\mathrm { p e r c e p t } } = 0 . 0 0 6", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 654, + 275, + 669 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 276, + 655, + 324, + 666 + ], + "score": 0.87, + "content": "\\lambda _ { \\mathrm { a d v } } = 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 654, + 327, + 669 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 328, + 655, + 365, + 666 + ], + "score": 0.86, + "content": "\\lambda _ { R } = 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 654, + 506, + 669 + ], + "score": 1.0, + "content": ". For perceptual loss, we implement", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 190, + 678 + ], + "score": 1.0, + "content": "the feature extractor", + "type": "text" + }, + { + "bbox": [ + 191, + 668, + 197, + 677 + ], + "score": 0.79, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "by using the output of the 4-th convolutional block in a VGG16 (Simonyan", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "& Zisserman, 2014) pretrained on ImageNet. For the adversarial discriminator, we follow the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "architecture of StyleGAN2 (Karras et al., 2020) with slight modification such that the maximum", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "channel number is 128. We also use the lazy R1 regularization (Karras et al., 2020). We use Adam", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 324, + 722 + ], + "score": 1.0, + "content": "optimizer for discriminator with learning rate 0.001,", + "type": "text" + }, + { + "bbox": [ + 325, + 710, + 356, + 721 + ], + "score": 0.88, + "content": "\\beta _ { 1 } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 710, + 375, + 722 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 375, + 710, + 415, + 721 + ], + "score": 0.9, + "content": "\\beta _ { 2 } = 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 710, + 505, + 722 + ], + "score": 1.0, + "content": ". The adversarial loss", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "is incorporated after 100K iterations. Since shape uncertainty only appears in the Room-Diverse", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28 + } + ], + "page_idx": 13, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 293, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 293, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "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": "table", + "bbox": [ + 140, + 80, + 468, + 211 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 140, + 80, + 468, + 211 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 140, + 80, + 468, + 211 + ], + "spans": [ + { + "bbox": [ + 140, + 80, + 468, + 211 + ], + "score": 0.981, + "html": "
Layer nameInput shapeOutput shapeStrideNote
Conv164×64×764×64×642Skip to Conv6
Conv264×64×6432×32×642Skip to Conv5
Conv332×32×6416×16×642
Conv416×16×6416×16×641
Upsample16×16×6432×32×64Bilinear upsampling
Conv532×32×12832×32×641
Upsample32×32×6464×64×64Bilinear upsampling
Conv664×64×12864×64×641
", + "type": "table", + "image_path": "a06bd942bd46651bb162bab9b497ba29cadfce5babb664963022fdbc9f2b94e6.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 140, + 80, + 468, + 123.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 140, + 123.66666666666666, + 468, + 167.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 140, + 167.33333333333331, + 468, + 210.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 102, + 224, + 504, + 244 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 224, + 505, + 235 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 505, + 235 + ], + "score": 1.0, + "content": "Table 8: Encoder architecture for the CLEVR-567 dataset and the Room-Chair dataset. All convolutional kernel", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 232, + 374, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 139, + 244 + ], + "score": 1.0, + "content": "sizes are", + "type": "text" + }, + { + "bbox": [ + 139, + 234, + 157, + 243 + ], + "score": 0.86, + "content": "3 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 232, + 374, + 244 + ], + "score": 1.0, + "content": ". All activation functions for convolutional layers are ReLU.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "table", + "bbox": [ + 138, + 256, + 470, + 401 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 138, + 256, + 470, + 401 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 138, + 256, + 470, + 401 + ], + "spans": [ + { + "bbox": [ + 138, + 256, + 470, + 401 + ], + "score": 0.982, + "html": "
Layer nameInput shapeOutput shapeStrideNote
ConvO128×128×7128×128×641
Conv1128×128×6464×64×642Skip to Conv6
Conv264×64×6432×32×642Skip to Conv5
Conv332×32×6416×16×642
Conv416×16×6416×16×641
Upsample16×16×6432×32×64Bilinear upsampling
Conv532×32×12832×32×641
Upsample32×32×6464×64×64Bilinear upsampling
Conv664×64×12864×64×641
", + "type": "table", + "image_path": "857f145383c472e4f6aa55d6ba33d5b2079d500c995c60d41fc13cde13bcc7f0.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 138, + 256, + 470, + 304.3333333333333 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 138, + 304.3333333333333, + 470, + 352.66666666666663 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 138, + 352.66666666666663, + 470, + 400.99999999999994 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 103, + 413, + 504, + 433 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 413, + 505, + 424 + ], + "spans": [ + { + "bbox": [ + 106, + 414, + 466, + 424 + ], + "score": 1.0, + "content": "Table 9: Encoder architecture for the Room-Diverse dataset. All convolutional kernel sizes are", + "type": "text" + }, + { + "bbox": [ + 467, + 413, + 484, + 423 + ], + "score": 0.85, + "content": "3 \\times 3", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 414, + 505, + 424 + ], + "score": 1.0, + "content": ". All", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 423, + 307, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 423, + 307, + 433 + ], + "score": 1.0, + "content": "activation functions for convolutional layers are ReLU.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + } + ], + "index": 7.25 + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 506, + 489 + ], + "lines": [ + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 506, + 469 + ], + "score": 1.0, + "content": "Secondly, this design also encourages the disentanglement between foreground objects and back-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 468, + 506, + 479 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 479 + ], + "score": 1.0, + "content": "ground by preventing the background slot from decoding foreground objects, because the positional", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 478, + 376, + 491 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 376, + 491 + ], + "score": 1.0, + "content": "information provided in the encoder is represented in viewer space.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 456, + 506, + 491 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 495, + 505, + 595 + ], + "lines": [ + { + "bbox": [ + 105, + 493, + 506, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 506, + 509 + ], + "score": 1.0, + "content": "Foreground locality. To further encourage the disentanglement, we add a locality constraint during", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 506, + 506, + 520 + ], + "spans": [ + { + "bbox": [ + 106, + 506, + 506, + 520 + ], + "score": 1.0, + "content": "early training to prevent foreground slots to represent the background environment. Specifically,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 518, + 506, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 518, + 506, + 530 + ], + "score": 1.0, + "content": "considering that “foreground” objects should be largely visible in sight, we set a foreground box", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 106, + 528, + 506, + 541 + ], + "score": 1.0, + "content": "and enforce that every foreground-querying point outside the box has zero density. The foreground", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 538, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 538, + 403, + 553 + ], + "score": 1.0, + "content": "box is defined such that its projection in image space can engage roughly", + "type": "text" + }, + { + "bbox": [ + 404, + 539, + 424, + 550 + ], + "score": 0.87, + "content": "9 0 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 538, + 506, + 553 + ], + "score": 1.0, + "content": "pixels. The locality", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "spans": [ + { + "bbox": [ + 106, + 550, + 505, + 563 + ], + "score": 1.0, + "content": "constraint is imposed for the first 100K iterations, and it empirically helps prevent the foreground", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 562, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 106, + 562, + 505, + 573 + ], + "score": 1.0, + "content": "slots from fitting the background. We show a visual comparison in Figure 8, which from we can", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 506, + 585 + ], + "score": 1.0, + "content": "observe that the model without foreground locality design attaches some background segments to", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 583, + 157, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 583, + 157, + 596 + ], + "score": 1.0, + "content": "each object.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 493, + 506, + 596 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 601, + 316, + 612 + ], + "lines": [ + { + "bbox": [ + 106, + 601, + 318, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 318, + 613 + ], + "score": 1.0, + "content": "B.3 NEURAL RADIANCE FIELD ARCHITECTURE.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 108, + 619, + 388, + 630 + ], + "lines": [ + { + "bbox": [ + 105, + 617, + 389, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 389, + 633 + ], + "score": 1.0, + "content": "We show our conditional object radiance field architecture in Figure 9.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 617, + 389, + 633 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 637, + 214, + 648 + ], + "lines": [ + { + "bbox": [ + 106, + 636, + 216, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 216, + 649 + ], + "score": 1.0, + "content": "B.4 MODEL LEARNING", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 655, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 208, + 669 + ], + "score": 1.0, + "content": "Loss functions. We set", + "type": "text" + }, + { + "bbox": [ + 208, + 655, + 272, + 667 + ], + "score": 0.86, + "content": "\\lambda _ { \\mathrm { p e r c e p t } } = 0 . 0 0 6", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 654, + 275, + 669 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 276, + 655, + 324, + 666 + ], + "score": 0.87, + "content": "\\lambda _ { \\mathrm { a d v } } = 0 . 0 1", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 654, + 327, + 669 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 328, + 655, + 365, + 666 + ], + "score": 0.86, + "content": "\\lambda _ { R } = 1 0", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 654, + 506, + 669 + ], + "score": 1.0, + "content": ". For perceptual loss, we implement", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 106, + 666, + 190, + 678 + ], + "score": 1.0, + "content": "the feature extractor", + "type": "text" + }, + { + "bbox": [ + 191, + 668, + 197, + 677 + ], + "score": 0.79, + "content": "p", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "by using the output of the 4-th convolutional block in a VGG16 (Simonyan", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "& Zisserman, 2014) pretrained on ImageNet. For the adversarial discriminator, we follow the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 506, + 700 + ], + "score": 1.0, + "content": "architecture of StyleGAN2 (Karras et al., 2020) with slight modification such that the maximum", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "channel number is 128. We also use the lazy R1 regularization (Karras et al., 2020). We use Adam", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 710, + 324, + 722 + ], + "score": 1.0, + "content": "optimizer for discriminator with learning rate 0.001,", + "type": "text" + }, + { + "bbox": [ + 325, + 710, + 356, + 721 + ], + "score": 0.88, + "content": "\\beta _ { 1 } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 710, + 375, + 722 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 375, + 710, + 415, + 721 + ], + "score": 0.9, + "content": "\\beta _ { 2 } = 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 710, + 505, + 722 + ], + "score": 1.0, + "content": ". The adversarial loss", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 721, + 505, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 505, + 733 + ], + "score": 1.0, + "content": "is incorporated after 100K iterations. Since shape uncertainty only appears in the Room-Diverse", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 654, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 85, + 441, + 97 + ], + "lines": [ + { + "bbox": [ + 106, + 84, + 441, + 99 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 441, + 99 + ], + "score": 1.0, + "content": "Algorithm 1: Object-centric latent inference with background-aware slot attention.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 99, + 523, + 275 + ], + "lines": [ + { + "bbox": [ + 105, + 98, + 191, + 111 + ], + "spans": [ + { + "bbox": [ + 105, + 98, + 191, + 111 + ], + "score": 1.0, + "content": "Input: feat ∈ RN×D", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 104, + 106, + 485, + 124 + ], + "spans": [ + { + "bbox": [ + 104, + 106, + 151, + 124 + ], + "score": 1.0, + "content": "Learnable:", + "type": "text" + }, + { + "bbox": [ + 151, + 110, + 204, + 122 + ], + "score": 0.91, + "content": "\\mu ^ { b } , \\sigma ^ { b } , \\mu ^ { f } , \\sigma ^ { f }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 106, + 271, + 124 + ], + "score": 1.0, + "content": ": prior parameters,", + "type": "text" + }, + { + "bbox": [ + 272, + 110, + 330, + 123 + ], + "score": 0.92, + "content": "k , q ^ { b } , q ^ { f } , v ^ { b } , v ^ { f }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 106, + 485, + 124 + ], + "score": 1.0, + "content": ": linear mappings, GRUb, GRUf , MLPb, MLPf", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 119, + 124, + 507, + 139 + ], + "spans": [ + { + "bbox": [ + 119, + 124, + 207, + 139 + ], + "score": 1.0, + "content": "slotb ∼ N b ∈ R1×D", + "type": "text" + }, + { + "bbox": [ + 399, + 128, + 507, + 139 + ], + "score": 1.0, + "content": "// Sampling slots from priors.", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 119, + 135, + 217, + 150 + ], + "spans": [ + { + "bbox": [ + 119, + 135, + 217, + 150 + ], + "score": 1.0, + "content": "slotsf ∼ N f ∈ RK×D", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 120, + 146, + 189, + 160 + ], + "spans": [ + { + "bbox": [ + 120, + 146, + 189, + 160 + ], + "score": 1.0, + "content": "for t = 1, · · · , T", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 135, + 156, + 323, + 169 + ], + "spans": [ + { + "bbox": [ + 135, + 156, + 323, + 169 + ], + "score": 1.0, + "content": "slot prevb = slotb, slots prevf = slotsf", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 136, + 168, + 523, + 192 + ], + "spans": [ + { + "bbox": [ + 136, + 177, + 204, + 189 + ], + "score": 1.0, + "content": "attn = Softmax", + "type": "text" + }, + { + "bbox": [ + 210, + 181, + 227, + 192 + ], + "score": 1.0, + "content": "√D", + "type": "text" + }, + { + "bbox": [ + 216, + 175, + 261, + 189 + ], + "score": 1.0, + "content": "1 k(feat) ·", + "type": "text" + }, + { + "bbox": [ + 266, + 168, + 378, + 190 + ], + "score": 1.0, + "content": "qb(slotb)f f \u0015T , dim=‘slot’!", + "type": "text" + }, + { + "bbox": [ + 398, + 176, + 523, + 189 + ], + "score": 1.0, + "content": "// Binding slots to object features.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 135, + 196, + 307, + 209 + ], + "spans": [ + { + "bbox": [ + 135, + 196, + 156, + 209 + ], + "score": 1.0, + "content": "attn", + "type": "text" + }, + { + "bbox": [ + 156, + 197, + 172, + 207 + ], + "score": 0.66, + "content": "^ b =", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 196, + 307, + 209 + ], + "score": 1.0, + "content": "attn[0], attnf = attn[1:end]", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 135, + 205, + 510, + 221 + ], + "spans": [ + { + "bbox": [ + 135, + 205, + 170, + 221 + ], + "score": 1.0, + "content": "updates", + "type": "text" + }, + { + "bbox": [ + 171, + 207, + 181, + 217 + ], + "score": 0.75, + "content": "^ { b } =", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 205, + 342, + 221 + ], + "score": 1.0, + "content": "WeightedMean(weights=attnb, values", + "type": "text" + }, + { + "bbox": [ + 342, + 207, + 356, + 217 + ], + "score": 0.35, + "content": "= \\boldsymbol { v } ^ { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 205, + 510, + 221 + ], + "score": 1.0, + "content": "(inputs)) // Aggregating update signals.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 135, + 217, + 402, + 231 + ], + "spans": [ + { + "bbox": [ + 135, + 217, + 170, + 231 + ], + "score": 1.0, + "content": "updates", + "type": "text" + }, + { + "bbox": [ + 171, + 218, + 182, + 228 + ], + "score": 0.53, + "content": "f _ { = }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 217, + 343, + 231 + ], + "score": 1.0, + "content": "WeightedMean(weights=attnf , values", + "type": "text" + }, + { + "bbox": [ + 343, + 218, + 358, + 228 + ], + "score": 0.56, + "content": "\\scriptstyle \\operatorname { \\mathsf { \\Omega } } _ { 3 } = v ^ { f }", + "type": "inline_equation" + }, + { + "bbox": [ + 359, + 217, + 402, + 231 + ], + "score": 1.0, + "content": "(inputs))", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 135, + 228, + 464, + 243 + ], + "spans": [ + { + "bbox": [ + 135, + 228, + 156, + 243 + ], + "score": 1.0, + "content": "slot", + "type": "text" + }, + { + "bbox": [ + 156, + 229, + 190, + 239 + ], + "score": 0.51, + "content": "{ \\ v O } ^ { b } = \\mathtt { G R U } ^ { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 228, + 353, + 243 + ], + "score": 1.0, + "content": "(state=slot prevb, inputs=updatesb)", + "type": "text" + }, + { + "bbox": [ + 399, + 230, + 464, + 241 + ], + "score": 1.0, + "content": "// Updating slots.", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 135, + 239, + 366, + 252 + ], + "spans": [ + { + "bbox": [ + 135, + 239, + 225, + 252 + ], + 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261, + 214, + 274 + ], + "score": 1.0, + "content": "return slotb, slotsf", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 7.5 + }, + { + "type": "table", + "bbox": [ + 109, + 303, + 296, + 340 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 109, + 303, + 296, + 340 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 303, + 296, + 340 + ], + "spans": [ + { + "bbox": [ + 109, + 303, + 296, + 340 + ], + "score": 0.964, + "html": "
ModelsLPIPS↓SSIM↑PSNR↑
uORF w/ view-space Backg.0.1510.79927.86
uORF (ours)0.0820.87229.60
", + "type": "table", + "image_path": "3d649393bc58708ea7bf4c3121fab6939a320a0e57e7906036812f9f284468f4.jpg" + } + ] + } + ], + "index": 16.0, + "virtual_lines": [ + { + "bbox": [ + 109, + 303, + 296, + 321.5 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 109, + 321.5, + 296, + 340.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 106, + 348, + 298, + 367 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 347, + 299, + 358 + ], + "spans": [ + { + "bbox": [ + 106, + 347, + 299, + 358 + ], + "score": 1.0, + "content": "Table 10: Ablation for background coordinate space", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 357, + 282, + 367 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 282, + 367 + ], + "score": 1.0, + "content": "on novel view synthesis on Room-Chair dataset.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + } + ], + "index": 18.25 + }, + { + "type": "table", + "bbox": [ + 312, + 290, + 504, + 340 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 312, + 290, + 504, + 340 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 312, + 290, + 504, + 340 + ], + "spans": [ + { + "bbox": [ + 312, + 290, + 504, + 340 + ], + "score": 0.962, + "html": "
Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI个
uORF w/ view-space Backg.73.578.089.0
uORF (ours)74.378.888.8
", + "type": "table", + "image_path": "2bbb249d0b52381a0d5128af77031500bd70aebaf2445a5ef6cc52b88cb2c057.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 312, + 290, + 504, + 306.6666666666667 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 312, + 306.6666666666667, + 504, + 323.33333333333337 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 312, + 323.33333333333337, + 504, + 340.00000000000006 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 312, + 348, + 504, + 367 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 312, + 347, + 505, + 359 + ], + "spans": [ + { + "bbox": [ + 312, + 347, + 505, + 359 + ], + "score": 1.0, + "content": "Table 11: Ablation for background coordinate space", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 312, + 357, + 461, + 367 + ], + "spans": [ + { + "bbox": [ + 312, + 357, + 461, + 367 + ], + "score": 1.0, + "content": "on segmentation on Room-Chair dataset.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5 + } + ], + "index": 20.25 + }, + { + "type": "text", + "bbox": [ + 105, + 390, + 504, + 412 + ], + "lines": [ + { + "bbox": [ + 106, + 390, + 506, + 401 + ], + "spans": [ + { + "bbox": [ + 106, + 390, + 506, + 401 + ], + "score": 1.0, + "content": "dataset, we only impose the adversarial loss on the Room-Diverse dataset but not on CLEVR-567 or", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 401, + 487, + 413 + ], + "spans": [ + { + "bbox": [ + 106, + 401, + 487, + 413 + ], + "score": 1.0, + "content": "Room-Chair. Both perceptual loss and adversarial loss are added after the first 100K iterations.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 417, + 505, + 517 + ], + "lines": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "Coarse-to-fine progressive training. For coarse training, we bilinearly downsample supervision", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 428, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 147, + 442 + ], + "score": 1.0, + "content": "images to", + "type": "text" + }, + { + "bbox": [ + 147, + 429, + 176, + 439 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 428, + 505, + 442 + ], + "score": 1.0, + "content": ". The coarse training lasts for 600K iterations. For fine training, we randomly crop", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 439, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 136, + 451 + ], + "score": 0.88, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 439, + 194, + 451 + ], + "score": 1.0, + "content": "patches from", + "type": "text" + }, + { + "bbox": [ + 194, + 440, + 234, + 450 + ], + "score": 0.88, + "content": "1 2 8 \\times 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 439, + 505, + 451 + ], + "score": 1.0, + "content": "images. The fine training lasts for 600K iterations. Our model is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "score": 1.0, + "content": "trained on a single Nvidia RTX 3090 GPU for about 6 days. For all networks except discriminator,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 318, + 475 + ], + "score": 1.0, + "content": "we use Adam optimizer with learning rate 0.0003,", + "type": "text" + }, + { + "bbox": [ + 319, + 462, + 360, + 473 + ], + "score": 0.89, + "content": "\\beta _ { 1 } = 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 461, + 379, + 475 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 380, + 462, + 430, + 473 + ], + "score": 0.91, + "content": "\\beta _ { 2 } ~ = ~ 0 . 9 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 461, + 506, + 475 + ], + "score": 1.0, + "content": ". Learning rate is", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "score": 1.0, + "content": "exponentially decreased by half for every 200K iterations until after 600K iterations. We also adopt", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "score": 1.0, + "content": "the learning rate warm-up from the slot attention paper (Locatello et al., 2020) for the first 1K", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "score": 1.0, + "content": "iterations. We initialize decoder networks with Xavier’s initialization. In each batch, we input one", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 505, + 473, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 473, + 518 + ], + "score": 1.0, + "content": "image and neurally render 4 images for supervision. We render each pixel with 64 samples.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30 + }, + { + "type": "title", + "bbox": [ + 107, + 527, + 202, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 526, + 204, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 204, + 542 + ], + "score": 1.0, + "content": "C EXPERIMENTS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 549, + 363, + 561 + ], + "lines": [ + { + "bbox": [ + 105, + 546, + 365, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 365, + 564 + ], + "score": 1.0, + "content": "In this section we provide further details on experiment settings.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "title", + "bbox": [ + 107, + 567, + 157, + 578 + ], + "lines": [ + { + "bbox": [ + 105, + 565, + 159, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 159, + 580 + ], + "score": 1.0, + "content": "C.1 DATA", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 505, + 628 + ], + "lines": [ + { + "bbox": [ + 105, + 583, + 507, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 507, + 597 + ], + "score": 1.0, + "content": "For the construction of all three datasets, the training/testing sets share the same pool of textures,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "shapes, and colors. The scenes in both sets differ in the spatial arrangement of objects, as well as", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "the appearance differences induced by soft shadows and inter-reflections due to global illumination", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 616, + 138, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 138, + 630 + ], + "score": 1.0, + "content": "effects.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 712 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 504, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 504, + 647 + ], + "score": 1.0, + "content": "CLEVR-567. In the CLEVR-567 dataset, each object’s shape is randomly chosen from three", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "score": 1.0, + "content": "geometric primitives (i.e., cylinder, cube and sphere). The color is randomly chosen from", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 657, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 505, + 669 + ], + "score": 1.0, + "content": "{red, blue, purple, gray, cyan, yellow, green, brown}. There are two possible sizes for each", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 667, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 681 + ], + "score": 1.0, + "content": "object. When rendering images, we use the same camera intrinsic as original CLEVR dataset (John-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 679, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 679, + 505, + 691 + ], + "score": 1.0, + "content": "son et al., 2017). We do not use the visibility check due to our 360 degree multi-view setting, so we", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 688, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 216, + 703 + ], + "score": 1.0, + "content": "increase elevation angle by", + "type": "text" + }, + { + "bbox": [ + 217, + 689, + 239, + 701 + ], + "score": 0.89, + "content": "\\pi / 1 5", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 688, + 505, + 703 + ], + "score": 1.0, + "content": "to increase the chance of object visibility. Rendering setting is the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 700, + 192, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 192, + 713 + ], + "score": 1.0, + "content": "same for all datasets.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45 + }, + { + "type": "text", + "bbox": [ + 106, + 717, + 504, + 740 + ], + "lines": [ + { + "bbox": [ + 105, + 716, + 505, + 730 + ], + "spans": [ + { + "bbox": [ + 105, + 716, + 320, + 730 + ], + "score": 1.0, + "content": "For CLEVR-567 dataset we set the latent dimension", + "type": "text" + }, + { + "bbox": [ + 320, + 718, + 353, + 728 + ], + "score": 0.89, + "content": "D = 4 0", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 716, + 505, + 730 + ], + "score": 1.0, + "content": "and the maximum number of objects", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 107, + 726, + 141, + 741 + ], + "spans": [ + { + "bbox": [ + 107, + 729, + 135, + 738 + ], + "score": 0.88, + "content": "K = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 726, + 141, + 741 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 49.5 + } + ], + "page_idx": 14, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 26, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 26, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "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, + 85, + 441, + 97 + ], + "lines": [ + { + "bbox": [ + 106, + 84, + 441, + 99 + ], + "spans": [ + { + "bbox": [ + 106, + 84, + 441, + 99 + ], + "score": 1.0, + "content": "Algorithm 1: Object-centric latent inference with background-aware slot attention.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "list", + "bbox": [ + 107, + 99, + 523, + 275 + ], + "lines": [ + { + "bbox": [ + 105, + 98, + 191, + 111 + ], + "spans": [ + { + "bbox": [ + 105, + 98, + 191, + 111 + ], + "score": 1.0, + "content": "Input: feat ∈ RN×D", + "type": "text" + } + ], + "index": 1, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 104, + 106, + 485, + 124 + ], + "spans": [ + { + "bbox": [ + 104, + 106, + 151, + 124 + ], + "score": 1.0, + "content": "Learnable:", + "type": "text" + }, + { + "bbox": [ + 151, + 110, + 204, + 122 + ], + "score": 0.91, + "content": "\\mu ^ { b } , \\sigma ^ { b } , \\mu ^ { f } , \\sigma ^ { f }", + "type": "inline_equation" + }, + { + "bbox": [ + 204, + 106, + 271, + 124 + ], + "score": 1.0, + "content": ": prior parameters,", + "type": "text" + }, + { + "bbox": [ + 272, + 110, + 330, + 123 + ], + "score": 0.92, + "content": "k , q ^ { b } , q ^ { f } , v ^ { b } , v ^ { f }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 106, + 485, + 124 + ], + "score": 1.0, + "content": ": linear mappings, GRUb, GRUf , MLPb, MLPf", + "type": "text" + } + ], + "index": 2, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 119, + 124, + 507, + 139 + ], + "spans": [ + { + "bbox": [ + 119, + 124, + 207, + 139 + ], + "score": 1.0, + "content": "slotb ∼ N b ∈ R1×D", + "type": "text" + }, + { + "bbox": [ + 399, + 128, + 507, + 139 + ], + "score": 1.0, + "content": "// Sampling slots from priors.", + "type": "text" + } + ], + "index": 3, + "is_list_end_line": true + }, + { + "bbox": [ + 119, + 135, + 217, + 150 + ], + "spans": [ + { + "bbox": [ + 119, + 135, + 217, + 150 + ], + "score": 1.0, + "content": "slotsf ∼ N f ∈ RK×D", + "type": "text" + } + ], + "index": 4, + "is_list_end_line": true + }, + { + "bbox": [ + 120, + 146, + 189, + 160 + ], + "spans": [ + { + "bbox": [ + 120, + 146, + 189, + 160 + ], + "score": 1.0, + "content": "for t = 1, · · · , T", + "type": "text" + } + ], + "index": 5, + "is_list_end_line": true + }, + { + "bbox": [ + 135, + 156, + 323, + 169 + ], + "spans": [ + { + "bbox": [ + 135, + 156, + 323, + 169 + ], + "score": 1.0, + "content": "slot prevb = slotb, slots prevf = slotsf", + "type": "text" + } + ], + "index": 6, + "is_list_end_line": true + }, + { + "bbox": [ + 136, + 168, + 523, + 192 + ], + "spans": [ + { + "bbox": [ + 136, + 177, + 204, + 189 + ], + "score": 1.0, + "content": "attn = Softmax", + "type": "text" + }, + { + "bbox": [ + 210, + 181, + 227, + 192 + ], + "score": 1.0, + "content": "√D", + "type": "text" + }, + { + "bbox": [ + 216, + 175, + 261, + 189 + ], + "score": 1.0, + "content": "1 k(feat) ·", + "type": "text" + }, + { + "bbox": [ + 266, + 168, + 378, + 190 + ], + "score": 1.0, + "content": "qb(slotb)f f \u0015T , dim=‘slot’!", + "type": "text" + }, + { + "bbox": [ + 398, + 176, + 523, + 189 + ], + "score": 1.0, + "content": "// Binding slots to object features.", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 135, + 196, + 307, + 209 + ], + "spans": [ + { + "bbox": [ + 135, + 196, + 156, + 209 + ], + "score": 1.0, + "content": "attn", + "type": "text" + }, + { + "bbox": [ + 156, + 197, + 172, + 207 + ], + "score": 0.66, + "content": "^ b =", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 196, + 307, + 209 + ], + "score": 1.0, + "content": "attn[0], attnf = attn[1:end]", + "type": "text" + } + ], + "index": 8, + "is_list_end_line": true + }, + { + "bbox": [ + 135, + 205, + 510, + 221 + ], + "spans": [ + { + "bbox": [ + 135, + 205, + 170, + 221 + ], + "score": 1.0, + "content": "updates", + "type": "text" + }, + { + "bbox": [ + 171, + 207, + 181, + 217 + ], + "score": 0.75, + "content": "^ { b } =", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 205, + 342, + 221 + ], + "score": 1.0, + "content": "WeightedMean(weights=attnb, values", + "type": "text" + }, + { + "bbox": [ + 342, + 207, + 356, + 217 + ], + "score": 0.35, + "content": "= \\boldsymbol { v } ^ { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 205, + 510, + 221 + ], + "score": 1.0, + "content": "(inputs)) // Aggregating update signals.", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 135, + 217, + 402, + 231 + ], + "spans": [ + { + "bbox": [ + 135, + 217, + 170, + 231 + ], + "score": 1.0, + "content": "updates", + "type": "text" + }, + { + "bbox": [ + 171, + 218, + 182, + 228 + ], + "score": 0.53, + "content": "f _ { = }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 217, + 343, + 231 + ], + "score": 1.0, + "content": "WeightedMean(weights=attnf , values", + "type": "text" + }, + { + "bbox": [ + 343, + 218, + 358, + 228 + ], + "score": 0.56, + "content": "\\scriptstyle \\operatorname { \\mathsf { \\Omega } } _ { 3 } = v ^ { f }", + "type": "inline_equation" + }, + { + "bbox": [ + 359, + 217, + 402, + 231 + ], + "score": 1.0, + "content": "(inputs))", + "type": "text" + } + ], + "index": 10, + "is_list_end_line": true + }, + { + "bbox": [ + 135, + 228, + 464, + 243 + ], + "spans": [ + { + "bbox": [ + 135, + 228, + 156, + 243 + ], + "score": 1.0, + "content": "slot", + "type": "text" + }, + { + "bbox": [ + 156, + 229, + 190, + 239 + ], + "score": 0.51, + "content": "{ \\ v O } ^ { b } = \\mathtt { G R U } ^ { b }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 228, + 353, + 243 + ], + "score": 1.0, + "content": "(state=slot prevb, inputs=updatesb)", + "type": "text" + }, + { + "bbox": [ + 399, + 230, + 464, + 241 + ], + "score": 1.0, + "content": "// Updating slots.", + "type": "text" + } + ], + "index": 11, + "is_list_end_line": true + }, + { + "bbox": [ + 135, + 239, + 366, + 252 + ], + "spans": [ + { + "bbox": [ + 135, + 239, + 225, + 252 + ], + "score": 1.0, + "content": "slotsf = GRUf (state", + "type": "text" + }, + { + "bbox": [ + 225, + 243, + 231, + 249 + ], + "score": 0.28, + "content": "", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 239, + 366, + 252 + ], + "score": 1.0, + "content": "slots prevf , inputs=updatesf )", + "type": "text" + } + ], + "index": 12, + "is_list_end_line": true + }, + { + "bbox": [ + 137, + 250, + 469, + 263 + ], + "spans": [ + { + "bbox": [ + 137, + 251, + 229, + 262 + ], + "score": 0.26, + "content": "\\mathsf { s } \\mathsf { l o t } ^ { b } + = \\mathsf { M L P } ^ { b } ( \\mathsf { s } \\mathsf { l o t } ^ { b } )", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 250, + 351, + 263 + ], + "score": 1.0, + "content": ", slotsf + = MLPf (slotsf )", + "type": "text" + }, + { + "bbox": [ + 398, + 251, + 469, + 263 + ], + "score": 1.0, + "content": "// Residual update.", + "type": "text" + } + ], + "index": 13, + "is_list_end_line": true + }, + { + "bbox": [ + 120, + 261, + 214, + 274 + ], + "spans": [ + { + "bbox": [ + 120, + 261, + 214, + 274 + ], + "score": 1.0, + "content": "return slotb, slotsf", + "type": "text" + } + ], + "index": 14, + "is_list_end_line": true + } + ], + "index": 7.5, + "bbox_fs": [ + 104, + 98, + 523, + 274 + ] + }, + { + "type": "table", + "bbox": [ + 109, + 303, + 296, + 340 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 109, + 303, + 296, + 340 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 109, + 303, + 296, + 340 + ], + "spans": [ + { + "bbox": [ + 109, + 303, + 296, + 340 + ], + "score": 0.964, + "html": "
ModelsLPIPS↓SSIM↑PSNR↑
uORF w/ view-space Backg.0.1510.79927.86
uORF (ours)0.0820.87229.60
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Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI个
uORF w/ view-space Backg.73.578.089.0
uORF (ours)74.378.888.8
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Both perceptual loss and adversarial loss are added after the first 100K iterations.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 24.5, + "bbox_fs": [ + 106, + 390, + 506, + 413 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 417, + 505, + 517 + ], + "lines": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 505, + 430 + ], + "score": 1.0, + "content": "Coarse-to-fine progressive training. For coarse training, we bilinearly downsample supervision", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 428, + 505, + 442 + ], + "spans": [ + { + "bbox": [ + 105, + 428, + 147, + 442 + ], + "score": 1.0, + "content": "images to", + "type": "text" + }, + { + "bbox": [ + 147, + 429, + 176, + 439 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 428, + 505, + 442 + ], + "score": 1.0, + "content": ". The coarse training lasts for 600K iterations. For fine training, we randomly crop", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 439, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 106, + 440, + 136, + 451 + ], + "score": 0.88, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 137, + 439, + 194, + 451 + ], + "score": 1.0, + "content": "patches from", + "type": "text" + }, + { + "bbox": [ + 194, + 440, + 234, + 450 + ], + "score": 0.88, + "content": "1 2 8 \\times 1 2 8", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 439, + 505, + 451 + ], + "score": 1.0, + "content": "images. The fine training lasts for 600K iterations. Our model is", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 506, + 464 + ], + "score": 1.0, + "content": "trained on a single Nvidia RTX 3090 GPU for about 6 days. For all networks except discriminator,", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 461, + 506, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 318, + 475 + ], + "score": 1.0, + "content": "we use Adam optimizer with learning rate 0.0003,", + "type": "text" + }, + { + "bbox": [ + 319, + 462, + 360, + 473 + ], + "score": 0.89, + "content": "\\beta _ { 1 } = 0 . 9", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 461, + 379, + 475 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 380, + 462, + 430, + 473 + ], + "score": 0.91, + "content": "\\beta _ { 2 } ~ = ~ 0 . 9 9 9", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 461, + 506, + 475 + ], + "score": 1.0, + "content": ". Learning rate is", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 506, + 486 + ], + "score": 1.0, + "content": "exponentially decreased by half for every 200K iterations until after 600K iterations. We also adopt", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 506, + 496 + ], + "score": 1.0, + "content": "the learning rate warm-up from the slot attention paper (Locatello et al., 2020) for the first 1K", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 505, + 507 + ], + "score": 1.0, + "content": "iterations. We initialize decoder networks with Xavier’s initialization. In each batch, we input one", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 505, + 473, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 505, + 473, + 518 + ], + "score": 1.0, + "content": "image and neurally render 4 images for supervision. We render each pixel with 64 samples.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 417, + 506, + 518 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 527, + 202, + 540 + ], + "lines": [ + { + "bbox": [ + 105, + 526, + 204, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 204, + 542 + ], + "score": 1.0, + "content": "C EXPERIMENTS", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 106, + 549, + 363, + 561 + ], + "lines": [ + { + "bbox": [ + 105, + 546, + 365, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 546, + 365, + 564 + ], + "score": 1.0, + "content": "In this section we provide further details on experiment settings.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 546, + 365, + 564 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 567, + 157, + 578 + ], + "lines": [ + { + "bbox": [ + 105, + 565, + 159, + 580 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 159, + 580 + ], + "score": 1.0, + "content": "C.1 DATA", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 585, + 505, + 628 + ], + "lines": [ + { + "bbox": [ + 105, + 583, + 507, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 507, + 597 + ], + "score": 1.0, + "content": "For the construction of all three datasets, the training/testing sets share the same pool of textures,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 596, + 505, + 608 + ], + "score": 1.0, + "content": "shapes, and colors. The scenes in both sets differ in the spatial arrangement of objects, as well as", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "spans": [ + { + "bbox": [ + 105, + 606, + 505, + 619 + ], + "score": 1.0, + "content": "the appearance differences induced by soft shadows and inter-reflections due to global illumination", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 616, + 138, + 630 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 138, + 630 + ], + "score": 1.0, + "content": "effects.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 583, + 507, + 630 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 634, + 505, + 712 + ], + "lines": [ + { + "bbox": [ + 106, + 635, + 504, + 647 + ], + "spans": [ + { + "bbox": [ + 106, + 635, + 504, + 647 + ], + "score": 1.0, + "content": "CLEVR-567. In the CLEVR-567 dataset, each object’s shape is randomly chosen from three", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "spans": [ + { + "bbox": [ + 105, + 646, + 506, + 659 + ], + "score": 1.0, + "content": "geometric primitives (i.e., cylinder, cube and sphere). The color is randomly chosen from", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 657, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 505, + 669 + ], + "score": 1.0, + "content": "{red, blue, purple, gray, cyan, yellow, green, brown}. There are two possible sizes for each", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 667, + 506, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 506, + 681 + ], + "score": 1.0, + "content": "object. When rendering images, we use the same camera intrinsic as original CLEVR dataset (John-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 679, + 505, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 679, + 505, + 691 + ], + "score": 1.0, + "content": "son et al., 2017). We do not use the visibility check due to our 360 degree multi-view setting, so we", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 688, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 688, + 216, + 703 + ], + "score": 1.0, + "content": "increase elevation angle by", + "type": "text" + }, + { + "bbox": [ + 217, + 689, + 239, + 701 + ], + "score": 0.89, + "content": "\\pi / 1 5", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 688, + 505, + 703 + ], + "score": 1.0, + "content": "to increase the chance of object visibility. Rendering setting is the", + "type": "text" + } + ], + "index": 47 + }, + { + "bbox": [ + 106, + 700, + 192, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 192, + 713 + ], + "score": 1.0, + "content": "same for all datasets.", + "type": "text" + } + ], + "index": 48 + } + ], + "index": 45, + "bbox_fs": [ + 105, + 635, + 506, + 713 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 717, + 504, + 740 + ], + "lines": [ + { + "bbox": [ + 105, + 716, + 505, + 730 + ], + "spans": [ + { + "bbox": [ + 105, + 716, + 320, + 730 + ], + "score": 1.0, + "content": "For CLEVR-567 dataset we set the latent dimension", + "type": "text" + }, + { + "bbox": [ + 320, + 718, + 353, + 728 + ], + "score": 0.89, + "content": "D = 4 0", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 716, + 505, + 730 + ], + "score": 1.0, + "content": "and the maximum number of objects", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 107, + 726, + 141, + 741 + ], + "spans": [ + { + "bbox": [ + 107, + 729, + 135, + 738 + ], + "score": 0.88, + "content": "K = 8", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 726, + 141, + 741 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 49.5, + "bbox_fs": [ + 105, + 716, + 505, + 741 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 158, + 81, + 482, + 209 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 158, + 81, + 482, + 209 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 158, + 81, + 482, + 209 + ], + "spans": [ + { + "bbox": [ + 158, + 81, + 482, + 209 + ], + "score": 0.95, + "type": "image", + "image_path": "86827f15238e9fd22616cf13abe4aa97a44a41899cbda2d6a55ff8ca68513a13.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 158, + 81, + 482, + 123.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 158, + 123.66666666666666, + 482, + 166.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 158, + 166.33333333333331, + 482, + 208.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 121, + 212, + 478, + 222 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 129, + 210, + 480, + 224 + ], + "spans": [ + { + "bbox": [ + 129, + 210, + 480, + 224 + ], + "score": 1.0, + "content": "Figure 7: Visual comparison for representing background on view-space on novel view synthesis.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + } + ], + "index": 2.0 + }, + { + "type": "image", + "bbox": [ + 207, + 225, + 403, + 427 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 207, + 225, + 403, + 427 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 207, + 225, + 403, + 427 + ], + "spans": [ + { + "bbox": [ + 207, + 225, + 403, + 427 + ], + "score": 0.966, + "type": "image", + "image_path": "d4b9384222b30c14917df03f0898acd42366ba5482f07c370cfbd81fe1b4c4a6.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 207, + 225, + 403, + 238.46666666666667 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 207, + 238.46666666666667, + 403, + 251.93333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 207, + 251.93333333333334, + 403, + 265.4 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 207, + 265.4, + 403, + 278.8666666666666 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 207, + 278.8666666666666, + 403, + 292.33333333333326 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 207, + 292.33333333333326, + 403, + 305.7999999999999 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 207, + 305.7999999999999, + 403, + 319.26666666666654 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 207, + 319.26666666666654, + 403, + 332.7333333333332 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 207, + 332.7333333333332, + 403, + 346.1999999999998 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 207, + 346.1999999999998, + 403, + 359.66666666666646 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 207, + 359.66666666666646, + 403, + 373.1333333333331 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 207, + 373.1333333333331, + 403, + 386.59999999999974 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 207, + 386.59999999999974, + 403, + 400.0666666666664 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 207, + 400.0666666666664, + 403, + 413.533333333333 + ], + "spans": [], + "index": 17 + }, + { + "bbox": [ + 207, + 413.533333333333, + 403, + 426.99999999999966 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 432, + 504, + 452 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 106, + 432, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 505, + 443 + ], + "score": 1.0, + "content": "Figure 8: Visual comparison on ablation for foreground locality constraint. We show examples in CLEVR-567", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 440, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 505, + 453 + ], + "score": 1.0, + "content": "testset. We can see that our foreground locality box helps prevent object slots from fitting background segments.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + } + ], + "index": 15.25 + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 497 + ], + "lines": [ + { + "bbox": [ + 106, + 463, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 505, + 477 + ], + "score": 1.0, + "content": "Room-Chair. For the object shape we use a chair model‡ from ShapeNet (Chang et al., 2015). We", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 475, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 488 + ], + "score": 1.0, + "content": "use the same material and colors as CLEVR-567. For Room-Chair and Room-Diverse datasets, we", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 486, + 419, + 498 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 203, + 498 + ], + "score": 1.0, + "content": "set the latent dimension", + "type": "text" + }, + { + "bbox": [ + 204, + 486, + 237, + 496 + ], + "score": 0.91, + "content": "D = 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 237, + 486, + 386, + 498 + ], + "score": 1.0, + "content": "and the maximum number of objects", + "type": "text" + }, + { + "bbox": [ + 387, + 487, + 415, + 496 + ], + "score": 0.9, + "content": "K = 5", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 486, + 419, + 498 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 505, + 546 + ], + "lines": [ + { + "bbox": [ + 106, + 502, + 505, + 514 + ], + "spans": [ + { + "bbox": [ + 106, + 502, + 505, + 514 + ], + "score": 1.0, + "content": "Room-Diverse. 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"Figure 8: Visual comparison on ablation for foreground locality constraint. We show examples in CLEVR-567", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 440, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 440, + 505, + 453 + ], + "score": 1.0, + "content": "testset. We can see that our foreground locality box helps prevent object slots from fitting background segments.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + } + ], + "index": 15.25 + }, + { + "type": "text", + "bbox": [ + 107, + 464, + 505, + 497 + ], + "lines": [ + { + "bbox": [ + 106, + 463, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 505, + 477 + ], + "score": 1.0, + "content": "Room-Chair. For the object shape we use a chair model‡ from ShapeNet (Chang et al., 2015). We", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 475, + 505, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 505, + 488 + ], + "score": 1.0, + "content": "use the same material and colors as CLEVR-567. 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The encoder is similar to ours in Figure 9, but the basic number of channels is", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 639, + 506, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 506, + 651 + ], + "score": 1.0, + "content": "increased from 64 to 256 (and thus the number of channels of inputs to Conv5 and Conv6 is 512).", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 649, + 228, + 661 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 228, + 661 + ], + "score": 1.0, + "content": "The number of slot is set to 1.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 34.5, + "bbox_fs": [ + 105, + 616, + 506, + 661 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 670, + 245, + 682 + ], + "lines": [ + { + "bbox": [ + 106, + 669, + 246, + 685 + ], + "spans": [ + { + "bbox": [ + 106, + 669, + 246, + 685 + ], + "score": 1.0, + "content": "D ADDITIONAL RESULTS", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 107, + 690, + 504, + 713 + ], + "lines": [ + { + "bbox": [ + 105, + 690, + 506, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 506, + 704 + ], + "score": 1.0, + "content": "Generalization to unseen objects. 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Density", + "type": "text" + }, + { + "bbox": [ + 421, + 281, + 427, + 289 + ], + "score": 0.79, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 279, + 507, + 291 + ], + "score": 1.0, + "content": "is activated by ReLU.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 288, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 506, + 301 + ], + "score": 1.0, + "content": "Since estimating specularity from a single image is intrinsically ambiguous, we assume Lambertian surfaces and", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 297, + 239, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 239, + 310 + ], + "score": 1.0, + "content": "do not use the ray direction as input.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "table", + "bbox": [ + 107, + 334, + 297, + 370 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 107, + 334, + 297, + 370 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 334, + 297, + 370 + ], + "spans": [ + { + "bbox": [ + 107, + 334, + 297, + 370 + ], + "score": 0.966, + "html": "
ModelsLPIPS↓SSIM↑PSNR↑
uORF on seen shape testset0.17290.709425.96
uORF on unseen shape testset0.17710.712526.16
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Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI↑
uORF on seen shape testset56.965.667.9
uORF on unseen shape testset57.066.167.7
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To this end, we construct another test set for Room-Diverse. All test objects in the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 432, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 505, + 443 + ], + "score": 1.0, + "content": "new test set are drawn from a pool of 500 shapenet chairs that are completely disjoint from the 1200", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "training chairs. All other settings are the same as the original test set. We show quantitative results in", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 505, + 466 + ], + "score": 1.0, + "content": "Table 12 for novel view synthesis and in Table 13 for segmentation. 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The mean ARI", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 308, + 622 + ], + "score": 1.0, + "content": "suggests good segmentation results (very close to", + "type": "text" + }, + { + "bbox": [ + 308, + 609, + 336, + 619 + ], + "score": 0.89, + "content": "7 8 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "as reported in Table 2 in our main paper),", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 123, + 633 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 620, + 165, + 631 + ], + "score": 0.9, + "content": "\\bar { \\sigma } = 1 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 619, + 505, + 633 + ], + "score": 1.0, + "content": "indicates that different seeds all lead to results close to such good ARI performance.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 637, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "Additional qualitative results. 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Density", + "type": "text" + }, + { + "bbox": [ + 421, + 281, + 427, + 289 + ], + "score": 0.79, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 279, + 507, + 291 + ], + "score": 1.0, + "content": "is activated by ReLU.", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 288, + 506, + 301 + ], + "spans": [ + { + "bbox": [ + 105, + 288, + 506, + 301 + ], + "score": 1.0, + "content": "Since estimating specularity from a single image is intrinsically ambiguous, we assume Lambertian surfaces and", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 297, + 239, + 310 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 239, + 310 + ], + "score": 1.0, + "content": "do not use the ray direction as input.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 5.5 + } + ], + "index": 3.25 + }, + { + "type": "table", + "bbox": [ + 107, + 334, + 297, + 370 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 107, + 334, + 297, + 370 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 107, + 334, + 297, + 370 + ], + "spans": [ + { + "bbox": [ + 107, + 334, + 297, + 370 + ], + "score": 0.966, + "html": "
ModelsLPIPS↓SSIM↑PSNR↑
uORF on seen shape testset0.17290.709425.96
uORF on unseen shape testset0.17710.712526.16
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Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI↑
uORF on seen shape testset56.965.667.9
uORF on unseen shape testset57.066.167.7
", + "type": "table", + "image_path": "c0a4a35ce3310acf13ab40a7ca4f4dfa559d2c6db827facdc6dc01d4a88b8682.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 312, + 321, + 507, + 337.6666666666667 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 312, + 337.6666666666667, + 507, + 354.33333333333337 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 312, + 354.33333333333337, + 507, + 371.00000000000006 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "table_caption", + "bbox": [ + 312, + 379, + 505, + 397 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 312, + 378, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 312, + 378, + 505, + 389 + ], + "score": 1.0, + "content": "Table 13: Unsupervised segmentation in 3D results on", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 312, + 387, + 473, + 398 + ], + "spans": [ + { + "bbox": [ + 312, + 387, + 473, + 398 + ], + "score": 1.0, + "content": "unseen/seen shape testset of Room-Diverse.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5 + } + ], + "index": 13.75 + }, + { + "type": "text", + "bbox": [ + 107, + 420, + 505, + 487 + ], + "lines": [], + "index": 20.5, + "bbox_fs": [ + 105, + 420, + 506, + 489 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 493, + 505, + 559 + ], + "lines": [ + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 106, + 492, + 506, + 505 + ], + "score": 1.0, + "content": "Generalization to real images. We also take a step further to test our pretrained model’s general-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "ization on real photos. To do this, we use uORF trained on Room-Diverse. We take a few real photos", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 515, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 515, + 505, + 527 + ], + "score": 1.0, + "content": "by a cellphone, providing an input image and a few reference images. We show the visual results in", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 505, + 538 + ], + "score": 1.0, + "content": "Figure 10. Although the real photo has a different imaging process and consists of unseen objects", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 536, + 507, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 507, + 550 + ], + "score": 1.0, + "content": "and background, uORF is able to discover all objects with roughly correct positions and orientations,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 547, + 372, + 560 + ], + "spans": [ + { + "bbox": [ + 104, + 547, + 372, + 560 + ], + "score": 1.0, + "content": "yielding plausible segmentation results and object-moving results.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26.5, + "bbox_fs": [ + 104, + 492, + 507, + 560 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 565, + 505, + 631 + ], + "lines": [ + { + "bbox": [ + 106, + 565, + 505, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 505, + 577 + ], + "score": 1.0, + "content": "Analysis on the sensitivity to slot initialization. We test the robustness of our model to the slot", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 576, + 504, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 504, + 587 + ], + "score": 1.0, + "content": "initialization on the Room-Chair dataset. For each test scene, we now use 5 different random seeds", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 586, + 506, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 309, + 600 + ], + "score": 1.0, + "content": "for sampling initial centers. We compute the mean", + "type": "text" + }, + { + "bbox": [ + 309, + 589, + 317, + 599 + ], + "score": 0.83, + "content": "\\mu", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 586, + 348, + 600 + ], + "score": 1.0, + "content": "and std", + "type": "text" + }, + { + "bbox": [ + 349, + 589, + 356, + 597 + ], + "score": 0.8, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 586, + 506, + 600 + ], + "score": 1.0, + "content": "of ARI over the 5 seeds. We average", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 598, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 598, + 307, + 610 + ], + "score": 1.0, + "content": "them over the 500 test scenes. The averaged mean", + "type": "text" + }, + { + "bbox": [ + 307, + 600, + 314, + 609 + ], + "score": 0.83, + "content": "\\bar { \\mu }", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 598, + 354, + 610 + ], + "score": 1.0, + "content": "of ARI is", + "type": "text" + }, + { + "bbox": [ + 354, + 598, + 382, + 609 + ], + "score": 0.89, + "content": "7 8 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 383, + 598, + 399, + 610 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 400, + 599, + 407, + 608 + ], + "score": 0.81, + "content": "\\bar { \\sigma }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 598, + 417, + 610 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 417, + 598, + 439, + 609 + ], + "score": 0.89, + "content": "1 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 598, + 505, + 610 + ], + "score": 1.0, + "content": ". The mean ARI", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 609, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 105, + 609, + 308, + 622 + ], + "score": 1.0, + "content": "suggests good segmentation results (very close to", + "type": "text" + }, + { + "bbox": [ + 308, + 609, + 336, + 619 + ], + "score": 0.89, + "content": "7 8 . 8 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 609, + 506, + 622 + ], + "score": 1.0, + "content": "as reported in Table 2 in our main paper),", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 619, + 505, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 123, + 633 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 620, + 165, + 631 + ], + "score": 0.9, + "content": "\\bar { \\sigma } = 1 . 7 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 619, + 505, + 633 + ], + "score": 1.0, + "content": "indicates that different seeds all lead to results close to such good ARI performance.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 565, + 506, + 633 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 637, + 505, + 704 + ], + "lines": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 106, + 637, + 505, + 649 + ], + "score": 1.0, + "content": "Additional qualitative results. We show additional qualitative results for our experiments in the", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 649, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 660 + ], + "score": 1.0, + "content": "main manuscript. We show additional examples for scene segmentation in Figure 11 and Figure 12,", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "score": 1.0, + "content": "for novel view synthesis in Figure 13, Figure 14 and Figure 15, for scene editing in Figure 16 and", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 670, + 506, + 683 + ], + "spans": [ + { + "bbox": [ + 105, + 670, + 506, + 683 + ], + "score": 1.0, + "content": "Figure 17, for evaluating losses in Figure 18, for generalization to challenging spatial arrangement", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "spans": [ + { + "bbox": [ + 105, + 681, + 506, + 694 + ], + "score": 1.0, + "content": "in Figure 19 (note that in the packed-CLEVR-11 dataset we only use a single size for higher object", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 691, + 407, + 704 + ], + "spans": [ + { + "bbox": [ + 105, + 691, + 407, + 704 + ], + "score": 1.0, + "content": "visibility), and for generalization to unseen object appearance in Figure 20.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 637, + 506, + 704 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 708, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 708, + 505, + 721 + ], + "score": 1.0, + "content": "Failure case. In our experiments, we observed a type of failure which we call “attention rank-", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 720, + 281, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 281, + 733 + ], + "score": 1.0, + "content": "collapse”. We show examples in Figure 21.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5, + "bbox_fs": [ + 106, + 708, + 505, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 83, + 502, + 214 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 83, + 502, + 214 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 83, + 502, + 214 + ], + "spans": [ + { + "bbox": [ + 108, + 83, + 502, + 214 + ], + "score": 0.968, + "type": "image", + "image_path": "10704020334297855d27e977f22568e81b87c24a9887ad3cc58086fc89b6e228.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 83, + 502, + 126.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 126.66666666666666, + 502, + 170.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 170.33333333333331, + 502, + 213.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 104, + 217, + 504, + 236 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 216, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 505, + 228 + ], + "score": 1.0, + "content": "Figure 10: Demonstration on generalization to real photos. We use uORF pretrained on Room-Diverse and take", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 225, + 189, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 189, + 237 + ], + "score": 1.0, + "content": "photos by a cellphone.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 250, + 505, + 328 + ], + "lines": [ + { + "bbox": [ + 104, + 249, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 104, + 249, + 505, + 263 + ], + "score": 1.0, + "content": "“Attention rank-collapse” refers to that all the foreground object slots have (nearly) the same attention", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "score": 1.0, + "content": "map and collapse to the same representation. Each collapsed slot decodes simply nothing (or all", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 272, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 286 + ], + "score": 1.0, + "content": "the foreground objects). This “attention rank-collapse” happens when the initialization is prompt", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 283, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 506, + 297 + ], + "score": 1.0, + "content": "to a degenerate solution for the slot attention. It occasionally happens and empirically changing the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 294, + 506, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 506, + 307 + ], + "score": 1.0, + "content": "initialization seed can address it. A related rank-collapse problem is discussed in Dong et al. (2021),", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 306, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 318 + ], + "score": 1.0, + "content": "which suggests that adding some architectural inductive bias can largely alleviate the problem. We", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 317, + 353, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 353, + 329 + ], + "score": 1.0, + "content": "hope future research can address this problem fundamentally.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8 + }, + { + "type": "title", + "bbox": [ + 108, + 336, + 271, + 348 + ], + "lines": [ + { + "bbox": [ + 105, + 335, + 272, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 272, + 351 + ], + "score": 1.0, + "content": "E COMPARISON TO GIRAFFE", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 356, + 506, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 356, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 506, + 369 + ], + "score": 1.0, + "content": "Our work has a fundamentally different focus compared to GIRAFFE (Niemeyer & Geiger, 2020).", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "While GIRAFFE focuses on unconditional generation and enables multi-object scene synthesis and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "score": 1.0, + "content": "rendering, the goal of our uORF is to simultaneously infer 3D multi-object scene representations from", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 389, + 504, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 504, + 401 + ], + "score": 1.0, + "content": "a single image, in addition to using those representations for rendering and editing as in GIRAFFE.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 106, + 405, + 359, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 405, + 360, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 360, + 417 + ], + "score": 1.0, + "content": "E.1 COMPARISONS BETWEEN OUR UORF AND GIRAFFE", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 421, + 505, + 542 + ], + "lines": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "To demonstrate that the inference of such multi-object scenes is highly non-trivial, we compare with", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 432, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 505, + 445 + ], + "score": 1.0, + "content": "GIRAFFE on both CLEVR-567 and Room-Chair (we cannot compare on their datasets because they", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "only have a single image for each scene). To train GIRAFFE on our datasets, we use the official repo§", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "score": 1.0, + "content": "and the same hyper-parameters that GIRAFFE authors used for their CLEVR-2345 dataset, except", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "for a few adaptive changes to our datasets: (1) We try different sizes for the object slot, because", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 477, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 506, + 488 + ], + "score": 1.0, + "content": "CLEVR-2345 only uses small objects while our datasets both contain larger objects. Specifically,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 133, + 500 + ], + "score": 1.0, + "content": "we try", + "type": "text" + }, + { + "bbox": [ + 133, + 488, + 147, + 498 + ], + "score": 0.8, + "content": "2 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 487, + 151, + 500 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 151, + 488, + 173, + 498 + ], + "score": 0.83, + "content": "1 . 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 487, + 193, + 500 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 194, + 488, + 207, + 498 + ], + "score": 0.87, + "content": "1 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "original size, and use the one with the lowest FID for each dataset. (2) We", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 499, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 506, + 510 + ], + "score": 1.0, + "content": "adjust the camera elevation angle and focal lengths to match our datasets. (3) We set the number of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "objects to 4 for the Room-Chair dataset because each scene has no more than 4 chairs. We train the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "GIRAFFE models for around 500K iterations on 128-by-128 images, such that FID does not drop", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 532, + 147, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 147, + 545 + ], + "score": 1.0, + "content": "anymore.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 547, + 505, + 636 + ], + "lines": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "For GIRAFFE to do inference, we sample object (including background) latents and positions in", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "the same manner as training, and then we optimize for L2 reconstruction loss for both the latents", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "and the positions. We use Adam and do a learning rate sweep to select the one that leads to the best", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "score": 1.0, + "content": "reconstruction loss. We divide the learning rate by 10 when the loss plateaus. We do this learning rate", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 211, + 604 + ], + "score": 1.0, + "content": "decay twice. We sweep in", + "type": "text" + }, + { + "bbox": [ + 211, + 592, + 316, + 604 + ], + "score": 0.89, + "content": "\\{ 0 . 1 , 0 . 0 1 , 0 . 0 0 1 , 0 . 0 0 0 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "and find that 0.01 works best. Since each scene", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 603, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 505, + 614 + ], + "score": 1.0, + "content": "has an unknown number of objects, we set the number to the maximum number across all scenes. It", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 614, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 625 + ], + "score": 1.0, + "content": "converges at around 150 iterations on CLEVR-567 and around 300 iterations on Room-Chair. Thus", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 624, + 380, + 638 + ], + "spans": [ + { + "bbox": [ + 104, + 624, + 380, + 638 + ], + "score": 1.0, + "content": "we set the maximum iteration to 300 and 500 for them, respectively.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 641, + 505, + 686 + ], + "lines": [ + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "score": 1.0, + "content": "We also compare with a GIRAFFE model that is pretrained on CLEVR-2345. The pretrained model", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 652, + 506, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 339, + 665 + ], + "score": 1.0, + "content": "is provided by the authors. The pretrained model yields", + "type": "text" + }, + { + "bbox": [ + 339, + 653, + 379, + 663 + ], + "score": 0.76, + "content": "\\mathrm { F I D = 8 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 652, + 451, + 665 + ], + "score": 1.0, + "content": "on CLEVR-567", + "type": "text" + }, + { + "bbox": [ + 451, + 653, + 491, + 663 + ], + "score": 0.82, + "content": "\\mathrm { { F I D } = 6 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 652, + 506, + 665 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 663, + 506, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 506, + 677 + ], + "score": 1.0, + "content": "CLEVR-2345), indicating that it could be a valid baseline even though the two datasets are mildly", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 673, + 146, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 146, + 687 + ], + "score": 1.0, + "content": "different.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5 + }, + { + "type": "text", + "bbox": [ + 109, + 691, + 504, + 714 + ], + "lines": [ + { + "bbox": [ + 107, + 692, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 107, + 692, + 505, + 703 + ], + "score": 1.0, + "content": "We show input-view reconstruction and novel view synthesis results in Table 14 and Table 15, and", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 702, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 106, + 702, + 506, + 714 + ], + "score": 1.0, + "content": "we show qualitative comparison in Figure 22 and Figure 23. We can see that GIRAFFE fails in", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 41.5 + } + ], + "page_idx": 17, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 119, + 722, + 326, + 731 + ], + "lines": [ + { + "bbox": [ + 119, + 720, + 328, + 732 + ], + "spans": [ + { + "bbox": [ + 119, + 720, + 328, + 732 + ], + "score": 1.0, + "content": "§https://github.com/autonomousvision/giraffe", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 105, + 26, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 105, + 26, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 752, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 299, + 750, + 312, + 763 + ], + "spans": [ + { + "bbox": [ + 299, + 750, + 312, + 763 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 13, + "width": 13 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "image", + "bbox": [ + 108, + 83, + 502, + 214 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 108, + 83, + 502, + 214 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 108, + 83, + 502, + 214 + ], + "spans": [ + { + "bbox": [ + 108, + 83, + 502, + 214 + ], + "score": 0.968, + "type": "image", + "image_path": "10704020334297855d27e977f22568e81b87c24a9887ad3cc58086fc89b6e228.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 108, + 83, + 502, + 126.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 108, + 126.66666666666666, + 502, + 170.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 108, + 170.33333333333331, + 502, + 213.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 104, + 217, + 504, + 236 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 216, + 505, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 505, + 228 + ], + "score": 1.0, + "content": "Figure 10: Demonstration on generalization to real photos. We use uORF pretrained on Room-Diverse and take", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 225, + 189, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 189, + 237 + ], + "score": 1.0, + "content": "photos by a cellphone.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 250, + 505, + 328 + ], + "lines": [ + { + "bbox": [ + 104, + 249, + 505, + 263 + ], + "spans": [ + { + "bbox": [ + 104, + 249, + 505, + 263 + ], + "score": 1.0, + "content": "“Attention rank-collapse” refers to that all the foreground object slots have (nearly) the same attention", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "spans": [ + { + "bbox": [ + 105, + 262, + 505, + 275 + ], + "score": 1.0, + "content": "map and collapse to the same representation. Each collapsed slot decodes simply nothing (or all", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 272, + 505, + 286 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 286 + ], + "score": 1.0, + "content": "the foreground objects). This “attention rank-collapse” happens when the initialization is prompt", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 283, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 506, + 297 + ], + "score": 1.0, + "content": "to a degenerate solution for the slot attention. It occasionally happens and empirically changing the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 294, + 506, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 506, + 307 + ], + "score": 1.0, + "content": "initialization seed can address it. A related rank-collapse problem is discussed in Dong et al. (2021),", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 306, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 505, + 318 + ], + "score": 1.0, + "content": "which suggests that adding some architectural inductive bias can largely alleviate the problem. We", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 317, + 353, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 317, + 353, + 329 + ], + "score": 1.0, + "content": "hope future research can address this problem fundamentally.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8, + "bbox_fs": [ + 104, + 249, + 506, + 329 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 336, + 271, + 348 + ], + "lines": [ + { + "bbox": [ + 105, + 335, + 272, + 351 + ], + "spans": [ + { + "bbox": [ + 105, + 335, + 272, + 351 + ], + "score": 1.0, + "content": "E COMPARISON TO GIRAFFE", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 356, + 506, + 400 + ], + "lines": [ + { + "bbox": [ + 106, + 356, + 506, + 369 + ], + "spans": [ + { + "bbox": [ + 106, + 356, + 506, + 369 + ], + "score": 1.0, + "content": "Our work has a fundamentally different focus compared to GIRAFFE (Niemeyer & Geiger, 2020).", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "While GIRAFFE focuses on unconditional generation and enables multi-object scene synthesis and", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "spans": [ + { + "bbox": [ + 105, + 377, + 506, + 391 + ], + "score": 1.0, + "content": "rendering, the goal of our uORF is to simultaneously infer 3D multi-object scene representations from", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 389, + 504, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 389, + 504, + 401 + ], + "score": 1.0, + "content": "a single image, in addition to using those representations for rendering and editing as in GIRAFFE.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 356, + 506, + 401 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 405, + 359, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 405, + 360, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 405, + 360, + 417 + ], + "score": 1.0, + "content": "E.1 COMPARISONS BETWEEN OUR UORF AND GIRAFFE", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 106, + 421, + 505, + 542 + ], + "lines": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 505, + 434 + ], + "score": 1.0, + "content": "To demonstrate that the inference of such multi-object scenes is highly non-trivial, we compare with", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 432, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 505, + 445 + ], + "score": 1.0, + "content": "GIRAFFE on both CLEVR-567 and Room-Chair (we cannot compare on their datasets because they", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 105, + 443, + 505, + 456 + ], + "score": 1.0, + "content": "only have a single image for each scene). To train GIRAFFE on our datasets, we use the official repo§", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 505, + 467 + ], + "score": 1.0, + "content": "and the same hyper-parameters that GIRAFFE authors used for their CLEVR-2345 dataset, except", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "score": 1.0, + "content": "for a few adaptive changes to our datasets: (1) We try different sizes for the object slot, because", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 477, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 506, + 488 + ], + "score": 1.0, + "content": "CLEVR-2345 only uses small objects while our datasets both contain larger objects. Specifically,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 487, + 506, + 500 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 133, + 500 + ], + "score": 1.0, + "content": "we try", + "type": "text" + }, + { + "bbox": [ + 133, + 488, + 147, + 498 + ], + "score": 0.8, + "content": "2 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 487, + 151, + 500 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 151, + 488, + 173, + 498 + ], + "score": 0.83, + "content": "1 . 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 487, + 193, + 500 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 194, + 488, + 207, + 498 + ], + "score": 0.87, + "content": "1 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 487, + 506, + 500 + ], + "score": 1.0, + "content": "original size, and use the one with the lowest FID for each dataset. (2) We", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 499, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 106, + 499, + 506, + 510 + ], + "score": 1.0, + "content": "adjust the camera elevation angle and focal lengths to match our datasets. (3) We set the number of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "objects to 4 for the Room-Chair dataset because each scene has no more than 4 chairs. We train the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 105, + 519, + 505, + 533 + ], + "score": 1.0, + "content": "GIRAFFE models for around 500K iterations on 128-by-128 images, such that FID does not drop", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 532, + 147, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 147, + 545 + ], + "score": 1.0, + "content": "anymore.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 421, + 506, + 545 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 547, + 505, + 636 + ], + "lines": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "For GIRAFFE to do inference, we sample object (including background) latents and positions in", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 559, + 506, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 506, + 572 + ], + "score": 1.0, + "content": "the same manner as training, and then we optimize for L2 reconstruction loss for both the latents", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "spans": [ + { + "bbox": [ + 106, + 570, + 505, + 582 + ], + "score": 1.0, + "content": "and the positions. We use Adam and do a learning rate sweep to select the one that leads to the best", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 505, + 593 + ], + "score": 1.0, + "content": "reconstruction loss. We divide the learning rate by 10 when the loss plateaus. We do this learning rate", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 591, + 506, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 211, + 604 + ], + "score": 1.0, + "content": "decay twice. We sweep in", + "type": "text" + }, + { + "bbox": [ + 211, + 592, + 316, + 604 + ], + "score": 0.89, + "content": "\\{ 0 . 1 , 0 . 0 1 , 0 . 0 0 1 , 0 . 0 0 0 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 591, + 506, + 604 + ], + "score": 1.0, + "content": "and find that 0.01 works best. Since each scene", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 603, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 505, + 614 + ], + "score": 1.0, + "content": "has an unknown number of objects, we set the number to the maximum number across all scenes. It", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 614, + 505, + 625 + ], + "spans": [ + { + "bbox": [ + 105, + 614, + 505, + 625 + ], + "score": 1.0, + "content": "converges at around 150 iterations on CLEVR-567 and around 300 iterations on Room-Chair. Thus", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 624, + 380, + 638 + ], + "spans": [ + { + "bbox": [ + 104, + 624, + 380, + 638 + ], + "score": 1.0, + "content": "we set the maximum iteration to 300 and 500 for them, respectively.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 32.5, + "bbox_fs": [ + 104, + 547, + 506, + 638 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 641, + 505, + 686 + ], + "lines": [ + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 641, + 506, + 654 + ], + "score": 1.0, + "content": "We also compare with a GIRAFFE model that is pretrained on CLEVR-2345. The pretrained model", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 652, + 506, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 339, + 665 + ], + "score": 1.0, + "content": "is provided by the authors. The pretrained model yields", + "type": "text" + }, + { + "bbox": [ + 339, + 653, + 379, + 663 + ], + "score": 0.76, + "content": "\\mathrm { F I D = 8 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 652, + 451, + 665 + ], + "score": 1.0, + "content": "on CLEVR-567", + "type": "text" + }, + { + "bbox": [ + 451, + 653, + 491, + 663 + ], + "score": 0.82, + "content": "\\mathrm { { F I D } = 6 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 491, + 652, + 506, + 665 + ], + "score": 1.0, + "content": "on", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 663, + 506, + 677 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 506, + 677 + ], + "score": 1.0, + "content": "CLEVR-2345), indicating that it could be a valid baseline even though the two datasets are mildly", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 673, + 146, + 687 + ], + "spans": [ + { + "bbox": [ + 105, + 673, + 146, + 687 + ], + "score": 1.0, + "content": "different.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 641, + 506, + 687 + ] + }, + { + "type": "text", + "bbox": [ + 109, + 691, + 504, + 714 + ], + "lines": [ + { + "bbox": [ + 107, + 692, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 107, + 692, + 505, + 703 + ], + "score": 1.0, + "content": "We show input-view reconstruction and novel view synthesis results in Table 14 and Table 15, and", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 702, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 106, + 702, + 506, + 714 + ], + "score": 1.0, + "content": "we show qualitative comparison in Figure 22 and Figure 23. We can see that GIRAFFE fails in", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 263, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 505, + 278 + ], + "score": 1.0, + "content": "reconstructing the multi-object scenes from a single image, as well as novel view synthesis. Let alone", + "type": "text", + "cross_page": true + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 276, + 189, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 276, + 189, + 287 + ], + "score": 1.0, + "content": "segmentation in 3D.", + "type": "text", + "cross_page": true + } + ], + "index": 9 + } + ], + "index": 41.5, + "bbox_fs": [ + 106, + 692, + 506, + 714 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "table", + "bbox": [ + 106, + 80, + 514, + 142 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 106, + 80, + 514, + 142 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 80, + 514, + 142 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 514, + 142 + ], + "score": 0.977, + "html": "
ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on CLEVR-567)0.3300.81523.750.5490.67216.65
GIRAFFE (author-pretrained model on CLEVR-2345)0.3820.78021.760.6430.34811.70
uORF (ours)0.0850.90129.330.0860.89729.28
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ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on Room-Chair) uORF (ours)0.4140.59720.900.5880.53818.53
0.0850.87629.650.0820.87229.60
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Let alone", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 276, + 189, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 276, + 189, + 287 + ], + "score": 1.0, + "content": "segmentation in 3D.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "title", + "bbox": [ + 106, + 292, + 308, + 304 + ], + "lines": [ + { + "bbox": [ + 105, + 292, + 308, + 305 + ], + "spans": [ + { + "bbox": [ + 105, + 292, + 308, + 305 + ], + "score": 1.0, + "content": "E.2 GIRAFFE INFERENCE ON CLEVR-2345", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 309, + 505, + 353 + ], + "lines": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 505, + 322 + ], + "score": 1.0, + "content": "While we have compared with GIRAFFE on our datasets, we further evaluate the author-provided", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "score": 1.0, + "content": "pretrained model on the simpler dataset CLEVR-2345 from the GIRAFFE paper itself. We found that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 331, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 505, + 344 + ], + "score": 1.0, + "content": "while GIRAFFE does well on unconditional scene synthesis, it cannot perform novel view synthesis", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 342, + 507, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 507, + 356 + ], + "score": 1.0, + "content": "on their own dataset, either. This shows that GIRAFFE focuses on problems very different from ours.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 107, + 359, + 505, + 404 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 507, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 507, + 371 + ], + "score": 1.0, + "content": "We first show that inference/reconstruction is challenging for GIRAFFE, even on the simpler dataset.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 369, + 507, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 507, + 383 + ], + "score": 1.0, + "content": "We do inference on the author-provided CLEVR-2345 dataset using the author-provided pre-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 380, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 394 + ], + "score": 1.0, + "content": "trained model. We show randomly sampled examples through the iterative inference process in", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 392, + 150, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 150, + 405 + ], + "score": 1.0, + "content": "Figure 24.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5 + }, + { + "type": "text", + "bbox": [ + 107, + 409, + 505, + 475 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 421 + ], + "score": 1.0, + "content": "Then we show that GIRAFFE fails in wide-baseline novel view synthesis. We use the author-provided", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "pretrained model to sample from its latent space and unconditionally generate one image. Then we", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 431, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 506, + 443 + ], + "score": 1.0, + "content": "keep all the variables the same, but circularly move cameras to render novel views. We show 10", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 443, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 454 + ], + "score": 1.0, + "content": "random examples of this circular novel view synthesis in Figure 25. We see that when the viewpoint", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "score": 1.0, + "content": "changes become significant, GIRAFFE fails novel view synthesis, because its neural renderer is based", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 464, + 293, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 293, + 477 + ], + "score": 1.0, + "content": "on 2D feature maps and it’s not inherently 3D.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "title", + "bbox": [ + 108, + 481, + 254, + 492 + ], + "lines": [ + { + "bbox": [ + 105, + 479, + 257, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 257, + 494 + ], + "score": 1.0, + "content": "E.3 DISCUSSION AND SUMMARY", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 497, + 505, + 575 + ], + "lines": [ + { + "bbox": [ + 105, + 498, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 510 + ], + "score": 1.0, + "content": "In general, inverting GAN latent space even for the holistic image is non-trivial and needs architectural-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "specific designs (we refer the reader to the discussion and references in a recent survey on GAN", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "inversion (Xia et al., 2021)). As for inverting compositional multi-object scenes, it becomes even", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "harder due to ambiguous correspondences (“which slot corresponds to which object?”), number", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 542, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 506, + 555 + ], + "score": 1.0, + "content": "of objects (“how many slots should I put?”), object position constraints (“there are two objects", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 552, + 507, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 507, + 567 + ], + "score": 1.0, + "content": "overlapping in the image, but they should not be overlapping in 3D”), optimization issues (e.g.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 564, + 376, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 376, + 577 + ], + "score": 1.0, + "content": "optimizing rotation is notoriously difficult (Zhou et al., 2019)), etc.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 580, + 505, + 658 + ], + "lines": [ + { + "bbox": [ + 106, + 581, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 505, + 592 + ], + "score": 1.0, + "content": "In summary, it is highly non-trivial for GIRAFFE to do inference for multi-object scenes due to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "complexities such as ambiguous correspondences, the number of objects, and optimization issues. We", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "score": 1.0, + "content": "will include more discussions on the difference between the two methods in the following separate", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "thread. In short, our uORF tries to solve a fundamentally different problem from GIRAFFE, i.e., we", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "score": 1.0, + "content": "aim at inferring the joint distribution of objects from a single image while GIRAFFE targets extrinsic-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "score": 1.0, + "content": "controllable image generation. 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ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on CLEVR-567)0.3300.81523.750.5490.67216.65
GIRAFFE (author-pretrained model on CLEVR-2345)0.3820.78021.760.6430.34811.70
uORF (ours)0.0850.90129.330.0860.89729.28
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ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on Room-Chair) uORF (ours)0.4140.59720.900.5880.53818.53
0.0850.87629.650.0820.87229.60
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We found that", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 331, + 505, + 344 + ], + "spans": [ + { + "bbox": [ + 105, + 331, + 505, + 344 + ], + "score": 1.0, + "content": "while GIRAFFE does well on unconditional scene synthesis, it cannot perform novel view synthesis", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 342, + 507, + 356 + ], + "spans": [ + { + "bbox": [ + 105, + 342, + 507, + 356 + ], + "score": 1.0, + "content": "on their own dataset, either. This shows that GIRAFFE focuses on problems very different from ours.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 309, + 507, + 356 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 359, + 505, + 404 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 507, + 371 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 507, + 371 + ], + "score": 1.0, + "content": "We first show that inference/reconstruction is challenging for GIRAFFE, even on the simpler dataset.", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 369, + 507, + 383 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 507, + 383 + ], + "score": 1.0, + "content": "We do inference on the author-provided CLEVR-2345 dataset using the author-provided pre-", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 380, + 505, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 394 + ], + "score": 1.0, + "content": "trained model. We show randomly sampled examples through the iterative inference process in", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 392, + 150, + 405 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 150, + 405 + ], + "score": 1.0, + "content": "Figure 24.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 358, + 507, + 405 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 409, + 505, + 475 + ], + "lines": [ + { + "bbox": [ + 106, + 410, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 505, + 421 + ], + "score": 1.0, + "content": "Then we show that GIRAFFE fails in wide-baseline novel view synthesis. We use the author-provided", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "pretrained model to sample from its latent space and unconditionally generate one image. Then we", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 431, + 506, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 506, + 443 + ], + "score": 1.0, + "content": "keep all the variables the same, but circularly move cameras to render novel views. We show 10", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 443, + 505, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 454 + ], + "score": 1.0, + "content": "random examples of this circular novel view synthesis in Figure 25. We see that when the viewpoint", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "score": 1.0, + "content": "changes become significant, GIRAFFE fails novel view synthesis, because its neural renderer is based", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 464, + 293, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 293, + 477 + ], + "score": 1.0, + "content": "on 2D feature maps and it’s not inherently 3D.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 410, + 506, + 477 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 481, + 254, + 492 + ], + "lines": [ + { + "bbox": [ + 105, + 479, + 257, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 257, + 494 + ], + "score": 1.0, + "content": "E.3 DISCUSSION AND SUMMARY", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 497, + 505, + 575 + ], + "lines": [ + { + "bbox": [ + 105, + 498, + 506, + 510 + ], + "spans": [ + { + "bbox": [ + 105, + 498, + 506, + 510 + ], + "score": 1.0, + "content": "In general, inverting GAN latent space even for the holistic image is non-trivial and needs architectural-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 521 + ], + "score": 1.0, + "content": "specific designs (we refer the reader to the discussion and references in a recent survey on GAN", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 506, + 532 + ], + "score": 1.0, + "content": "inversion (Xia et al., 2021)). As for inverting compositional multi-object scenes, it becomes even", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 506, + 543 + ], + "score": 1.0, + "content": "harder due to ambiguous correspondences (“which slot corresponds to which object?”), number", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 542, + 506, + 555 + ], + "spans": [ + { + "bbox": [ + 105, + 542, + 506, + 555 + ], + "score": 1.0, + "content": "of objects (“how many slots should I put?”), object position constraints (“there are two objects", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 552, + 507, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 507, + 567 + ], + "score": 1.0, + "content": "overlapping in the image, but they should not be overlapping in 3D”), optimization issues (e.g.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 564, + 376, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 564, + 376, + 577 + ], + "score": 1.0, + "content": "optimizing rotation is notoriously difficult (Zhou et al., 2019)), etc.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 498, + 507, + 577 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 580, + 505, + 658 + ], + "lines": [ + { + "bbox": [ + 106, + 581, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 106, + 581, + 505, + 592 + ], + "score": 1.0, + "content": "In summary, it is highly non-trivial for GIRAFFE to do inference for multi-object scenes due to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 106, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "complexities such as ambiguous correspondences, the number of objects, and optimization issues. We", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 505, + 615 + ], + "score": 1.0, + "content": "will include more discussions on the difference between the two methods in the following separate", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "thread. In short, our uORF tries to solve a fundamentally different problem from GIRAFFE, i.e., we", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 506, + 636 + ], + "score": 1.0, + "content": "aim at inferring the joint distribution of objects from a single image while GIRAFFE targets extrinsic-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "spans": [ + { + "bbox": [ + 106, + 636, + 506, + 648 + ], + "score": 1.0, + "content": "controllable image generation. 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Co-segmentationxx
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ModelsCLEVR-567Room-ChairRoom-Diverse
3D metric2D metric3D metric2D metric3D metric2D metric
NV-ARI↑ARI↑Fg-ARI个NV-ARI个ARI个Fg-ARI↑NV-ARI↑ARI个Fg-ARI↑
Slot AttentionN/A3.5±0.793.2±1.5N/A38.4±18.440.2±4.5N/A17.4±11.343.8±11.7
uORF(w/o background)10.5±3.611.7±4.686.4±2.840.4±9.242.3±10.693.3±1.921.0±8.124.0±9.978.9±3.1
uORF(w/o prog. train.)81.1±0.783.7±0.884.2±0.562.3±2.565.4±2.681.0±3.053.8±1.463.7±1.766.9±4.1
uORF(ours)83.8±0.386.3±0.187.4±0.874.3±1.978.8±2.688.8±2.756.9±0.265.6±1.067.9±1.7
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ModelsCLEVR-567Room-ChairRoom-Diverse
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
NeRF-AE0.12880.865827.160.11660.826528.130.24580.668824.80
uORF (w/o background)0.09190.892428.930.16710.785227.860.22310.692425.90
uORF(w/o prog. train.)0.10440.889428.840.15730.828728.330.21230.676025.19
uORF (ours)0.08590.897129.280.08210.872229.600.17290.709425.96
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ModelsMoving objectsChanging background
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR个
NeRF-AE0.24510.728423.180.21850.713225.42
Slot Attention0.39410.713423.060.36890.728323.94
uORF(w/o background)0.22060.744824.550.18790.771926.68
uORF(w/o prog.train.)0.15830.831328.190.15860.830628.27
uORF (ours)0.08550.871129.260.08220.872929.53
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ModelsARI个LPIPS↓
Slot Attention5.7±0.3N/A
NeRF-AEN/A0.2201
uORF (ours)83.2±0.60.1540
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Loss functionsARI↑LPIPS↓
Rec.59.1±0.50.3610
Rec.+Percept.65.2±0.80.2156
Rec.+ Adv.60.4±2.20.2288
Rec.+ Percept. + Adv.65.6±1.00.1729
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ModelsNV-ARI个ARI个
Slot AttentionN/A2.2±0.6
uORF (ours)85.0±0.387.4±0.4
uORF (oracle)85.5±0.387.5±0.3
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Models3D metric2D metric
NV-ARI↑ARI个Fg-ARI↑
uORF on seen shape testset56.965.667.9
uORF on unseen shape testset57.066.167.7
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ModelsLPIPS↓SSIM↑PSNR↑
uORF on seen shape testset0.17290.709425.96
uORF on unseen shape testset0.17710.712526.16
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ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on Room-Chair) uORF (ours)0.4140.59720.900.5880.53818.53
0.0850.87629.650.0820.87229.60
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ModelsInput view reconstructionNovel view synthesis
LPIPS↓SSIM↑PSNR↑LPIPS↓SSIM↑PSNR↑
GIRAFFE (trained on CLEVR-567)0.3300.81523.750.5490.67216.65
GIRAFFE (author-pretrained model on CLEVR-2345)0.3820.78021.760.6430.34811.70
uORF (ours)0.0850.90129.330.0860.89729.28
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0000000000000000000000000000000000000000..b0e38bf31860ddec63432d1a04995ffb9030cc21 --- /dev/null +++ b/parse/dev/tGHi1HFNBx1/tGHi1HFNBx1.md @@ -0,0 +1,1040 @@ +# DATA SUBSET SELECTION VIA MACHINE TEACHING + +Anonymous authors Paper under double-blind review + +# ABSTRACT + +We study the problem of data subset selection: given a fully labeled dataset and a training procedure, select a subset such that training on that subset yields approximately the same test performance as training on the full dataset. We propose an algorithm, inspired by recent work in machine teaching, that has theoretical guarantees, compelling empirical performance, and is model-agnostic meaning the algorithm’s only information comes from the predictions of models trained on subsets. Furthermore, we prove lower bounds that show that our algorithm achieves a subset with near-optimal size (under computational hardness assumptions) while training on a number of subsets that is optimal up to extraneous log factors. We then empirically compare our algorithm, machine teaching algorithms, and coreset techniques on six common image datasets with convolutional neural networks. We find that our machine teaching algorithm can find a subset of CIFAR10 of size less than 16k that yields the same performance ( $5 \%$ error) as training on the full dataset of size 50k. + +# 1 INTRODUCTION + +Machine learning has made tremendous progress in the past two years with large models such as GPT-3 and CLIP (Brown et al., 2020; Radford et al., 2021). A key ingredient in these milestones is increasing the amount of training data to Internet scale. However, large datasets come with a cost, and not all – or maybe not even most – training data is useful. Data subset selection addresses this practical issue with the goal of finding a subset of a dataset so that training on the subset yields approximately the same test performance as training on the full dataset (Wei et al., 2015). Applications of data subset selection include continual learning (Aljundi et al., 2019; Borsos et al., 2020; Yoon et al., 2021), experience replay (Schaul et al., 2016; Hu et al., 2021), curriculum learning (Bengio et al., 2009; Wang et al., 2021), and data-efficient learning (Killamsetty et al., 2021a). Additionally, data subset selection is closely related to active learning (Settles, 2009; Sener & Savarese, 2018) and to fundamental questions about the role of data in learning (Toneva et al., 2018). + +Data subset selection has been studied in two quite different contexts. First, perhaps the more popular approaches are found in the coreset literature (Sener & Savarese, 2018; Coleman et al., 2020; Mirzasoleiman et al., 2020; Paul et al., 2021), an empirically driven (Guo et al., 2022) research area that includes a variety of techniques to select important and diverse points, often with an eye towards minimal computational cost of subset selection. Second, machine teaching (Goldman & Kearns, 1995; Shinohara & Miyano, 1991) focuses on minimizing the number of examples a teacher must present to a learner and can be reframed as data subset selection in some settings. As machine teaching has mostly been studied from a conceptual or theoretical viewpoint, black-box models such as modern neural networks present a practical challenge for machine teaching. However, recently, a theoretical breakthrough in the machine teaching literature (Dasgupta et al., 2019; Cicalese et al., 2020) formalizes and provides algorithms with analysis for teaching black-box learners. Although these works are mainly theoretical, they also include some limited empirical evaluation, though with implementations that include unjustified heuristics. Furthermore, Dasgupta et al. (2019) includes no baselines and Cicalese et al. (2020) only includes random sampling as a baseline. As of yet, the two algorithms have not been compared in the literature, much less to other coreset methods. + +In this work, we bring together these two lines of research, through both theoretical analysis and empirical evaluation. We make a clear connection between a particular machine teaching setting and data subset selection, use this insight to introduce an algorithm with state of the art and near-optimal asymptotics, prove correctness of implementation heuristics from previous machine teaching work, and empirically evaluate methods from both machine teaching and coreset selection on a standard set of benchmarks for the first time. The subset size returned by our machine teaching algorithm shaves off a factor logarithmic in the dataset size compared to existing work. Furthermore, through novel lower bounds, we show that the subset size of our algorithm is near-optimal (under computational hardness assumptions regarding the NP-complete class of problems) and that the expected number of times we must query the learner (train a network) is optimal up to extraneous log factors. + +Existing machine teaching algorithms from Dasgupta et al. (2019); Cicalese et al. (2020) perform well when our learner fits labels perfectly (zero training error) but fail catastrophically if the learner makes a few training errors. To address this issue, prior work (Cicalese et al., 2020) removes the training errors from the predictions provided to the teacher, a technique we refer to as error squashing. We provide a rigorous theoretical framework that explains why this technique of squashing errors is justified and effective, and furthermore, use it in our algorithm. + +Finally, and perhaps most importantly, we compare machine teaching algorithms, including ours, to state-of-the-art coreset selection techniques and random sampling. We perform experiments with three convolutional neural network architectures on six image datasets (CIFAR10, CIFAR100, CINIC10, MNIST, Fashion MNIST, SVHN). We find that the machine teaching algorithms all perform roughly the same and consistently match or outperform the coreset selection techniques. + +In summary, our main contributions are: + +• Proposing a machine teaching subset selection algorithm with analysis and lower bounds, showing that the algorithm achieves optimal asymptotic performance up to extraneous log factors. +• Providing the first analysis for the justification of error squashing. +• Experimentally comparing machine teaching algorithms and coreset techniques using three convolutional neural network architectures on six image datasets. + +In Sections 2 and 3, we introduce the classification setting and present our algorithm with its guarantee. Next, we show our main theoretical results in Section 4 and experimental results in Section 5. Finally, we discuss our work within the context of related work in Sections 6 and 7. + +# 2 SETTING + +We work in a classification setting with an input space $\mathcal { X }$ and a finite output space $\mathcal { V }$ . Given a distribution $\mathcal { D }$ over $\mathcal { X } \times \mathcal { V }$ , we wish to find a classifier $h : \mathcal { X } \mathcal { Y }$ with low (test) error: $\operatorname { e r r } ( h ) =$ $\operatorname* { P r } _ { ( x , y ) \sim \mathcal { D } } [ h ( x ) \neq y ]$ . + +In this work, we assume we have a hypothesis class $\mathcal { H }$ and a learner $L$ , where each $h \in \mathcal H$ is a function $h : \mathcal { X } \to \mathcal { Y }$ and the learner is a function: $L : ( \mathcal { X } \times \mathcal { Y } ) ^ { * } \to \mathcal { H }$ . + +We assume we have a pool of $m$ labeled data points, $\{ ( x _ { i } , y _ { i } ) \} _ { i = 1 } ^ { m } \subset ( \mathcal { X } \times \mathcal { Y } ) ^ { m }$ . The objective of data subset selection is to select a subset $S \subset [ m ]$ of small size $| S |$ such that $\operatorname { e r r } ( L ( \{ ( x _ { i } , \overbar y _ { i } ) : i \in$ $S \}$ ) is low; perhaps as low as the error of training on all data: $\operatorname { e r r } ( L ( \{ ( x _ { i } , y _ { i } ) : i \in [ m ] \} )$ ). + +# 3 METHOD + +Although our ultimate objective is low test error, without a comprehensive understanding of generalization for models such as neural networks, we instrumentally focus on achieving low error on the pool of $m$ datapoints. Zhang et al. (2021) show that modern neural networks can exactly fit arbitrary (even random) ground truth labels. Following previous machine teaching work, we initially assume that the learner makes no errors on the training subset, and refer to these learners as interpolating learners. Note that for interpolating learners, we can always achieve zero pool error if we train with the entire pool. However, it may be possible to select a smaller subset that yields zero pool error. Later, we relax this assumption as it is only approximately true in practice. + +# 3.1 MAIN ALGORITHM + +In this section, we present our algorithm (see Algorithm 1 for pseudo-code). Our algorithm is an iterative algorithm, where each iteration is composed of three steps: sampling a subset of the pool, training on that subset, and using the results of training to update the subset sampling distribution. The intuitive principle behind our algorithm is that if we train on a subset $S \subset [ m ]$ and receive a hypothesis $h \in \mathcal H$ , we want to emphasize the points (i.e., include some of the points in future subsets) where the hypothesis makes errors with respect to the ground truth labels. Then, in future iterations, that same hypothesis will not be returned by an interpolating learner since the hypothesis would make an error on the subset. + +At each iteration, the algorithm samples a subset $S _ { t }$ and trains on that subset to yield a hypothesis $h _ { t }$ . For sampling a subset at the $t ^ { t h }$ iteration, the algorithm independently samples Bernoulli random variables with probability $p _ { t , i }$ , and upon success, includes the $i ^ { t h }$ point. The success probability of the Bernoulli variable for the $i ^ { t h }$ point at the $t ^ { t h }$ iteration is $p _ { t , i }$ and we sample a set $S _ { t }$ such that $\begin{array} { r } { \operatorname* { P r } ( S _ { t } = S ) = \left( \prod _ { i \in S } p _ { t , i } \right) \left( \prod _ { i \in [ m ] \backslash S } ( 1 - p _ { t , i } ) \right) } \end{array}$ . Thus, in order to emphasize errors, the algorithm sets the next iteration’s Bernoulli to have higher success probability $( p _ { t + 1 , i } > p _ { t , i } )$ . + +While there are a variety of ways to increase the probabilities, our algorithm calculates the errors $E _ { t } : = E _ { h _ { t } }$ (where $E _ { h } = \{ i \in [ m ] : h ( x _ { i } ) \neq y _ { i } \} \quad$ ) on the entire pool made by the hypothesis $h _ { t }$ and sequentially doubles the probabilities corresponding to the errors until $\textstyle \sum _ { i \in E _ { t } } p _ { t , i }$ is sufficiently large (larger than a hyperparameter, $\xi$ ). Since a probability might exceed 1 after this step, we subsequently clip the probabilities to 1. + +Because the algorithm only updates probabilities via doubling, a natural choice is to initialize $p _ { 1 , i }$ as a (negative) power of 2: $2 ^ { - k _ { 0 } }$ for some integer $k _ { 0 }$ . Then, $p _ { t , i }$ is always a power of two, since doubled powers of 2 are powers of 2. + +The final aspect of the algorithm is that we periodically halve all probabilities. This step is key to improving the guarantee on the size of the subset from previous work (Dasgupta et al., 2019; Cicalese et al., 2020) to the asymptotically near-optimal subset size in this work. Note that without this halving step, the probabilities only increase with the number of iterations. + +Our algorithm has two hyperparameters, $\hat { d }$ and $\hat { N }$ , which are used to set the doubling limit $\xi$ , the initial power $k _ { 0 }$ , and the number of iterations between halving the probabilities. The algorithm will succeed with high probability if the two hyperparameters are upper bounds on $d ^ { * }$ , the size of the smallest subset that yields zero pool errors, and $N$ , the size of the induced hypothesis set, a set we will define in the next section. Conveniently, in the cases where the algorithm fails, it returns whether $\hat { d }$ was too small or $\hat { N }$ was too small. We can set $\hat { d }$ and $\hat { N }$ to be arbitrarily large to yield valid subsets, but the size of the resulting subsets will be very large. See Algorithm 1 for pseudo-code. + +# 3.2 ALGORITHMIC ANALYSIS + +For the analysis, we begin by assuming that our learner is interpolating, meaning that it makes no errors on the subset it is trained on. More precisely, if $h _ { S } = L ( \{ ( x _ { i } , y _ { i } ) : i \in S \} )$ ) where $S \subset [ m ]$ , then $\forall i \in S : h _ { S } ( x _ { i } ) = y _ { i }$ . Note that this implies that if we train on the entire dataset, a hypothesis that makes zero pool errors is returned. + +Define $\overline { { \mathcal { H } } }$ as the induced hypothesis class, that is, all hypotheses that can be returned by training on a subset: $\overline { { \mathscr { H } } } = \{ L ( \{ ( x _ { i } , y _ { i } ) : i \in S \} ) : S \subset [ m ] \}$ . Note that the size of $\overline { { \mathcal { H } } }$ could be as large as $2 ^ { m }$ (the number of subsets) but can be much smaller if the data has structure that can be leveraged by the model. Our framework technically requires a deterministic learner and we can fix the random seed for training; however, this is not a practical issue as it is extremely unlikely that we will train a model on the exact same subset at two different iterations. + +We now define $d ^ { * }$ and $N$ . Let $E _ { h }$ be the errors of a hypothesis $h$ : $E _ { h } = \{ i \in [ m ] : h ( x _ { i } ) \neq y _ { i } \}$ . Let $\mathcal { E }$ be the set of possible errors: $\mathcal { E } = \{ E _ { h } : h \in \overline { { \mathcal { H } } } \} - \{ \emptyset \}$ . We say a set $S$ “fully intersects” $\mathcal { E }$ if for all $E _ { h } \in \mathcal { E }$ , $| S \cap E _ { h } | \geq 1$ . Note that an interpolating learner trained on a fully intersecting subset $S$ will yield 0 pool error; if not, then the returned hypothesis $h _ { t }$ would have non-zero training error on the subset $S _ { t }$ which contradicts the interpolating assumption. Let $d ^ { * }$ be the size of smallest + +# Algorithm 1 + +Input: examples $\{ ( x _ { i } , y _ { i } ) \} _ { i = 1 } ^ { m } \subset ( \mathcal { X } \times \mathcal { Y } ) ^ { m }$ , failure probability $\delta$ , $\hat { d } \in \mathbb { Z } _ { + }$ , $\hat { N } \in \mathbb { Z } _ { + }$ +$k _ { 0 } = \lfloor \log _ { 2 } ( m / \hat { d } ) \rfloor$ +$\xi = \ln ( 4 \hat { N } ^ { 2 } \log _ { 2 } ( m ) / \delta )$ +$\forall i : k _ { 1 , i } = k _ { 0 }$ +for $t = 1 , 2 , \ldots , 4 \hat { d } k _ { 0 }$ do Sample $S _ { t }$ such that $i \in S _ { t }$ independently with probability $p _ { t , i } = 2 ^ { - k _ { t , i } }$ Train $h _ { t } = L ( \{ ( x _ { i } , y _ { i } ) \} _ { i \in S _ { t } } )$ Calculate the errors of $h _ { t }$ on the pool: $E _ { t } : = E _ { h _ { t } } = \{ i \in [ m ] : h _ { t } ( x _ { i } ) \neq y _ { i } \}$ if $| E _ { t } | = 0$ then return SUCCESS: $\hat { S } = S _ { t }$ else if $\textstyle \sum _ { i \in E _ { t } } p _ { t , i } \geq \xi$ then return FAILURE TYPE 1: $\hat { N }$ is too small else $\begin{array} { r l } & { \mathbf { \Phi } _ { \Delta _ { t } } ^ { \mathbf { x } } = \left\lceil \log _ { 2 } \left( \frac { \xi } { \sum _ { i \in E _ { t } } p _ { t , i } } \right) \right\rceil } \\ & { k _ { t + 1 , i } = \operatorname* { m a x } ( 0 , k _ { t , i } - \Delta _ { t } \mathbf { 1 } [ i \in E _ { t } ] + \mathbf { 1 } [ t ( \operatorname { m o d } ) 2 \hat { d } = 0 ] ) } \end{array}$ end if end if +end for +return FAILURE TYPE 2: $\hat { d }$ is too small + +fully intersecting set, that is, $d ^ { * } : = \arg \operatorname* { m i n } _ { S \subset [ m ] } | S |$ subject to $| S \cap E _ { h } | \geq 1$ $\forall E _ { h } \in \mathcal { E }$ . With these definitions, we are ready to give our algorithmic analysis theorem. + +Theorem 1. Suppose $\hat { d } \geq d ^ { * }$ and $\hat { N } \geq N : = | \overline { { \mathcal { H } } } |$ . Then, with probability at least $1 - \delta$ , Algorithm 1 returns successfully within $O ( d ^ { * } \log ( m / d ^ { * } ) )$ queries to the learner and the size of the returned set is $| \hat { S } | = O ( \hat { d } ( \log \hat { N } + \log \log m + \log ( 1 / \delta ) )$ . + +The proof of Theorem 1 is in Appendix D. Note that the $\log \log m$ term is negligible, for example, it can be ignored (subsumed in the constants) if $m \leq 2 ^ { N }$ which is true in reasonable cases. In Section 4, we provide lower bounds showing that the number of queries to the learner is asymptotically optimal up to extraneous log factors and that the size of the returned subset is asymptotically optimal (with a computational hardness assumption) if we assume $\log \log m$ is a low-order term compared to $\log N$ and that $\delta$ is a small constant. To choose the hyperparameters $\hat { d }$ and $\xi = \Theta ( \log \hat { N } )$ , we can use a doubling approach to find a constant factor approximation to $d ^ { * }$ and $\log N$ . + +# 3.3 NON-INTERPOLATING LEARNERS + +For non-interpolating learners, Algorithm 1 might never return successfully even for a single training error. To remedy this, we can “squash” the training errors, that is, remove the points from $E _ { t }$ that also appear in $S _ { t }$ . More precisely, when we calculate errors on the pool, instead of defining $E _ { t } = \{ i \in \bar { [ m ] } : h _ { t } ( x ) \neq y _ { i } \}$ , define $\dot { E } _ { t } = \{ i \in [ m ] : h _ { t } ( x ) \neq y _ { i } \land i \notin \bar { S } _ { t } \}$ . For the experiments, we run Algorithm 1 with this edit. This error squashing technique is used beyond our algorithm. This technique is explicitly used for the experiments in Cicalese et al. (2020) and likely a similar approach is used for Dasgupta et al. (2019) as we found experimentally that the algorithm dramatically fails, as written, without error squashing. Similar to this paper, the algorithmic analysis of Cicalese et al. (2020) assumes interpolating learners, but the practical algorithm includes error squashing. + +# 4 THEORY + +In this section, we first cover notation definitions, a particular class of learners, and the equivalence between machine teaching and the classic set cover problem. Next, we cover our lower bounds and results for the error squashing technique. + +# 4.1 NOTATION DEFINITIONS + +Let $\mathbb { Z }$ denote the set of integers and $\mathbb { Z } _ { + }$ denote the set of positive integers. Let $[ k ] = \{ 1 , 2 , \dots , k \}$ . For a set $S$ , let ${ \mathcal { P } } ( S )$ denote the power set of $S$ . For a set $S$ , let $S ^ { k }$ be the repeated Cartesian product; for example, $S ^ { 3 } = S \times S \times S$ . Let ${ \widetilde { O } } ( \cdot )$ denote $O ( \cdot )$ where extraneous log factors are ignored. In particular, $O ( f ( n ) \log ^ { k } ( f ( n ) ) = { \widetilde O } ( f ( n ) )$ . + +# 4.2 RANKED MINIMAL ERROR LEARNERS + +Here, we define a type of learner that appears in the constructions for our lower bounds and is given as an example in the error squashing framework. Intuitively, a ranked minimal error learner is a learner with a hypothesis class $\mathcal { H }$ and a ranking $\sigma$ such that the learner returns the lowest ranked hypothesis that has minimal error. + +Definition 1. Let $\mathcal { X }$ and $\mathcal { V }$ be finite. We say a learner $L$ is a ranked minimal error learner if there exists a (finite) hypothesis class $\mathcal { H }$ and a bijection $\sigma : { \mathcal { H } } [ | { \mathcal { H } } | ]$ such that for any $D \subset \mathcal { P } ( \mathcal { X } \times \mathcal { Y } )$ , with $\begin{array} { r } { k = \operatorname* { m i n } _ { h \in \mathcal { H } } | \{ ( x , y ) \in D : h ( x ) \neq \dot { y } \} | } \end{array}$ , $\begin{array} { r } { L ( D ) = \arg \operatorname* { m i n } _ { h : | \{ ( x , y ) \in D : h ( x ) \neq y \} | = k } \sigma ( h ) . } \end{array}$ . + +Note that since we focus on fixed datasets and classification in this work, finite $\mathcal { X }$ and $\mathcal { V }$ are not a restriction for our purposes. If we assume the ground truth labels are generated by a member of the hypothesis class, $\exists h ^ { * } \in { \mathcal { H } } : \forall ( x , y ) \in D : y = h ^ { * } ( x )$ , then the learner is an interpolating learner. + +# 4.3 LOWER BOUNDS + +We present two lower bounds that are query-based lower bounds proved using similar techniques. In particular, we construct a ranked minimal error learner with a special structure that depends on a random “key” (e.g., a random vector). We show that even if the teacher knew all the structure of the learner except the random key, any teaching algorithm will not be able to return a subset of size $\lambda d ^ { * }$ (a $\lambda$ -approximation) with few queries and probability greater than $1 / 2$ . + +Theorem 2. Fix any $\lambda \geq 1$ and $m \geq 2 \lambda$ . There exists a distribution over interpolating ranked minimal error learners and an $m$ -sized dataset with optimal subset size $d ^ { * }$ , such that any teaching algorithm requires $2 ^ { \Omega ( m / \lambda ) }$ queries to achieve at most $\lambda d ^ { * }$ subset size with probability at least $1 / 2$ . + +The proof is in Appendix E.1. This would appear to be very bad news: we require an exponential number of queries to even achieve a valid subset that is a factor $\lambda$ larger than the optimal subset. Fortunately, as shown later, we can not in general approximate the optimal subset to a factor of $o ( \log N )$ (asymptotically strictly better than $\log N )$ . Furthermore, $N$ is very large in the construction for Theorem 2; so large that $\log N = \Theta ( m )$ . Thus, if we are content with an approximation guarantee of ${ \cal O } ( \log N )$ , then far fewer queries to the learner are required, as the existence of Algorithm 1 shows. + +Theorem 3. Fix any $k \geq 1$ , $\ell \geq 1$ , and $\lambda \geq 1$ . There exists a distribution over interpolating ranked minimal error learners and a dataset of size $m = k ( \left\lceil e \lambda \right\rceil ) ^ { \ell }$ with optimal subset size $d ^ { * } = k$ and $N = O ( k \ln ( m / k ) / \ln ( \lambda ) )$ , such that any teaching algorithm requires $\Omega \left( \frac { d ^ { * } \ln ( m / d ^ { * } ) } { \ln ^ { 2 } ( \lambda ) } \right)$ queries to achieve at most $\lambda d ^ { * }$ subset size with probability at least $1 / 2$ . + +The proof is in Appendix E.2. Note that this implies achieving an approximation ratio of ${ \cal O } ( \log N )$ or $O ( \log m \log N )$ (as found in Cicalese et al. (2020); Dasgupta et al. (2019)) requires $\widetilde \Omega ( d ^ { * } \ln ( m / d ^ { * } ) )$ queries. + +We now present a computational hardness lower bound on finding a subset with a small $o ( \log N )$ approximation ratio to optimal, even with unlimited learner queries so that $\overline { { \mathcal { H } } }$ could be explicitly constructed. This result is a straightforward application of the following theorem to the set cover equivalence of machine teaching. + +Theorem 4 ((Theorem 4.4 from Feige (1998)). If there is some $\epsilon > 0$ such that a polynomial time algorithm can approximate set cover within $( 1 - \epsilon ) \ln n$ , then $N P \subset T I M E { \big ( } n ^ { O ( \log \log n ) } { \big ) }$ . + +Let us interpret this result. For set cover instances, the “size” $n$ of a problem is measured in terms of the number of elements, our $N$ . Feige (1998) defines $\mathrm { T I M E } ( f ( n ) )$ to be the set of problems solvable in $f ( n )$ (determnistic) time. The conclusion ${ \mathrm { N P } } \subset { \mathrm { T I M E } } { \big ( } n ^ { O ( \log \log n ) } { \big ) }$ is slightly weaker than ${ \mathrm { N P } } \subset { \mathrm { T I M E } } ( n ^ { O ( 1 ) } ) = { \mathrm { P } }$ which would imply the famous $P = N P$ . All the same, if it were to be shown that ${ \mathrm { N P } } \subset { \mathrm { T I M E } } { \big ( } n ^ { O ( \log \log n ) } { \big ) }$ , it would revolutionize complexity theory, and thus, it is doubtful that such a statement can be shown to be true without significant obstacles. + +Then, a direct result of set cover equivalence (Goldman & Kearns, 1995) and Theorem 4 Feige (1998) is that approximating machine teaching to within $\textstyle { \frac { 1 } { 2 } } \ln N$ would imply NP $\subset$ $\mathrm { T I M E } \big ( n ^ { O ( \log \log n ) } \big )$ . + +# 4.4 ERROR SQUASHING FRAMEWORK + +In a nutshell, our framework consists of defining a general condition for a learner, defining a teaching set definition for non-interpolating learners, then showing that achieving such a teaching set reduces, by way of error squashing, to a standard set cover problem (if the learner meets the condition). This means that the error squashing technique effortlessly converts any machine teaching algorithm for interpolating learners to a machine teaching algorithm for non-interpolating learners, which inherits the same theoretical guarantees, albeit with a larger hypothesis class. + +# 4.4.1 LEARNERS INVARIANT TO CONSISTENT ADDITIONS + +In this section, we first define a general condition on a learner: if a learner trained on a dataset correctly predicts a point, then additionally including that point in the dataset does not change the the learner’s predictions. + +Definition 2 (Invariant to consistent additions). We say a learner is invariant to consistent additions $i f \forall D \subset \mathcal { P } ( \mathcal { X } \times \mathcal { Y } )$ , $x \subset \mathcal { X }$ , $y \subset \mathcal { V }$ : $L ( D ) ( x ) = y \implies L ( D ) = L ( D \cup \{ ( x , y ) \} )$ . + +Intuitively, for models that minimize error, adding a point with zero loss will not change the model. In particular, we have the following proposition: + +Proposition 1. A ranked minimal error learner is invariant to consistent additions. + +The proof of Proposition 1 can be found in Appendix F. The invariance to consistent additions is more general than ranked minimal error learners: see an example in Appendix F.7.1. + +# 4.4.2 ERROR INCLUSIVE TEACHING SETS + +Recall that error squashing with machine teaching means that when the learner is passed a subset $S _ { t }$ and returns a hypothesis $h _ { t }$ , the teacher acts as if the hypothesis makes no errors on the subset $S _ { t }$ . Machine teaching algorithms only terminate when the returned hypothesis makes no errors on the pool, which means that all the errors of $h _ { t }$ are squashed with respect to $S _ { t }$ . For a fixed dataset and learner, we say a set $S$ is “error inclusive” if all errors of $L ( S )$ are inside $S$ . Formally, for a fixed dataset $\{ ( x _ { i } , y _ { i } ) \} _ { i = 1 } ^ { m }$ , define $L ^ { ( \mathrm { e r r } ) } : \mathcal { P } ( [ m ] ) \mathcal { P } ( [ m ] )$ as the set of indices of points where errors are made by a learner trained on a subset $S$ : $L ^ { \mathrm { ( e r r ) } } ( S ) = \{ i \in [ m ] : L ( \{ ( x _ { i ^ { \prime } } , y _ { i ^ { \prime } } ) : i ^ { \prime } \in S \} ) ( x _ { i } ) \neq$ $y _ { i } \}$ . + +Definition 3. For a fixed dataset, we say a set $S$ is “error inclusive” if $L ^ { ( e r r ) } ( S ) \subset S$ + +Error inclusivity means that $S$ contains the points useful for generalization outside $S$ , as well as the (presumably) nuisance points that are hard or impossible to classify correctly, such as incorrectly labeled ground truth. An error squashing machine teaching algorithm, if it returns successfully, must return an error inclusive set. An important consequence of error inclusivity is that, for a learner invariant to consistent additions, the learner trained on the set will yield the same result as training on the entire dataset. + +Proposition 2. Suppose a learner $L$ is invariant to consistent additions. If a set $S$ is error inclusive, $L ^ { ( e r ) } ( S ) = L ^ { ( e r r ) } ( \dot { [ } \dot { m } ] )$ . + +The proof of Proposition 5 is in Appendix F.6. Interpreted further, error inclusivity implies that the number of errors from training on $S$ is the same as the number of errors from training on the entire dataset, $| L ^ { ( \mathrm { e r r } ) } ( S ) | = | L ^ { ( \mathrm { e r r } ) } ( [ \stackrel { } { m } ] ) |$ . Furthermore, error inclusivity implies $L ^ { \mathrm { ( e r r ) } } ( [ m ] ) \stackrel { \textstyle } { \subset } S$ , meaning that $S$ contains the errors of training on the full dataset. Error inclusivity is a condition on a set that we will use as the teaching set condition for non-interpolating learners. + +Note that Cicalese et al. (2020) introduce another teaching set condition for non-interpolating learners, $k$ -extended teaching sets. In Appendix F, we compare $k$ -extended teaching sets and error inclusive teaching sets for ranked minimal errors. We find they are remarkably similar, though neither is stronger than the other: there exist examples where the smallest $k$ -extended teaching set is of size $\Theta ( m )$ but there exists an error inclusive set of size $\Theta ( 1 )$ , and vice versa. However, we show error inclusive sets are much easier to design algorithms for. + +# 4.4.3 EXTENDED ERROR SETS + +Recall that in the context of machine teaching with interpolating learners, we define the errors of a hypothesis as $E _ { h } = \left\{ i \in [ m ] : h ( x _ { i } ) \neq y _ { i } \right\}$ and let $\mathcal { E } = \dot { \{ E _ { h } : h \in \overline { { \mathcal { H } } } \} } - \{ \varnothing \}$ be the error sets. Then a set $S \subset [ m ]$ is a valid teaching set if $S$ fully intersects $\mathcal { E }$ (intersects each element of $\mathcal { E }$ ). Similarly, black-box machine teaching is like a game where elements of $\mathcal { E }$ are revealed by learner queries and a solution $S \subset [ m ]$ must intersect every element. In fact, there is an equivalence between these two views, observed in Goldman & Kearns (1995) as the relationship between set cover and machine teaching. For a more complete exposition, see Appendix F. + +Define the extended error sets as ${ \mathcal { E } } ^ { + } = \{ L ^ { \mathrm { ( e r r ) } } ( S ) \setminus S : S \subset [ m ] \} - \{ \emptyset \}$ . For interpolating models, ${ \mathcal { E } } ^ { + } = { \mathcal { E } }$ . If we find a set $S \subset [ m ]$ that fully intersects ${ \mathcal { E } } ^ { + }$ , we are guaranteed that when the learner is trained on $S$ , there will be no errors outside of $S$ : $S$ is error inclusive. Not only this, we show that, in fact, fully intersecting ${ \mathcal { E } } ^ { + }$ is equivalent to error inclusivity. + +Proposition 3. Fix a dataset. If a learner is invariant to consistent additions, $S$ fully intersects ${ \mathcal { E } } ^ { + }$ if and only if $S$ is error inclusive. + +Thus, we show that (for learners invariant to consistent additions) the error squashing technique converts machine teaching with non-interpolating learners to set cover, though of an expanded set. Then, black-box machine teaching algorithms (which are online set cover algorithms in disguise) can be run with the same theoretical guarantees, though with a larger $N$ . Note that the same is not true of $k$ -extended teaching sets (Cicalese et al., 2020) which require solving “generalized set cover” that is harder to design algorithms for (e.g. Cicalese et al. (2020) does not implement any). + +# 5 EXPERIMENTS + +We evaluate 7 subset selection methods: Random sampling, Entropy sampling (Lewis & Gale, 1994), Forgetting events (Toneva et al., 2018), GraNd (Paul et al., 2021), DHPZ (Dasgupta et al., 2019), CFLM (Cicalese et al., 2020), and our introduced algorithm. Although there are many coreset selection techniques, we focused on the methods that achieve the highest accuracy regardless of computation cost. We compare to Entropy, Forgetting, and GraNd as the coreset selection methods because they perform the best in the evaluation on CIFAR10 by Guo et al. (2022) in our dataset subset size regime $20 \%$ to $60 \%$ of CIFAR10). More details can be found in Appendix B. + +We compare results on 6 common image datasets (all but CINIC101 retrieved using torchvision) and use the predefined train/test splits. The six datasets are: CIFAR10 (Krizhevsky, 2009), CIFAR100 (Krizhevsky, 2009), CINIC10 (Darlow et al., 2018), FashionMNIST (FMNIST) (Xiao et al., 2017), MNIST (LeCun, 1998), and SVHN (Netzer et al., 2011). + +We evaluate using three architectures: Myrtle, VGG, and ResNet10. Myrtle was created by Page (2018) by stripping away parts of ResNet and modifying the training procedure while balancing between training speed and accuracy on CIFAR-10. The end result is a network that achieves $96 \%$ on CIFAR-10 in three minutes of training time. VGG (Simonyan & Zisserman, 2015) and ResNet10 (He et al., 2016) are created according to a common pytorch library for the CIFAR datasets2. More details including training hyperparameters can be found in Appendix B. + +# 5.1 RESULTS + +We first show results (see Figure 1) for the seven methods on all six datasets with one of the architectures, ResNet10. We note that there is a variety of performances from the coreset methods though the forgetting events technique consistently performs the best (lower test error). The machine teaching approaches behave similarly to each other, and outperform all coreset methods. + +![](images/3c55e01ab7c125ce9945c1ab9804b2116a1636a7244cbc0adfff79bdf2f8143e.jpg) +Figure 1: Plots for ResNet10 across six datasets. Error bars are from training with 10 replications on a subset. + +![](images/2ca5378cf2b207f49f243dec8423138108a5d0aa2214ba616d22fee72afa72d8.jpg) +Figure 2: Plots for CIFAR10 across three model architectures. Error bars are from training with 10 replications on a subset. + +Note that in a few cases (SVHN and FMNIST), achieving near-zero pool error is insufficient to achieve minimal test error with the data. This is surprising because the models trained on the machine teaching subsets get less than $0 . 0 1 \%$ error on the pool outside of the subset, meaning that every point is either seen or predicted correctly by the model. + +Next, we study how varying the model architecture impacts performance. We show results for the seven methods with the three architectures on CIFAR10 in Figure 2. We can draw approximately the same conclusions, though surprisingly, Entropy performs worse than random on non-ResNet architectures. We note that while Entropy performs better than random in Guo et al. (2022) and Coleman et al. (2020), both these papers use ResNet architectures. + +Full results for all combinations of datasets and architectures can be found in Appendix C. Although we do not measure or report wall clock time, a proxy is the number of times the model is trained. For Entropy and Forgetting, the model is trained once, for GraNd, the model is trained ten times, and the number of iterations for the machine teaching methods are shown in Table 1. + +Finally, we perform cross-architecture experiments where model architecture used during subset selection is different from the model architecture used for evaluation. Interestingly, the behavior of the machine teaching methods differers dramatically, from transferring as well as random to transferring as well as the full dataset. See Figure 3 for an example. All 54 combinations of datasets, subset selection architectures, and evaluation architectures can be found in Appendix C. + +![](images/9682225cf189786301847902a671ac3cda5401a84c081ced9dd0d9755a032631.jpg) +Figure 3: Example cross-architecture plots where the subset selection architecture differs from the evaluation architecture. Error bars are from training on a subset with 10 replications. + +# 6 RELATED WORK + +We note a number of works, sometimes known as coreset methods, focus on reducing the time to train a model once by training with less data, perhaps with a drop in performance (Coleman et al., 2020; Mirzasoleiman et al., 2020; Paul et al., 2021; Killamsetty et al., 2021b;a). A key challenge in that formulation is creating a data selection algorithm that is computationally fast enough to avoid negating the computational gain of training on less data. In this work, we focus on data selection when we will train multiple times on the data subset (curriculum learning, continual learning, etc), so computational cost is less of an issue. + +Data subset selection without knowing the labels of the datapoints before a point is selected is known as active learning (Settles, 2009), a strictly harder problem. Note that an optimal data subset collected with full knowledge of the labels is an upper bound on how well an active learning algorithm can perform. + +As mentioned throughout this work, machine teaching (Goldman & Kearns, 1995; Zhu et al., 2018) is closely related to subset selection; especially Dasgupta et al. (2019) and Cicalese et al. (2020). In these works, the specification for machine teaching with black-box models is a bit different from our formulation. In particular, those works require the teaching set to be built up iteratively so that the queried subsets form a nested sequence. While natural from a machine teaching perspective, this requirement is unnecessary for subset selection as we can train on arbitrary subsets before returning an arbitrary subset. This less restrictive specification is likely why the $\log m$ factor can be trimmed from our algorithm subset size; see Alon et al. (2009) for more details on a related lower bound. + +An adjacent problem setting is that of “Dataset Distillation” (Wang et al., 2018; Nguyen et al., 2021) or “Dataset Condensation” (Zhao et al., 2020; Zhao & Bilen, 2021) where a very small (e.g. 100 images) dataset of synthetic images yields decent, but markedly sub-par, performance. Additionally, the optimized synthetic images can be very far from the natural data distribution. + +# 7 DISCUSSION + +In this work, we bring together the neural network coreset algorithm and recent machine teaching literature in data subset selection. At the same time, we streamline the theory for machine teaching by proving the correctness of an effective heuristic used in machine teaching implementations and by closing theoretical gaps in the asymptotic number of learner queries and size of the returned subset. More broadly, we hope the insights produced in this work will spur further research in selecting informative datasets and the role of data in learning. + +# REFERENCES + +Rahaf Aljundi, Min Lin, Baptiste Goujaud, and Yoshua Bengio. Gradient based sample selection for online continual learning. Advances in Neural Information Processing Systems, 2019. + +Noga Alon, Baruch Awerbuch, Yossi Azar, Niv Buchbinder, and Joseph Naor. The online set cover problem. SIAM Journal on Computing, 2009. + +Yoshua Bengio, Jer´ ome Louradour, Ronan Collobert, and Jason Weston. Curriculum learning. ˆ International Conference on Machine Learning, 2009. + +Zalan Borsos, Mojmir Mutny, and Andreas Krause. Coresets via bilevel optimization for continual ´ learning and streaming. Advances in Neural Information Processing Systems, 2020. + +Tom Brown, Benjamin Mann, Nick Ryder, Melanie Subbiah, Jared Kaplan, Prafulla Dhariwal, Arvind Neelakantan, Pranav Shyam, Girish Sastry, Amanda Askell, et al. Language models are few-shot learners. Advances in Neural Information Processing Systems, 2020. + +Ferdinando Cicalese, Eduardo Laber, Marco Molinaro, et al. Teaching with limited information on the learner’s behaviour. International Conference on Machine Learning, 2020. + +Cody Coleman, Christopher Yeh, Stephen Mussmann, Baharan Mirzasoleiman, Peter Bailis, Percy Liang, Jure Leskovec, and Matei Zaharia. Selection via proxy: Efficient data selection for deep learning. International Conference on Learning Representations, 2020. + +Luke Darlow, Elliot Crowley, Antreas Antoniou, and Amos Storkey. Cinic-10 is not imagenet or cifar-10. arXiv preprint arXiv:1810.03505, 2018. + +Sanjoy Dasgupta, Daniel Hsu, Stefanos Poulis, and Xiaojin Zhu. Teaching a black-box learner. International Conference on Machine Learning, 2019. + +Uriel Feige. A threshold of ln n for approximating set cover. Journal of the ACM, 1998. + +Sally Goldman and Michael Kearns. On the complexity of teaching. Journal of Computer and System Sciences, 1995. + +Chengcheng Guo, Bo Zhao, and Yanbing Bai. Deepcore: A comprehensive library for coreset selection in deep learning. arXiv preprint arXiv:2204.08499, 2022. + +Kaiming He, Xiangyu Zhang, Shaoqing Ren, and Jian Sun. Deep residual learning for image recognition. Proceedings of the IEEE conference on computer vision and pattern recognition, 2016. + +Guannan Hu, Wu Zhang, and Wenhao Zhu. Prioritized experience replay for continual learning. International Conference on Computational Intelligence and Applications, 2021. + +Richard Karp. Reducibility among combinatorial problems. Complexity of computer computations, 1972. + +Krishnateja Killamsetty, Sivasubramanian Durga, Ganesh Ramakrishnan, Abir De, and Rishabh Iyer. Grad-match: Gradient matching based data subset selection for efficient deep model training. International Conference on Machine Learning, 2021a. + +Krishnateja Killamsetty, Durga Sivasubramanian, Ganesh Ramakrishnan, and Rishabh Iyer. Glister: Generalization based data subset selection for efficient and robust learning. AAAI Conference on Artificial Intelligence, 2021b. + +Alex Krizhevsky. Learning multiple layers of features from tiny images. 2009. + +Yann LeCun. The mnist database of handwritten digits. 1998. + +David Lewis and William Gale. A sequential algorithm for training text classifiers. SIGIR, 1994. + +Baharan Mirzasoleiman, Jeff Bilmes, and Jure Leskovec. Coresets for data-efficient training of machine learning models. International Conference on Machine Learning, 2020. + +Yuval Netzer, Tao Wang, Adam Coates, Alessandro Bissacco, Bo Wu, and Andrew Ng. Reading digits in natural images with unsupervised feature learning. 2011. + +Timothy Nguyen, Roman Novak, Lechao Xiao, and Jaehoon Lee. Dataset distillation with infinitely wide convolutional networks. Advances in Neural Information Processing Systems, 2021. + +David Page. myrtle.ai, 2018. URL https://myrtle.ai/ how-to-train-your-resnet-4-architecture/. + +Mansheej Paul, Surya Ganguli, and Gintare Karolina Dziugaite. Deep learning on a data diet: Finding important examples early in training. Advances in Neural Information Processing Systems, 2021. + +Alec Radford, Jong Wook Kim, Chris Hallacy, Aditya Ramesh, Gabriel Goh, Sandhini Agarwal, Girish Sastry, Amanda Askell, Pamela Mishkin, Jack Clark, Gretchen Krueger, and Ilya Sutskever. Learning transferable visual models from natural language supervision. International Conference on Machine Learning, 2021. + +Tom Schaul, John Quan, Ioannis Antonoglou, and David Silver. Prioritized experience replay. International Conference on Learning Representations, 2016. + +Ozan Sener and Silvio Savarese. Active learning for convolutional neural networks: A core-set approach. International Conference on Learning Representations, 2018. + +Burr Settles. Active learning literature survey. 2009. + +Ayumi Shinohara and Satoru Miyano. Teachability in computational learning. New Generation Computing, 1991. + +Karen Simonyan and Andrew Zisserman. Very deep convolutional networks for large-scale image recognition. International Conference on Learning Representations, 2015. + +Mariya Toneva, Alessandro Sordoni, Remi Tachet des Combes, Adam Trischler, Yoshua Bengio, and Geoffrey Gordon. An empirical study of example forgetting during deep neural network learning. International Conference on Learning Representations, 2018. + +Tongzhou Wang, Jun-Yan Zhu, Antonio Torralba, and Alexei Efros. Dataset distillation. arXiv preprint arXiv:1811.10959, 2018. + +Xin Wang, Yudong Chen, and Wenwu Zhu. A survey on curriculum learning. IEEE Transactions on Pattern Analysis and Machine Intelligence, 2021. + +Kai Wei, Rishabh Iyer, and Jeff Bilmes. Submodularity in data subset selection and active learning. International Conference on Machine Learning, 2015. + +Han Xiao, Kashif Rasul, and Roland Vollgraf. Fashion-mnist: A novel image dataset for benchmarking machine learning algorithms. arXiv preprint arXiv:1708.07747, 2017. + +Jaehong Yoon, Divyam Madaan, Eunho Yang, and Sung Ju Hwang. Online coreset selection for rehearsal-based continual learning. International Conference on Learning Representations, 2021. + +Chiyuan Zhang, Samy Bengio, Moritz Hardt, Benjamin Recht, and Oriol Vinyals. Understanding deep learning (still) requires rethinking generalization. Communications of the ACM, 2021. + +Bo Zhao and Hakan Bilen. Dataset condensation with differentiable siamese augmentation. International Conference on Machine Learning, 2021. + +Bo Zhao, Konda Reddy Mopuri, and Hakan Bilen. Dataset condensation with gradient matching. arXiv preprint arXiv:2006.05929, 2020. + +Xiaojin Zhu, Adish Singla, Sandra Zilles, and Anna Rafferty. An overview of machine teaching. arXiv preprint arXiv:1801.05927, 2018. + +Table 2: This table shows the value of the parameters that are related to a $\log N$ estimate. For example, $\lambda$ for DHPZ, $\xi$ for ours, and the number of sampling repetitions for CFLM. All parameters are the minimal element from the set $\{ 2 ^ { k } 1 0 ^ { 3 } : k \in \mathbb { Z } \}$ such that the algorithm returns successfully. + +
Dataset入 (DHPZ)Sampling Repeats (CFLM)m(Ours)
CIFAR10100020001000
CIFAR1008000160004000
CINIC108000160008000
SVHN10002000500
FMNIST10002000500
MNIST125250125
+ +# A APPENDIX OVERVIEW + +This appendix is split into 5 sections: + +• Additional Experimental Results +• Experimental Details +• Upper Bound Proofs +• Lower Bound Proofs +• Error Squashing Framework Exposition and Proofs + +# A.1 NOTATION DEFINITIONS + +Let $\mathbb { Z }$ denote the set of integers and $\mathbb { Z } _ { + }$ denote the set of positive integers. Let $[ k ] = \{ 1 , 2 , \dots , k \}$ . +For a set $S$ , let $\mathcal { P } ( S )$ denote the power set of $S$ . For a set $S$ , let $S ^ { k }$ be the repeated Cartesian product; +for example, $S ^ { 3 } = \stackrel { \cdot } { S } \times S \times S$ . + +Let ${ \widetilde { O } } ( \cdot )$ denote $O ( \cdot )$ where extraneous log factors are ignored. For example, if an algorithm has a $O ( n \log n )$ runtime, it also has a ${ \widetilde { O } } ( n )$ runtime. Note that we cannot ignore all log terms (otherwise we can drop everything: $O ( n ) = O ( \log ( \exp ( n ) ) )$ , only log factors where the non-log version of an expression also appears. + +# B EXPERIMENTAL DETAILS + +# B.1 MACHINE TEACHING IMPLEMENTATION DETAILS + +The machine teaching techniques, including ours, have three implementation adaptations. First, all methods are run with error squashing. Second, instead of terminating when no pool errors (outside of the training errors) are made, the algorithms return when the number of pool errors is less than $1 0 ^ { - 4 } m$ . Third, to avoid training on very small subsets where training instabilities occur, when a machine teaching algorithm attempts to query a subset with fewer than $1 0 ^ { 4 }$ points, we randomly sample enough points so that the total number of points is exactly $1 0 ^ { 4 }$ . Because MNIST requires significantly fewer points, we randomly sampled to $1 0 ^ { 3 }$ points. + +All machine teaching algorithms include a hyperparameter that roughly corresponds to $\log N$ . For each method and dataset, we tuned over the set $\{ 2 ^ { k } 1 0 ^ { 3 } : k \in \mathbb { Z } \}$ to find the minimal hyperparameter value where the algorithm returned successfully. See Table 2. Our proposed algorithm additionally has the hyperparameter $\hat { d }$ which was set to $1 0 ^ { 3 }$ for all experiments except for MNIST it was set to $1 0 ^ { 2 }$ . + +# B.2 CORESET IMPLEMENTATION DETAILS + +Forgetting scores were calculated while training the subset selection model once. Ten different subset selection models were trained for the ten different runs. + +Table 3: This table shows the number of queries to the learner for the machine teaching methods with the Myrtle architecture. + +
DatasetDHPZCFLMOurs
CIFAR10128108125
CIFAR100126150146
CINIC10144197201
SVHN768987
FMNIST10573102
MNIST473942
+ +Entropy was calculated using the softmax probability distribution after training until completion. +Ten different subset selection models were trained for the ten different runs. + +GraNd was calculated as the L2 norm of the gradient of cross entropy loss with respect to the last layer’s weights and biases, averaged over ten runs. All ten replications used the same GraNd scores (averaged from ten runs). + +# B.3 MYRTLE DETAILS + +Details for the Myrtle architecture can be found here https://github.com/davidcpage/ cifar10-fast. Specifically, we use the updated version that uses a preprocessing whitening block and a weighted KL and cross entropy loss, as well as tricks such as Ghost BatchNorm, two sets of SGD optimizers, and exponential moving averages. Note that we use neither CutOut augmentation nor test time augmentation, as we stick to training augmentation with crops and flips. We keep most hyperparameters the same as the default ones, except we train for $5 0 * 5 0 0 0 0$ steps and set the base learning rate to 0.4. + +# B.4 VGG AND RESNET10 DETAILS + +The code for the VGG and ResNet10 can be found at https://github.com/kuangliu/ pytorch-cifar. VGG was created with the command VGG(’VGG13’) and ResNet10 was created with the command ResNet(BasicBlock, [1, 1, 1, 1]). Both architectures were trained using SGD with momentum of 0.9 and weight decay 0.0005, and a triangular learning rate schedule with a maximum learning rate of 0.1. Cross entropy loss and a gradient scaler were also used. The number of gradient steps was set to be $5 0 \times m$ (i.e. 50 epochs for the full training, more for subsets). + +# C ADDITIONAL EXPERIMENTS + +We first present the number of iterations for the machine teaching methods with Myrtle and VGG in Table 3 and Table 4. + +This appendix includes the full experimental plots. In the first figure (Figure 4), all three architectures are run with all six datasets. The following three figures are cross-architecture experiments and are grouped by the evaluation architecture. See Figure 5 for Myrtle evaluation, Figure 6 for VGG evaluation, and Figure 7 for ResNet10 evaluation. “CIFAR10 with Myrtle” means Myrtle was used for both subset selection and evaluation, while “CIFAR10 from VGG to ResNet10” means VGG was used for subset selection and ResNet10 was used for evaluation. + +![](images/90a7992dd709c9d9662d1167e033489c539bc69c169934c2af31129070521b06.jpg) +Figure 4: Plots for three architectures by six datasets. + +![](images/fe0f10bde55e24c500e66fbd3ba7643b241e3243ac2eeed73ceacb61c0c796f5.jpg) +Figure 5: Cross-architecture evaluation on Myrtle. + +![](images/95b07a8ac08bdb9e6220f56c5b33d123736a39afdb8567ddedcbbd106bd7e595.jpg) +Figure 6: Cross-architecture evaluation on VGG. + +![](images/55e5b133b6918f1599abbe44c70c401395cf87871e51b2a7be965324baf2df7f.jpg) +Figure 7: Cross-architecture evaluation on ResNet10. + +Table 4: This table shows the number of queries to the learner for the machine teaching methods with the VGG architecture. + +
DatasetDHPZCFLMOurs
CIFAR10143158116
CIFAR100123123143
CINIC10202158195
SVHN9079113
FMNIST879996
MNIST424538
+ +# D UPPER BOUND PROOFS + +In this section, we prove the following theorem through a sequence of lemmas. + +Theorem 1. Suppose $\hat { d } \geq d ^ { * }$ and $\hat { N } \geq N : = | \overline { { \mathcal { H } } } |$ . Then, with probability at least $1 - \delta$ , Algorithm 1 returns successfully within $O ( d ^ { * } \log ( m / d ^ { * } ) )$ queries to the learner and the size of the returned set is $| \hat { S } | = O ( \hat { d } ( \log \hat { N } + \log \log m + \log ( 1 / \delta ) )$ . + +Throughout this section, we implicitly assume $\hat { d } \geq d ^ { * }$ and $\hat { N } \geq N$ . + +# D.1 HIGH PROBABILITY EVENT + +Set $\overline { { T } } = 2 \hat { N } \lfloor \log _ { 2 } m \rfloor$ and recall that $\xi = \ln ( 4 \hat { N } ^ { 2 } \log _ { 2 } ( m ) / \delta )$ + +$$ +\begin{array} { c l c r } { { } } & { { } } & { { G _ { h , t } = \left\{ \left| S _ { t } \cap E _ { h } \right| \geq 1 \vee \displaystyle \sum _ { i \in E _ { h } } p _ { t , i } < \xi \right\} } } \\ { { } } & { { } } & { { \overline { { { T } } } } } \\ { { } } & { { } } & { { G = \displaystyle \bigcap _ { t = 1 } ^ { T } \bigcap _ { h \in \overline { { { \mathcal H } } } } G _ { h , t } } } \end{array} +$$ + +Lemma 1. Event $G$ holds with probability $\textstyle 1 - { \frac { \delta } { 2 } }$ + +Proof. Fix any $h \in { \overline { { \mathcal { H } } } }$ and $t \leq \overline { { T } }$ . + +Examine the random variable $\begin{array} { r } { | S _ { t } \cap E _ { h } | = \sum _ { i \in E _ { h } } } \end{array}$ Bernoulli $\left( p _ { t , i } \right)$ . Set $\begin{array} { r } { P _ { h , t } = \sum _ { i \in E _ { h } } p _ { t , i } } \end{array}$ . By a Chernoff bound and taking the limit $\delta 1$ , + +$$ +\begin{array} { c } { \displaystyle \operatorname* { P r } ( | S _ { t } \cap E _ { t } | < ( 1 - \delta ) P _ { h , t } ) \leq \left( \frac { e ^ { - \delta } } { ( 1 - \delta ) ^ { ( 1 - \delta ) } } \right) ^ { P _ { h , t } } } \\ { \displaystyle \operatorname* { P r } ( | S _ { t } \cap E _ { h } | = 0 ) \leq \exp ( - P _ { h , t } ) } \end{array} +$$ + +Therefore, + +$$ +\mathrm { P r } ( \lnot G _ { h , t } ) \le \exp ( - \xi ) +$$ + +Then, by a union bound, + +$$ +\begin{array} { l } { \displaystyle \operatorname* { P r } ( - G ) = \operatorname* { P r } \left( \bigcup _ { \lfloor - 1 \lambda _ { \hbar \in \widetilde { \mathbb { H } } } } ^ { \mathcal { T } } \bigcup _ { - \left. h , t \right. } - \bigcup _ { \substack { \widetilde { \mathbb { H } } \le \widetilde { \mathbb { H } } _ { \widetilde { \mathbb { H } } } } } \right) } \\ { \displaystyle \quad \le \sum _ { \ell = 1 } ^ { \overline { { T } } } \sum _ { k \in \widetilde { \mathbb { H } } } \operatorname* { P r } ( - G _ { h , t } ) } \\ { \displaystyle \quad \le \frac { T N \cot ( - \xi ) } { \alpha } } \\ { \displaystyle \le 2 \hat { N } \log _ { 2 } ( m ) N \frac { \delta } { 4 \hat { N } ^ { 2 } \log _ { 2 } ( m ) } } \\ { \displaystyle \le \frac { \delta } { 2 } } \end{array} +$$ + +Lemma 2. If G holds, then for $\begin{array} { r } { t \leq \overline { { T } } , \sum _ { i \in E _ { t } } p _ { t , i } < \xi } \end{array}$ . + +Proof. By definition of the interpolating model, $\vert S _ { t } \cap E _ { t } \vert = 0$ , therefore, since $G$ holds, $\textstyle \sum _ { i \in E _ { t } } p _ { t , i } < \xi$ . □ + +Note this implies that if $G$ holds and the algorithm terminates before $\overline { T }$ , we won’t return FAILURE TYPE 1 + +# D.2 BOUND ON NUMBER OF ITERATIONS + +Lemma 3. If $G$ holds and $\hat { N } < 2 d ^ { * }$ , then the algorithm returns successfully within $\hat { N } \leq 2 d ^ { * } k _ { 0 }$ iterations. + +Proof. First note that $\overline { { T } } = 2 \hat { N } \log _ { 2 } ( m ) \geq \hat { N }$ + +Note that, under $G$ and if the probabilities are not halved, a hypothesis cannot be returned twice by the learner. This is because when a learner returns $h _ { t }$ , for the next iterations, the weight will be at least $\xi$ and under $G$ , by Lemma 2, $h _ { t }$ cannot be returned again. Thus, if $N \leq \hat { N } < 2 \bar { d }$ , the learner will return all hypotheses before halving. □ + +Lemma 4. If $G$ holds and $\hat { N } \geq 2 d ^ { * }$ , Algorithm $^ { l }$ returns successfully within $2 d ^ { * } k _ { 0 } + 1$ iterations. + +Proof. Fix a subset solution $S ^ { * }$ that has the optimal size $d ^ { * }$ . + +Note that $T \leq 2 \hat { d } \lfloor \log _ { 2 } ( m ) \rfloor \leq \hat { N } \lfloor \log _ { 2 } ( m ) \rfloor \leq \overline { { T } } .$ + +Suppose we have not returned by iteration $T$ ; then, by assumption $\forall t \leq T : | E _ { t } | \geq 1$ + +Note that $E _ { t } \in \mathcal { E }$ , so $| S ^ { * } \cap E _ { t } | \geq 1$ + +$$ +\begin{array} { c } { { \displaystyle \sum _ { i \in S ^ { * } } \mathbf { 1 } [ i \in E _ { t } ] \geq 1 } } \\ { { \displaystyle \sum _ { i \in S ^ { * } } \sum _ { t = 1 } ^ { T } \mathbf { 1 } [ i \in E _ { t } ] \geq T } } \end{array} +$$ + +Note that at every iteration, $k _ { t , i }$ for $i$ in $E _ { t }$ decrease by at least one. By $G$ holding, $E _ { t } \leq \xi$ . Thus, $\Delta _ { t } \geq 1$ . And further, if $k _ { t , i } = \mathrm { ~ 0 ~ }$ , then $p _ { t , i } = 1$ , $i \in S _ { t }$ , and $i \notin E _ { t }$ . + +$$ +k _ { T + 1 , i } \leq k _ { 0 } - \sum _ { t = 1 } ^ { T } \mathbf { 1 } [ i \in E _ { t } ] + \sum _ { t = 1 } ^ { T } \mathbf { 1 } [ t ( \mathrm { m o d } ) 2 \hat { d } = 0 ] +$$ + +But since $k _ { T + 1 , i } \geq 0$ , + +$$ +\begin{array} { c } { { { \displaystyle { k _ { 0 } - \sum _ { i = 1 } ^ { T } \left[ i \in E _ { i } \right] + \frac { T } { 2 \hat { d } } \geq 0 } } } } \\ { { { \displaystyle { d ^ { * } k _ { 0 } - \sum _ { i \in S ^ { s } } \sum _ { \ell = 1 } ^ { T } \left[ i \in E _ { i } \right] + \frac { d ^ { * } T } { 2 \hat { d } } \geq 0 } } } } \\ { { { \displaystyle d ^ { * } k _ { 0 } - T + \frac { d ^ { * } T } { 2 \hat { d } } \geq 0 } } } \\ { { { \displaystyle d ^ { * } k _ { 0 } \geq \left( 1 - \frac { d ^ { * } } { 2 \hat { d } } \right) T } } } \\ { { { \displaystyle d ^ { * } k _ { 0 } \geq \left( 1 - \frac { d ^ { * } } { 2 \hat { d } } \right) T } } } \\ { { { \displaystyle d ^ { * } k _ { 0 } \geq \frac { 1 } { 2 } T } } } \\ { { { \displaystyle { d ^ { * } k _ { 0 } \geq T } } } } \end{array} +$$ + +which is a contradiction. So the algorithm must have returned before $T$ . + +Thus, in either case ( $\hat { N } < 2 \hat { d }$ or $\hat { N } \geq 2 \hat { d } ,$ ), the algorithm terminates before $\overline { T }$ iterations and within $2 d ^ { * } k _ { 0 } + 1$ iterations. + +# D.2.1 SIZE OF RETURNED SUBSET + +We now analyze the size of the returned set $| \hat { S } |$ . First, note that at every iteration, $\mathbb { E } [ | S _ { t } | ] = \sum _ { i } p _ { t , i }$ . We can think of bounding the size of $| \hat { S } |$ as bounding the size of each $| S _ { t } |$ which involves bounding the mean $( \sum _ { i } p _ { t , i } )$ and the deviation from the mean. First we bound the deviation. + +Lemma 5. If $\textstyle \sum _ { i = 1 } ^ { m } p _ { t , i } \leq L$ for all $t \leq \overline { { T } }$ , then, with $1 - \delta$ probability, $| S _ { t } | \le \operatorname* { m a x } ( e ^ { 2 } L , \ln ( 2 \overline { { T } } / \delta )$ for each $t \leq \overline { { T } }$ i=1 with probability at least $\textstyle 1 - { \frac { \delta } { 2 } }$ . + +Proof. Note that $\left| S _ { t } \right| = \textstyle \sum _ { i = 1 } ^ { m }$ Bernoulli $\left( p _ { t , i } \right)$ + +Define $\textstyle P _ { t } = \sum _ { i = 1 } ^ { m } p _ { t , i }$ . Note $0 \leq P _ { t } \leq L$ + +Fix $t$ . By a Chernoff bound, for any $\kappa > 0$ , + +$$ +\operatorname* { P r } [ | S _ { t } | \geq ( 1 + \kappa ) P _ { t } ] \leq \left( { \frac { e ^ { \kappa } } { ( 1 + \kappa ) ^ { ( 1 + \kappa ) } } } \right) ^ { P _ { t } } +$$ + +Define $c = \operatorname* { m a x } ( e ^ { 2 } , \ln ( 2 \hat { N } \overline { { T } } ) / L )$ + +Let $( 1 + \kappa ) P _ { t } = c L$ , so $\begin{array} { r } { \kappa = \frac { c L } { P _ { t } } - 1 } \end{array}$ + +$$ +\begin{array} { r l r } & { } & { { \mathrm { P r } } [ | | S _ { t } | \geq c L ] \leq \frac { e ^ { c L - P _ { t } } } { ( c L / P _ { t } ) ^ { ( c L ) } } } \\ & { } & { \qquad \leq \frac { e ^ { c L } } { ( c ) ^ { ( c L ) } } } \\ & { } & { \qquad = \left( \frac { e } { c } \right) ^ { c L } } \\ & { } & { \qquad \leq e ^ { - c L } } \\ & { } & { { \mathrm { P r } } [ | S _ { t } | \geq \operatorname* { m a x } ( e ^ { 2 } L , \ln ( 2 \overline { T } / \delta ) ) ] \leq \frac { \delta } { 2 \overline { T } } } \end{array} +$$ + +Finally, a union bound over all iterations $t \leq \overline { { T } }$ yields the result. + +Lemma 6. If event $G$ holds, for $t \leq \overline { { T } }$ , + +$$ +\sum _ { i = 1 } ^ { n } p _ { t , i } \leq 8 { \hat { d } } \xi +$$ + +Proof. We will show something slightly stronger, for $t \leq \overline { { T } }$ , + +$$ +\sum _ { i = 1 } ^ { n } p _ { t , i } \leq ( 2 \hat { d } + ( ( t - 1 ) ( \mathrm { m o d } ) ( 2 \hat { d } ) ) ) ( 2 \xi ) \qquad +$$ + +We prove this by induction. As a base case, for $t = 1$ , + +$$ +\begin{array} { c l c r } { \displaystyle \sum _ { i = 1 } ^ { n } p _ { 1 , i } = m 2 ^ { - k _ { 0 } } } \\ { \displaystyle } \\ { \leq m 2 ^ { \log _ { 2 } ( m / \hat { d } ) + 1 } } \\ { \displaystyle } & { = 2 \hat { d } } \\ { \displaystyle } & { \leq ( 2 \hat { d } + 0 ) ( 2 \xi ) } \end{array} +$$ + +For the inductive case, we examine two cases: $t$ (mod) $( 2 \hat { d } ) \neq 0$ and $t$ (mod) $( 2 \hat { d } ) = 0$ . In both cases, we rely on Lemma 2 and event $G$ holding. For the first case, + +$$ +\begin{array} { r l } { \displaystyle \sum _ { i = 1 } ^ { n } p _ { i + 1 } x - \displaystyle \sum _ { j = 1 } ^ { n } \alpha _ { i + 1 , j } x } \\ { = } & { \frac { 1 } { \sqrt { \pi \alpha _ { i } } } } \\ & { \le \displaystyle \sum _ { i = 1 } ^ { n } 2 x + \alpha _ { i } x _ { i } ( 1 ) \| \boldsymbol { \mathcal { E } } \boldsymbol { x } _ { i } } \\ & { \le \displaystyle \sum _ { i = 1 } ^ { n } 2 x + \alpha _ { i } x _ { i } ( 1 ) \| \boldsymbol { \mathcal { E } } \boldsymbol { x } _ { i } } \\ & { < \displaystyle \sum _ { j = 1 } ^ { n } 2 x + \alpha _ { i } x _ { j } ( 1 ) \| \boldsymbol { \mathcal { E } } \boldsymbol { u } _ { i } ^ { \mathrm { ( ) } } } \\ & { \le \displaystyle \sum _ { i = 1 } ^ { n } 2 x + \alpha _ { i } ^ { 2 } x _ { j } ^ { 2 } \| x _ { i } ^ { 3 } - x _ { i } ^ { 3 } \| x _ { i } ^ { 4 } } \\ & { \le \displaystyle \sum _ { j = 1 } ^ { n } \alpha _ { i } x _ { j } + \gamma \displaystyle \sum _ { i \in \mathcal { N } _ { i } } ^ { n } \sum _ { j = 1 } ^ { n } \gamma _ { i , j } x _ { i } } \\ & { \le \displaystyle \sum _ { i = 1 } ^ { n } \alpha _ { i } x _ { j } + \gamma \displaystyle \sum _ { i \in \mathcal { N } _ { i } } ^ { n } \sum _ { j = 1 } ^ { n } 2 x } \\ & { < \displaystyle ( 2 + ( \alpha _ { i } - 1 ) \operatorname* { m a x } ( 2 ) + 2 ) \| \boldsymbol { \mathcal { E } } \boldsymbol { u } _ { i } ^ { \mathrm { ( ) } } } \\ & { \le ( 2 + ( \alpha _ { i } + 1 ) - 1 ) \operatorname* { m a x } ( 2 ) + 2 \| x _ { i } ^ { 2 } \| x _ { j } ^ { 2 } } \end{array} +$$ + +For the second case, + +$$ +\begin{array} { r l } { \displaystyle \sum _ { k = 1 } ^ { n } \beta _ { k + 1 , i } = \sum _ { t = 1 } ^ { n } 2 ^ { k } h + 1 , } \\ & { \le \displaystyle \sum _ { k = 1 } ^ { n } 2 ^ { - k } h + 3 . 0 1 | c s | h - 1 } \\ & { \le \displaystyle \sum _ { k = 1 } ^ { n } 2 ^ { - k } h + 1 . 0 1 | c s | h - 1 } \\ & { \le \displaystyle \sum _ { k = 1 } ^ { 1 } \left[ \displaystyle \sum _ { k = 1 } ^ { n } 2 ^ { - k } h + \displaystyle \sum _ { k = 1 } ^ { n } 2 ^ { - k } h _ { k } + 3 . 1 \right] } \\ & { \le \displaystyle \frac { 1 } { 2 } \left[ \displaystyle \sum _ { k = 1 } ^ { n } p _ { k , i } + 2 . 6 \right] } \\ & { = \displaystyle \frac { 1 } { 2 } \left( ( 2 \hat { a } + ( ( 2 \hat { a } - 1 ) + 1 ) 2 \xi ) \right. } \\ & { \left. = 4 \hat { a } \xi \right. } \\ & { = \displaystyle \left( 2 \hat { a } + ( ( t + 1 ) - 1 ) ( \operatorname* { m o l } 2 \hat { a } ) \right) 2 \xi } \end{array} +$$ + +Putting the bound on the mean and deviation of the mean, we achieve a bound on $\lvert S _ { t } \rvert$ and thus $| \hat { S } |$ . Proposition 4. With probability $1 - \delta$ , + +$$ +\begin{array} { r l } & { | \hat { S } | \le \operatorname* { m a x } ( e ^ { 2 } 8 \hat { d } \xi , \ln ( 2 \overline { { T } } / \delta ) ) } \\ & { \quad \le e ^ { 2 } 8 \hat { d } \xi } \\ & { \quad = O \left( \hat { d } ( \log ( \hat { N } ) + \log \log m + \log ( 1 / \delta ) ) \right) } \end{array} +$$ + +# E LOWER BOUNDS + +In this section, we prove three lower bounds. + +# E.1 PROOF OF QUERY LOWER BOUND FOR LARGE N + +Theorem 2. Fix any $\lambda \geq 1$ and $m \geq 2 \lambda$ . There exists a distribution over interpolating ranked minimal error learners and an $m$ -sized dataset with optimal subset size $d ^ { * }$ , such that any teaching algorithm requires $2 ^ { \Omega ( m / \lambda ) }$ queries to achieve at most $\lambda d ^ { * }$ subset size with probability at least $1 / 2$ . + +Proof. Let the dataset include $m$ points that are all labeled 0. + +Let $K \subset [ m ]$ be randomly chosen such that $K \subset [ m ]$ and $| K | = \lfloor m / ( 2 \lambda ) \rfloor \ge 1$ . $K$ is the random “key”. + +$$ +L ( \{ { \vec { D } } _ { i } : i \in S \} ) ( x _ { j } ) = { \left\{ \begin{array} { l l } { 1 } & { K \not \subset S , | S | \leq m / 2 , j \not \in S } \\ { 0 } & { { \mathrm { o t h e r w i s e } } } \end{array} \right. } +$$ + +We show that the learner can be written as a ranked minimal error learner. + +Define + +$$ +\begin{array} { r l } & { h _ { S } ( x _ { j } ) = \mathbf { 1 } [ j \notin S ] } \\ & { \qquad \mathcal { H } = \{ h _ { S } : S \subset [ m ] : K \notin S \land | S | \leq m / 2 \} \cup \{ h _ { [ m ] } \} } \end{array} +$$ + +and let $R ( h _ { S } ) < R ( h _ { S ^ { \prime } } )$ if $| S | < | S ^ { \prime } |$ (i.e. the learner prefers $h _ { S }$ with smaller $S$ ). + +Note that this learner is an interpolating learner because $L ( K )$ has zero errors. Furthermore, $d ^ { * } =$ $\vert K \vert = \lfloor m / ( 2 \lambda ) \rfloor$ . + +Note that any set of size $| S | = m / 2 + 1$ achieves no errors (error inclusive) but the size is more than $d ^ { * } \lambda$ . + +Furthermore, to achieve $d ^ { * } \lambda$ , a necessary condition for any algorithm is to query a subset where $| S | \le m / 2 \land K \subset S$ . Otherwise, there will be many errors $( \geq m / 2 )$ and no information will be gained on $K$ . This is not sufficient, but is necessary. + +Furthermore, for any subset $| S | \le m / 2$ , the probability that $K \subset S$ is at most $1 / 2 ^ { | K | }$ . + +Thus, by a union bound, in $2 ^ { | K | - 1 }$ iterations, there is a $1 / 2$ chance that the algorithm has not met the necessary condition and thus is not done. Thus, the expected number of iterations is at least + +$$ +2 ^ { | K | - 1 } = 2 ^ { \lfloor m / ( 2 \lambda ) \rfloor - 1 } = 2 ^ { \Omega ( m / \lambda ) } +$$ + +# E.2 QUERY LOWER BOUND FOR SMALL N + +Just for this section, define $[ n ] = \{ 0 , 1 , \ldots , n - 1 \}$ . In other words, we start at zero rather than one. + +Here we describe a ranked minimal error learner that requires $\widetilde \Omega ( d ^ { * } \log ( m / d ^ { * } ) )$ iterations (queries) to even achieve even a rough approximation of the optimal subset. + +Fix any $C , \ell , k \in \mathbb { Z } _ { + }$ . Let there be a randomly chosen vector ${ \vec { c } } \in [ C ] ^ { k \ell }$ . Index $\vec { c }$ by $[ k \ell ]$ + +For simplicity let the ground truth labels all be 0. + +Let $x \in [ k ] \times [ C ] ^ { \ell }$ . + +Let there be $k \ell + 1$ hypotheses where one hypothesis is a hypothesis that makes no mistakes $h ^ { * } =$ $h _ { \infty }$ . For the other $k \ell$ hypotheses, index the hypotheses by $[ k \ell ]$ . + +$$ +h _ { i } ( x ) = { \left\{ \begin{array} { l l } { 1 } & { i / / \ell = x _ { 1 } \wedge x _ { 2 , i \% \ell } = { \vec { c } } _ { i } } \\ { 0 } & { { \mathrm { o t h e r w i s e } } } \end{array} \right. } +$$ + +where $/ /$ signifies integer division and $\%$ signifies modulo. + +Let $R ( h _ { i } ) = i$ and $R ( h _ { \infty } ) = k \ell$ . So $h _ { 0 }$ is preferred, and we must rule out all but the last hypothesis to achieve zero error. + +We assume the teacher knows everything about the structure of the hypotheses except for the randomness in defining $\vec { c }$ (the random “key”). + +Note that we can cover all non-optimal hypotheses with $k$ points, so $d ^ { * } = k$ . + +We now describe the dynamics of making queries. At every iteration $t$ , the teacher can keep track of an uncertainty set for each element of $\vec { c }$ . In particular, let $V _ { t , i } \in \mathcal { P } ( [ C ] )$ be an uncertainty set such that we know $\vec { c } _ { i } \in V _ { t , i }$ at the $t ^ { t h }$ iteration. In particular, each uncertainty set begins as $[ C ]$ . If the $i ^ { t h }$ hypothesis is returned by the learner, the teacher knows $V _ { t , i } = \{ \vec { c } _ { i } \}$ . If we know that we covered $h _ { i }$ with a query set $X _ { t }$ (by knowing the ranked order of hypotheses), then we know that $\begin{array} { r } { \vec { c } _ { i } \in \bigcup _ { x \in X _ { t } : x _ { 1 } = i / / \ell } x _ { 2 , i \% \ell } . } \end{array}$ + +Given the above, we can refine the problem to the following problem with states $Z _ { t } \in [ C ] ^ { k \ell }$ , actions $A _ { t } \in [ C ] ^ { k \ell }$ , and randomness $R _ { t } \in \mathsf { \bar { [ } } k \ell ] \cup \{ \infty \}$ . + +Let $Z _ { t , i } = | V _ { t , i } |$ be the size of the uncertainty set. + +Let + +$$ +A _ { t , i } = \left| \left( \bigcup _ { x \in X _ { t } : x _ { 1 } = i / / \ell } x _ { 2 , i \mathcal { Y } _ { 0 } \ell } \right) \cap V _ { t , i } \right| +$$ + +be the number of elements within the certainty set that we cover with $X _ { t }$ . + +Finally, let $R _ { t }$ be the hypothesis returned from the learner to the teacher at the $t ^ { t h }$ iteration. + +Given a state $Z _ { t }$ , the teacher chooses $X _ { t }$ which can be converted to an $A _ { t }$ such that $0 ~ \leq$ $A _ { t , i } ~ \leq ~ Z _ { t , i }$ . For any query set $X _ { t }$ that the teacher queries, we convert this to an $A _ { t }$ where $\begin{array} { r } { \vert X _ { t } \vert = \sum _ { i _ { 1 } \in [ k ] } \operatorname* { m a x } _ { i _ { 2 } \in [ \ell ] } A _ { t , i _ { 1 } \ell + i _ { 2 } } } \end{array}$ . + +The learner gives the teacher a hypothesis (and thus $R _ { t }$ ) that is random with respect to the randomness in $\vec { c }$ such that + +$$ +\begin{array} { l } { \displaystyle \operatorname* { P r } ( R _ { t } = i ) = \prod _ { j = 1 } ^ { i - 1 } \frac { A _ { t , j } } { Z _ { t , j } } \left( 1 - \frac { A _ { t , i } } { Z _ { t , i } } \right) } \\ { \displaystyle \operatorname* { P r } ( R _ { t } = \infty ) = \prod _ { j = 1 } ^ { k \ell } \frac { A _ { t , j } } { Z _ { t , j } } } \end{array} +$$ + +In other words, $h _ { i }$ is returned by the learner if the query $X _ { t }$ covers the first $i - 1$ hypotheses, but fails to cover the $i ^ { t h }$ hypothesis. Finally, we return $h ^ { * } = h _ { \infty }$ if the rest of the hypotheses are covered. + +Then, on a state $Z _ { t }$ , action $A _ { t }$ , and learner’s hypothesis $R _ { t }$ , we can generate the next state as + +$$ +Z _ { t + 1 , i } = \left\{ { \begin{array} { l l } { A _ { t , i } } & { i < R _ { t } } \\ { 1 } & { i = R _ { t } } \\ { Z _ { t , i } } & { i > R _ { t } } \end{array} } \right. +$$ + +# E.2.1 ANALYSIS FOR LOWER BOUND + +The analysis hinges on examining the potential function: + +$$ +P ( Z _ { t } ) = \sum _ { i = 1 } ^ { k \ell } \ln \left( \frac { C } { Z _ { t , i } } \right) +$$ + +First, note that the potential function is monotone increasing (not strictly) with the number of iterations. Further note that $P ( Z _ { 1 } ) = 0$ since $Z _ { 1 , i } = C$ . + +Note that at any iteration $t$ and state $Z _ { t }$ , the teacher can cover all possible (with respect to the uncertainty sets) hypotheses with exactly + +$$ +Q ( Z _ { t } ) = \sum _ { i _ { 1 } \in [ k ] } \operatorname* { m a x } _ { i _ { 2 } \in [ \ell ] } Z _ { t , i _ { 1 } \ell + i _ { 2 } } +$$ + +points. Furthermore, all uncertainty sets cannot be covered with fewer points. For an algorithm to achieve a final subset of size of at most $\lambda k$ , it must be the case that $Q ( Z _ { t } ) \leq \lambda k$ . + +Lemma 7. For an algorithm to achieve a final subset at iteration $t$ of size at most $\lambda k$ , it must be the case that + +$$ +P ( Z _ { t } ) \geq k \ell \ln \left( \frac { C } { \lambda } \right) +$$ + +Proof. This follows from solving the relaxed optimization problem where $Z _ { t , i } \in \mathbb { R }$ and $1 \leq Z _ { t , i } \leq$ $C$ . + +$$ +\operatorname* { m i n } P ( Z _ { t } ) { \mathrm { ~ s u c h ~ t h a t ~ } } Q ( Z _ { t } ) \leq \lambda k +$$ + +which has a global solution where all elements of $Z _ { t }$ are equal: $Z _ { t , i } = \lambda$ + +# Lemma 8. + +$$ +\mathbb { E } [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] \leq 1 + \ln ( C ) +$$ + +Proof. + +$$ +\begin{array} { r l } { \sum [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] = \mathbb { E } \Bigg [ \displaystyle \sum _ { i = 1 } ^ { N } \log \left( \frac { Z _ { t , i + 1 } } { Z _ { t + 1 } } \right) \Bigg ] } \\ & { = \displaystyle \sum _ { i = 1 } ^ { N } \mathbb { P } ( \bar { X } _ { t } - \tau ) \left[ \displaystyle \sum _ { i = 1 } ^ { N - 1 } \log \left( \frac { Z _ { t , i } } { Z _ { t , i } } \right) \mid \mathrm { ~ i n } \left( \frac { Z _ { t , i } } { \bar { X } _ { t } } \right) \right] } \\ & { \leq \operatorname* { l i m } ( Z ) + \displaystyle \sum _ { i = 1 } ^ { N } \mathbb { P } ( \bar { X } _ { t } - \tau ) \displaystyle \sum _ { i = 1 } ^ { N - 1 } \operatorname* { i n } \left( \frac { Z _ { t , i } } { Z _ { t , i } } \right) } \\ & { = \operatorname* { l i m } ( Z ) + \displaystyle \sum _ { i = 1 } ^ { N } \displaystyle \sum _ { i = 1 } ^ { N } \displaystyle \sum _ { i = 1 } ^ { N } \log \left( R _ { t } - \tau \right) \ln \left( \frac { Z _ { t , i } } { Z _ { t , i } } \right) } \\ & { = \operatorname* { l i m } ( Z ) + \displaystyle \sum _ { i = 1 } ^ { N } \displaystyle \sum _ { i = 1 } ^ { N } \operatorname* { i n } \left( \frac { Z _ { t , i } } { Z _ { t , i } } \right) \ln \left( \frac { Z _ { t , i } } { \bar { X } _ { t } } \right) } \\ & { = \operatorname* { l i m } ( Z ) + \displaystyle \sum _ { i = 1 } ^ { N } \displaystyle \sum _ { i = 1 } ^ { N } \left( \frac { 1 } { Z _ { t , i } } \right) \ln \left( \frac { Z _ { t , i } } { \bar { X } _ { t } } \right) } \\ & { = \operatorname* { l i m } ( Z ) + \displaystyle \sum _ { i = 1 } ^ { N - 1 } \left( \displaystyle \sum _ { i = 1 } ^ { N } \frac { 1 } { Z _ { t , i } } \right) \ln \left( \frac { Z _ { t , i } } { \bar { X } _ { t } } \right) } \\ & { = \operatorname* { l i m } ( Z ) + \displaystyle \sum _ { i = 1 } ^ { N - 1 } \left( \displaystyle \sum _ { i = 1 } ^ { N } \frac { 1 } { Z _ { t , i } } \right) \ln \left( \frac { Z _ { t , i } } { \bar { X } _ { t } } \right) } \end{array} +$$ + +Define $\pi \in \mathbb { R } ^ { k \ell }$ where $\begin{array} { r } { \pi _ { i } = \frac { A _ { t , i } } { Z _ { t , i } } } \end{array}$ so $0 \leq \pi _ { i } \leq 1$ . We can solve the relaxed problem of maximizing over $\pi$ to upper bound the expression. + +$$ +\mathbb { E } [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] \leq \ln ( C ) + \sum _ { i = 0 } ^ { k \ell - 1 } \left( \prod _ { j = 0 } ^ { i } \pi _ { j } \right) \ln \left( \frac { 1 } { \pi _ { i } } \right) +$$ + +Define $\begin{array} { r } { f _ { \pi } ( \sigma ) = \pi \left( \ln \left( \frac { 1 } { \pi } \right) + \sigma \right) } \end{array}$ . Then, + +$$ +\begin{array} { l } { { \displaystyle \sum _ { i = 0 } ^ { k \ell - 1 } \left( \prod _ { j = 0 } ^ { i } \pi _ { j } \right) \ln \left( \frac { 1 } { \pi _ { i } } \right) = \pi _ { 0 } \ln \left( \frac { 1 } { \pi _ { 0 } } \right) + \pi _ { 0 } \pi _ { 1 } \ln \left( \frac { 1 } { \pi _ { 1 } } \right) + \dots + \pi _ { 0 } \pi _ { 1 } \dots \pi _ { k \ell - 1 } \ln \left( \frac { 1 } { \pi _ { k \ell - 1 } } \right) } } \\ { { \displaystyle \qquad ( 7 \pi _ { 0 } ( f _ { \pi _ { 1 } } ( \dots f _ { \pi _ { k \ell - 2 } } ( f _ { \pi _ { k \ell - 1 } } ( 0 ) ) \dots ) ) } } \\ { { \displaystyle \qquad ( 7 \pi _ { 0 } ( f _ { \pi _ { 1 } } ( \dots f _ { \pi _ { k \ell - 2 } } ( f _ { \pi _ { k \ell - 1 } } ( 0 ) ) \dots ) ) } } \end{array} ( 7 ) ~ , +$$ + +Note that if $\sigma \leq 1$ , then $f _ { \pi } ( \sigma ) \leq 1$ for any $0 \leq \pi \leq 1$ . So, by induction, + +$$ +\sum _ { i = 0 } ^ { k \ell - 1 } \left( \prod _ { j = 0 } ^ { i } \pi _ { j } \right) \ln \left( { \frac { 1 } { \pi _ { i } } } \right) \leq 1 +$$ + +and we get the result. + +Intuitively, if an algorithm can only increase $P ( Z _ { t } )$ (in expectation) by $1 + \ln ( C )$ for every iteration and the algorithm isn’t done until $\begin{array} { r } { P ( Z _ { t } ) \geq k \ell \ln \left( \frac { C } { \lambda } \right) } \end{array}$ , we have a lower bound. + +Lemma 9. For any algorithm that returns a subset of size at most $\lambda k$ at random iteration $\tau$ , + +$$ +\operatorname* { P r } \left[ \tau \leq \left\lfloor \frac { k \ell \ln ( C / \lambda ) } { 2 ( 1 + \ln ( C ) ) } \right\rfloor \right] \leq \frac { 1 } { 2 } +$$ + +Proof. Noting that $P ( Z _ { 1 } ) = 0$ , for any $T$ , + +$$ +\begin{array} { r l r } { { \mathbb { E } [ P ( Z _ { T + 1 } ) ] = \sum _ { t = 1 } ^ { T } \mathbb { E } [ P ( Z _ { t + 1 } - P ( Z _ { t } ) ] } } \\ & { } & { \leq T ( 1 + \ln ( C ) ) } \end{array} +$$ + +By Markov’s inequality, + +$$ +\begin{array} { r l } & { \operatorname* { P r } ( \tau \leq T ) \leq \operatorname* { P r } \left( P ( Z _ { T + 1 } ) \geq k \ell \ln \left( \frac { C } { \lambda } \right) \right) } \\ & { \qquad \leq \frac { \operatorname { \mathbb { E } } [ P ( Z _ { T + 1 } ) ] } { k \ell \ln \left( \frac { C } { \lambda } \right) } } \\ & { \qquad \leq \frac { T ( 1 + \ln ( C ) ) } { k \ell \ln \left( \frac { C } { \lambda } \right) } } \end{array} +$$ + +If we set $\begin{array} { r } { T = \lfloor \frac { k \ell \ln ( C / \lambda ) } { 2 ( 1 + \ln ( C ) ) } \rfloor } \end{array}$ , then $\textstyle \operatorname* { P r } ( \tau \leq T ) \leq { \frac { 1 } { 2 } }$ . Or equivalently, + +$$ +\operatorname* { P r } \left( \tau \geq \frac { k \ell \ln ( C / \lambda ) } { 2 ( 1 + \ln ( C ) ) } \right) \geq \frac { 1 } { 2 } +$$ + +Finally, we convert this bound into something more usable. + +Note that d∗ = k, m = kCℓ and N = kℓ + 1. Thus, ℓ = ln(m/k) . + +Set $C = \lceil e \lambda \rceil$ + +Then, with probability at least $1 / 2$ , $\tau$ is at least, + +$$ +\begin{array} { r l } & { \frac { k \ell \ln ( C / \lambda ) } { 2 ( 1 + \ln ( C ) ) } \geq \frac { k \ln ( m / k ) \ln ( e ) } { 2 ( 1 + \ln ( e \lambda + 1 ) ) ( \ln ( e \lambda + 1 ) ) } } \\ & { \qquad \geq \frac { k \ln ( m / k ) } { 2 ( 2 + \ln ( \lambda ) + 1 / e ) ) ( 1 + \ln ( \lambda ) + 1 / e ) } } \\ & { \qquad \geq \frac { k \ln ( m / k ) } { 2 ( 3 + \ln ( \lambda ) ) ^ { 2 } } } \\ & { \qquad = \frac { d ^ { * } \ln ( m / d ^ { * } ) } { 2 ( 3 + \ln ( \lambda ) ) ^ { 2 } } } \end{array} +$$ + +If $\lambda \leq \lambda ^ { \prime } \log ( m ) \log ( N ) \leq \lambda ^ { \prime } \log ( m ) \log ( k \ln ( m / k ) )$ (for constant $\lambda ^ { \prime }$ ), then, the expected number of iterations is $\widetilde \Omega ( d ^ { * } \log ( m / d ^ { * } ) )$ . + +# F ERROR SQUASHING + +# F.1 BACKGROUND + +In this subsection, we review related theoretical work in more detail as background to our framework and algorithms. + +# F.1.1 SETCOVER AND INTERACTIVE VARIANTS + +Setcover is a classic computer science problem (Karp, 1972). While there are many similar and equivalent formulations, for this work, we formulate the problem in terms of $m$ binary decision variables and $N$ elements, where each element is represented by the decision variables that would “cover” the element: $Z _ { i } ~ \subset ~ [ m ]$ for each $i \in [ N ]$ . A solution is a subset $S \subset [ m ]$ such that $\forall i \in [ N ] : \exists s \in S : s \in Z _ { i }$ . In other words, we choose a subset $S \subset [ m ]$ of the decision variables so that all elements $Z _ { i }$ intersect $S$ . We wish to find a solution of smallest size $| S |$ . + +In the standard non-interactive version of setcover, all elements and sets are known, and there exist algorithms that return a solution of size $O ( \log ( N ) C _ { 0 \mathrm { { P T } } } )$ where $C _ { \mathrm { O P T } }$ is the size of the optimal solution set. In an interactive variant known as online set cover (Alon et al., 2009), the elements are not known at the beginning, only the number of decision variables $m$ . The algorithm is initialized with $S _ { 0 } = \emptyset$ . Then, for each iteration $t = 1 , 2 , \ldots$ , an adversary chooses an element $i _ { t } \in [ N ]$ that is not intersected by $S _ { t }$ (i.e. $S _ { t } \cap Z _ { i _ { t } } = \emptyset $ ) and reveals the decision variables that would cover $i _ { t }$ (i.e. $Z _ { i _ { t } }$ ). The algorithm then chooses a set $s _ { t }$ such that $s _ { t } \in Z _ { i _ { t } }$ is permanently added to the solution: $\boldsymbol { S _ { t } } ^ { \prime } = \boldsymbol { S _ { t - 1 } } \bar { \cup } \{ \boldsymbol { s _ { t } } \}$ . This process continues until all elements are covered and the adversary has no possible elements to choose. Note that the online set cover problem is harder than the standard set cover problem: if we were given all elements, we can simulate an adversary. Furthermore, the number of iterations $t$ is exactly the size of the final set. Alon et al. (2009) provides an algorithm that returns a solution of size $O ( \log ( N ) \log ( m ) C _ { \mathrm { O P T } } )$ where $C _ { \mathrm { O P T } }$ is the optimal (offline) solution. + +In this work, we examine another interactive set cover variant that is harder than standard set cover but is a relaxed version of online set cover. We call this exploratory set cover. Like online set cover, the elements are not known at the beginning; the algorithm is only given the number of decision variables $m$ . The algorithm has access to an adversarial oracle which takes a potential solution $S _ { t } \subset [ m ]$ and reveals either that $S _ { t }$ is a valid solution, or chooses an element $i _ { t }$ such that $Z _ { i _ { t } }$ has an empty intersection with $S _ { t }$ and reveals $Z _ { i _ { t } }$ . However, unlike the online set cover version, the sets $S _ { t }$ are arbitrary; for example, they need not be nested. At any iteration, the algorithm can return a final solution $\hat { S }$ that must intersect all $Z _ { i }$ . An algorithm is evaluated by two evaluation aspects, the number of exploratory iterations and the size of the final solution $| \hat { S } |$ . + +# F.1.2 SET COVER HARDNESS + +Set cover is one of Karp’s 21 NP-hard problems (Karp, 1972). Additionally, approximating set cover with an approximation factor of $o ( \log n )$ is computationally hard. To be specific, unless NP problems can be solved in $n ^ { O ( \log \log n ) }$ time (a slightly weaker statement than $\mathbf { P } = \mathbf { N P }$ ), there is no algorithm for set cover that always returns a set cover of size $( 1 - \epsilon ) \ln ( N ) C _ { \mathrm { O P T } }$ , where $C _ { \mathrm { O P T } }$ is the optimal set cover size (Feige, 1998). Alon et al. (2009) shows that approximating online set cover requires a larger approximation factor; any algorithm must return solutions of size at least $\widetilde \Omega ( \ln ( N ) \mathrm { l n } ( m ) C _ { 0 \mathrm { P T } } )$ where $C _ { \mathrm { O P T } }$ is the optimal (offline) solution (Alon et al., 2009). Note that the exploratory set cover problem is harder than standard set cover but easier than online set cover. + +# F.1.3 MACHINE TEACHING + +Machine teaching (Shinohara & Miyano, 1991; Goldman & Kearns, 1995) is a machine learning task where a teacher provides data points to the learner. In the most classic setting, the learner has a finite hypothesis class $\mathcal { H }$ , where each hypothesis is a mapping from $\mathcal { X }$ to $\mathcal { V }$ , the teacher knows the learner’s hypothesis class and which hypothesis is correct, and provides a teaching set $S \subset { \mathcal { X } }$ which uniquely determines the correct hypothesis. In particular, for a hypothesis class $\mathcal { H }$ and a correct hypothesis $h ^ { * }$ , a set $S$ is a teaching set if + +$$ +\forall h \in { \mathcal { H } } \setminus \{ h ^ { * } \} : \exists x \in S : h ( x ) \neq h ^ { * } ( x ) +$$ + +Intuitively, if the teacher provides $\{ ( x , h ^ { \ast } ( x ) ) : x \in S \}$ to the learner, then the only remaining consistent hypothesis is $h ^ { * }$ . + +Machine teaching in this setting, where the teacher knows the entire hypothesis class of the learner, has a straightforward reduction to set cover. In particular, identify each hypothesis $h \in { \mathcal { H } } \setminus \{ h ^ { * } \}$ as an element to be covered and + +$$ +E _ { h } = \{ x \in \mathcal { X } : h ( x ) \neq h ^ { * } ( x ) \} +$$ + +as the decision variables (datapoints in subset) that cover $h$ . + +An important quantity is the size of the smallest teaching set $d ^ { * }$ , which is a function of both the hypothesis class $\mathcal { H }$ and the true hypothesis $h ^ { \ast } \in \mathcal { H }$ . Note that the “teaching dimension” (Goldman & Kearns, 1995), is the maximum of $d ^ { * }$ over all $h ^ { \ast } \in \mathcal { H }$ . + +For the general non-realizable setting, Cicalese et al. (2020) defines a $k$ -extended teaching set. For a hypothesis class $\mathcal { H }$ and true hypothesis $h ^ { * }$ , if $h ^ { * }$ makes $k$ errors on a dataset, then $S$ is a $k$ -extended teaching set if $| S \cap C _ { h } | \geq k + 1$ for any hypothesis that makes at least $k + 1$ errors. + +# F.2 INVARIANCE TO CONSISTENT ADDITIONS + +Suppose we have a hypothesis class $\mathcal { H }$ and a learner $L$ , where each $h \in \mathcal H$ is a function $h : \mathcal { X } \to \mathcal { Y }$ and the learner is a function: + +$$ +L : \mathcal { P } ( \mathcal { X } \times \mathcal { Y } ) \mathcal { H } +$$ + +Throughout this work, we make the following assumption about the learner. + +Definition 4 (Invariant to consistent additions). We say a learner is invariant to consistent additions $i f \forall D \subset \mathcal { P } ( \mathcal { X } \times \mathcal { Y } )$ , $x \subset \mathcal { X }$ , $y \subset \mathcal { V }$ : + +$$ +L ( D ) ( x ) = y \implies L ( D ) = L ( D \cup \{ ( x , y ) \} ) +$$ + +A simple example of a learner that meets this condition is a “ranked minimal error learner”. To avoid handling infinite hypothesis classes, assume $\mathcal { X }$ is finite for this example. Fix a hypothesis class $\mathcal { H }$ + +(note $| \mathcal { H } | \leq | \mathcal { V } | ^ { | \mathcal { X } | } )$ and a bijective ranking $\sigma : { \mathcal { H } } [ | { \mathcal { H } } | ]$ . A ranked minimal error learner returns the highest ranked hypothesis among the hypotheses in $\mathcal { H }$ achieving minimal error on the dataset: + +$$ +L ( D ) = \underset { \substack { h : | \{ ( x , y ) \in D : h ( x ) \neq y \} | = \operatorname* { m i n } _ { h ^ { \prime } \in \mathcal { H } } | \{ ( x , y ) \in D : h ^ { \prime } ( x ) \neq y \} | } } { \arg \operatorname* { m i n } } \sigma ( h ) +$$ + +Proposition 1. A ranked minimal error learner is invariant to consistent additions. + +The proof of Proposition 1 can be found in Appendix F.6. The invariance to consistent additions is more general than ranked minimal error learners: see an example in Appendix F.7.1. + +# F.3 INDUCED HYPOTHESIS CLASSES + +Fix an size $m$ dataset $\{ ( x _ { i } , y _ { i } ) \} _ { i = 1 } ^ { m } \subset ( \mathcal { X } \times \mathcal { Y } ) ^ { m }$ . Note that the learner might have a very large hypothesis class, maybe even large enough to fit arbitrary labels for a $m$ -sized dataset $\langle | \mathcal { H } | = | \mathcal { V } | ^ { m } )$ . However, we can define the induced hypothesis class as + +$$ +\overline { { \mathcal { H } } } = \{ L ( \{ ( x _ { i } , y _ { i } ) : i \in S \} ) : S \subset [ m ] \} +$$ + +which could be significantly smaller, depending on the structure of the model and data. Then, we can define the error sets as + +$$ +\mathcal { E } = \{ \{ i : h ( x _ { i } ) \neq y _ { i } \} : h \in \overline { { \mathcal { H } } } \} - \{ \emptyset \} +$$ + +where $E _ { h } \in \mathcal { E }$ is the set of datapoints that eliminate a hypothesis $h$ . + +For notational convenience, define $L ^ { ( \mathrm { e r r } ) } : \mathcal { P } ( [ m ] ) \mathcal { P } ( [ m ] )$ as the set of errors when trained on a subset $S$ : + +$$ +L ^ { \mathrm { ( e r r ) } } ( S ) = \{ i : L ( \{ ( x _ { i ^ { \prime } } , y _ { i ^ { \prime } } ) : i ^ { \prime } \in S \} ) ( x _ { i } ) \neq y _ { i } \} +$$ + +then, $\mathcal { E }$ is simply, + +$$ +\mathcal { E } = \{ L ^ { \mathrm { e r r } } ( S ) : S \subset [ m ] \} - \{ \varnothing \} +$$ + +# F.4 ERROR INCLUSIVITY + +We wish to find a set $S$ such that makes as few errors as if we trained on the entire dataset: $\vert L ^ { ( \mathrm { e r r } ) } ( S ) \vert = \vert L ^ { ( \mathrm { e r r } ) } ( [ m ] ) \vert$ . However, this condition is a bit general as we might happen to have $| L ^ { \mathrm { ( e r r ) } } ( \emptyset ) | \ = \ | L ^ { \mathrm { ( e r r ) } } ( [ m ] ) |$ , in which case $S \ = \ \emptyset$ is perhaps unlikely to generalize to test points. Instead, we might wish to find a set $S$ that, when trained on, yields no errors outside of $S$ . + +Definition 5. For a fixed dataset, we say a set is “error inclusive” if the following holds: + +$$ +L ^ { ( e r r ) } ( S ) \subset S +$$ + +Note that $[ m ]$ is always error inclusive. Furthermore, if a learner is invariant to consistent additions, ${ \cal L } ^ { ( \mathrm { e r r } ) } ( S ) \bar { = } \bar { \cal L } ^ { ( \mathrm { e r r } ) } ( [ m ] )$ . + +Proposition 5. Suppose a learner $L$ is invariant to consistent additions. If a set $S$ is error inclusive, + +$$ +L ^ { ( e r r ) } ( S ) = L ^ { ( e r r ) } ( [ m ] ) +$$ + +The proof of Proposition 5 is in Appendix F.6. Interpreted further, $| L ^ { ( \mathrm { e r r } ) } ( S ) | = | L ^ { ( \mathrm { e r r } ) } ( [ m ] ) |$ and $L ^ { ( \mathrm { e r r } ) } ( [ m ] ) \subset S$ , meaning that $S$ contains the errors of training on the full dataset. + +# F.4.1 INTERPOLATING LEARNERS + +We say a learner is “interpolating” if it makes no training errors: $L ^ { ( \mathrm { e r r } ) } ( S ) \cap S = \emptyset$ . In this case, we can achieve 0 errors on the entire dataset. Furthermore, note that for interpolating learners, error inclusivity of a set $S$ implies that training on $S$ results in zero error on the entire dataset. + +# F.4.2 RESULTS + +Define the extended error sets as + +$$ +{ \mathcal { E } } ^ { + } = \{ L ^ { \mathrm { ( e r r ) } } ( S ) \setminus S : S \subset [ m ] \} - \{ \emptyset \} +$$ + +Proposition 3. Fix a dataset. If a learner is invariant to consistent additions, + +The proof can be found in Appendix F.6. + +Define + +$$ +d ^ { * } = \operatorname* { m i n } _ { \substack { s \mathrm { f u l l y i n t e r s e c t s } \varepsilon + } } | S | +$$ + +Note that in the case of interpolating learners, ${ \mathcal { E } } ^ { + } = { \mathcal { E } }$ , and $d ^ { * }$ is the size of the optimal teaching set. + +Thus, as in the machine teaching case, we have reduced the problem of finding a good subset to finding a minimal setcover, though of an expanded set. + +Note that we can convert a data subset selection algorithm with interpolating learners (online or exploratory set cover algorithm) into a subset selection algorithm without assuming an interpolating learner, simply by acting as if training errors don’t exist. In particular, if we train on a subset $S _ { t }$ and receive a hypothesis $h _ { t }$ , rather than intersecting $\{ i : h _ { t } ( x _ { i } ) \neq y _ { i } \}$ , we can intersect $\{ i : h _ { t } ( x _ { i } ) \neq$ $y _ { i } \wedge i \notin { \dot { S _ { t } } } \bar { \} }$ . Put another way, when using a realizable algorithm on a non-interpolating learner, we can “squash” the training errors and pretend they don’t exist. In fact, this technique is used as a heuristic in Cicalese et al. (2020) to make the algorithm work in practice. Thus, we provide a framework justifying the use of this technique previously used as a heuristic. + +# F.5 COMPARISON TO K-EXTENDED TEACHING DIMENSION + +Cicalese et al. (2020) introduces the concept of $k$ -extended teaching set for a hypothesis class $\mathcal { H }$ and a dataset $\{ ( x _ { i } , y _ { i } ) \} _ { i = 1 } ^ { m } \subset ( \mathcal { X } \times \mathcal { Y } ) ^ { m }$ . In particular, let $\begin{array} { r } { k = \operatorname* { m i n } _ { h \in { \mathcal { H } } } | \{ i \in [ m ] : h ( x _ { i } ) \neq y _ { i } \} | } \end{array}$ be the minimal number of errors of a hypothesis in $\mathcal { H }$ . A set $S$ is a $k$ -extended teaching set, if for any $h \in \mathcal H$ such that $| \{ i \in [ m ] : h ( x _ { i } ) \neq y _ { i } \} | \ge k + 1$ , $| \{ i \in S : h ( x _ { i } ) \neq y _ { i } \} | \geq k + 1$ . In other words, any hypothesis that makes $k + 1$ errors (more than the optimal number) on the entire dataset, makes $k + 1$ errors on the selected subset $S$ . + +Here, for ranked minimal error learners, we compare $k$ -extended teaching sets to error inclusive sets (and thus sets that fully intersect ${ \mathcal { E } } ^ { + }$ ). Fix a dataset, hypotheses $\mathcal { H }$ , and ranking $\sigma$ . Let $k$ be the minimal number of errors for a hypothesis $h \in \mathcal H$ for $\vec { D }$ . For a ranked minimal error learner, $| L ^ { ( \mathrm { e r r } ) } ( [ m ] ) | = k$ , so an error inclusive set must make $k$ errors. Therefore any hypothesis $h$ where $\sigma ( h ) \div \bar { \sigma ( \cal L ( \{ ( x _ { i } , y _ { i } ) : i \in [ m ] \} ) ) } = \sigma ^ { * }$ must incur at least $k + 1$ errors on $S$ , and any hypothesis $h$ where $\sigma ( h ) > \sigma ( L ( \{ ( x _ { i } , y _ { i } ) : i \in [ m ] \} ) ) = \sigma ^ { * }$ must incur at least $k$ errors on $S$ . A comparison of the two concepts is shown in Table 5. + +Note that error inclusivity requires one less error on Type $\mathrm { I I }$ hypotheses and $k$ more errors on Type III (error optimal) hypotheses. We can construct cases where the smallest error inclusive subset is of size $m$ but the smallest $k$ -extended teaching set is of size 0 (see Appendix F.7.3). In the other direction, there are cases where the smallest error inclusive subset is of size 2 while the smallest $k$ -extended teaching set is of size $m - 1$ (see Appendix F.7.4). Thus, the two notions of optimality are similar but neither is a stronger condition than the other. + +Table 5: A comparison between $k$ -extended teaching sets and error inclusive sets. The three columns correspond to three types of hypotheses separated by two attributes: whether a hypothesis is ranked higher or lower than $\bar { L } ^ { ( \mathrm { e r r } ) } ( [ m ] )$ , and whether the total number of errors for a hypothesis is optimal, $k$ , or sub-optimal, $\geq k + 1$ . Note that $L ^ { \mathrm { ( e r r ) } } ( [ m ] )$ is the highest ranked hypothesis with optimal errors $k$ , so there are no hypotheses with $k$ errors and rank lower than $\sigma ^ { * }$ . + +
Hypothesis typeType IType IIType III
o(h) Total errors<*>g*>g*
Errors for k-extended≥k+1≥k+1=k
≥k+1≥k+1≥0
Errors for error inclusive≥k+1≥k≥k
+ +# F.6 FRAMEWORK PROOFS + +# Proposition 1. A ranked minimal error learner is invariant to consistent additions. + +Proof. Suppose $L$ is a ranked minimal error learner with hypothesis class $\mathcal { H }$ and ranking $\sigma$ . Fix a dataset $D \subset \mathcal { P } ( \mathcal { X } \times \mathcal { Y } )$ , an input $x \in \mathcal { X }$ , and an output $y \in \mathcal { V }$ . It suffices to show that $L ( D ) ( x ) = y$ implies $L ( D ) = L ( D \cup ( x , y ) )$ . + +Define $D ^ { + } = D \cup \{ ( x , y ) \}$ . Define $E : \mathcal { P } ( \mathcal { X } \times \mathcal { Y } ) \times \mathcal { H } \mathbb { Z } _ { + }$ as $E ( D , h ) = | \{ ( x , y ) \in D :$ $h ( x ) \neq y \}$ . + +$$ +\begin{array} { l } { \displaystyle \quad \underline { E } = \operatorname* { m i n } _ { h \in \mathcal H } E ( D , h ) } \\ { \displaystyle \underline { E } ^ { + } = \operatorname* { m i n } _ { h \in \mathcal H } E ( D ^ { + } , h ) } \\ { \displaystyle M = \{ h : E ( D , h ) = \underline { E } \} } \\ { \displaystyle M ^ { + } = \{ h : E ( D ^ { + } , h ) = \underline { E } ^ { + } \} } \end{array} +$$ + +note that + +$$ +\begin{array} { c } { { L ( D ) = \underset { h \in { \cal M } } { \arg \operatorname* { m i n } } \sigma ( h ) } } \\ { { L ( D ^ { + } ) = \underset { h \in { \cal M } ^ { + } } { \arg \operatorname* { m i n } } \sigma ( h ) } } \end{array} +$$ + +Define + +$$ +\begin{array} { r } { \underline { { \sigma } } = \underset { h \in M } { \operatorname* { m i n } } \sigma ( h ) } \\ { \underline { { \sigma } } ^ { + } = \underset { h \in M } { \operatorname* { m i n } } \sigma ( h ) } \end{array} +$$ + +Because $L ( D ) \in { \cal M } , E ( D , L ( D ) ) = \underline { { E } } .$ . + +Because $D \subset D ^ { + }$ , so $E ^ { + } \geq \underline { { E } }$ . + +Therefore, $E ^ { + } = E$ . + +Because $E ( D , h ) \leq E ( D ^ { + } , h )$ and $\underline { { E } } ^ { + } = \underline { { E } } , M ^ { + } \subset M$ . Furthermore, $E ( D ^ { + } , L ( D ) ) = \underline { { E } } = \underline { { E } } ^ { + }$ , so $L ( D ) \in { \mathrm { \Omega } } M ^ { + }$ . + +$$ +\sigma ( L ( D ) ) = \operatorname* { m i n } _ { h \in M } \sigma ( h ) \leq \operatorname* { m i n } _ { h \in M ^ { + } } \sigma ( h ) \leq \sigma ( L ( D ) ) +$$ + +Because $\sigma$ is bijective, it has a unique argmax. + +so $L ( D ^ { + } ) = \arg \operatorname* { m i n } _ { h \in M ^ { + } } \sigma ( h ) = L ( D ) .$ + +Lemma 10. Suppose a learner $L$ is invariant to consistent additions. Then, for a fixed dataset $\{ ( x _ { i } , y _ { i } ) : i \in [ \bar { m } ] \}$ , and for any subsets $S , S ^ { \prime } \subset [ m ]$ , + +$$ +L ^ { ( e r r ) } ( S ) \cap S ^ { \prime } = \varnothing \implies L ^ { ( e r r ) } ( S \cup S ^ { \prime } ) = L ^ { ( e r r ) } ( S ) +$$ + +Proof. We prove by induction on the size of $S ^ { \prime }$ + +As the base case, if $| S ^ { \prime } | = 0$ , the statement trivially holds. + +Suppose the lemma holds for any $| S ^ { \prime } | = k$ . Now, we must show $L ^ { ( \mathrm { e r r } ) } ( S ) \cap S ^ { \prime } = \varnothing \implies L ^ { ( \mathrm { e r r } ) } ( S \cup$ $S ^ { \prime } \dot { ) } = L ^ { ( \mathrm { e r r } ) } ( S )$ for $| S ^ { \prime } | = k + 1$ . + +Choose $s$ and $S ^ { \prime \prime }$ with $\left| S ^ { \prime \prime } \right| = k$ such that $S ^ { \prime } = S ^ { \prime \prime } \cup \{ s \}$ . Then, $L ^ { ( \mathrm { e r r } ) } ( S ) \cap S ^ { \prime } = \emptyset$ implies $L ^ { ( \mathrm { e r r } ) } ( S ) \cap S ^ { \prime \prime } = \emptyset$ and thus $L ^ { ( \mathrm { e r r } ) } ( S \cup S ^ { \prime \prime } ) = L ^ { ( \mathrm { e r r } ) } ( S )$ . + +Furthermore, $L ^ { ( \mathrm { e r r } ) } ( S ) \cap S ^ { \prime } = \emptyset$ implies $s \not \in L ^ { ( \mathrm { e r r } ) } ( S ) = L ^ { ( \mathrm { e r r } ) } ( S \cup S ^ { \prime \prime } )$ . Therefore, + +$$ +L ( \{ ( x _ { i } , y _ { i } ) : i \in S \cup S ^ { \prime \prime } \} ) ( x _ { s } ) = y _ { s } +$$ + +since the learner is invariant to consistent additions, + +$$ +\begin{array} { r } { z ( \{ ( x _ { i } , y _ { i } ) : i \in S \cup S ^ { \prime \prime } \} ) = L ( \{ ( x _ { i } , y _ { i } ) : i \in S \cup S ^ { \prime \prime } \} \cup \{ ( x _ { s } , y _ { s } ) \} ) = L ( ( x _ { i } , y _ { i } ) : i \in S \cup S ^ { \prime \prime } \cup \{ s \} ) } \end{array} +$$ + +$$ +L ^ { ( \operatorname { e r r } ) } ( S ) = L ^ { ( \operatorname { e r r } ) } ( S \cup S ^ { \prime \prime } ) = L ^ { ( \operatorname { e r r } ) } ( S \cup S ^ { \prime \prime } \cup \{ s \} ) = L ^ { ( \operatorname { e r r } ) } ( S \cup S ^ { \prime } ) +$$ + +Proposition 5. Suppose a learner $L$ is invariant to consistent additions. If a set $S$ is error inclusive, + +$$ +L ^ { ( e r r ) } ( S ) = L ^ { ( e r r ) } ( [ m ] ) +$$ + +Proof. Note that since $L ^ { \mathrm { ( e r r ) } } ( S ) \subset S , L ^ { \mathrm { ( e r r ) } } ( S ) \cap ( [ m ] \setminus S ) = \emptyset .$ + +By Lemma 10, this implies $L ( S ) = L ( S \cup ( [ m ] \setminus S ) ) = L ( [ m ] )$ . Then, $L ^ { \mathrm { ( e r r ) } } ( S ) = L ^ { \mathrm { ( e r r ) } } ( [ m ] )$ . + +Lemma 11. Suppose a learner $L$ is invariant to consistent additions. For any sets $S ^ { * } , S \subset [ m ] , i f$ $S ^ { * }$ is error inclusive, then either + +$$ +| ( L ^ { ( e r r ) } ( S ) \setminus S ) \cap S ^ { * } | \geq 1 +$$ + +or + +$$ +L ^ { ( e r r ) } ( S ^ { * } ) = L ^ { ( e r r ) } ( S ) +$$ + +Proof. By the assumption of error inclusivity, $L ^ { ( \mathrm { e r r } ) } ( S ^ { * } ) \setminus S ^ { * } = \emptyset$ . + +Thus $L ^ { ( \mathrm { e r r } ) } ( S ^ { * } ) \cap \lnot S ^ { * } \cap S = \emptyset$ and $L ^ { ( \mathrm { e r r } ) } ( S ^ { * } ) \cap ( S \setminus S ^ { * } ) = \emptyset$ . Since $L$ is invariant to consistent additions, $L ^ { \mathrm { ( e r r ) } } ( S ^ { * } ) = L ^ { \mathrm { ( e r r ) } } ( S ^ { * } \cup ( S \setminus S ^ { * } ) ) = L ^ { \mathrm { ( e r r ) } } ( S \cup S ^ { * } ) .$ . + +Suppose the first conclusion is not satisfied: $( L ^ { ( \mathrm { e r r } ) } ( S ) \setminus S ) \cap S ^ { * } = \emptyset$ , then $L ^ { ( \mathrm { e r r } ) } ( S ) \cap ( S ^ { * } \setminus S ) = \emptyset$ . +Since the learner is invariant to consistent additions, $L ^ { \mathrm { ( e r r ) } } ( S ) = L ^ { \mathrm { ( e r r ) } } ( S \cup ( S ^ { * } \setminus S ) ) ^ { * } = L ^ { \mathrm { ( e r r ) } } ( S \cup S ^ { * } )$ . + +Thus, $L ^ { \mathrm { ( e r r ) } } ( S ) = L ^ { \mathrm { ( e r r ) } } ( S \cup S ^ { * } ) = L ^ { \mathrm { ( e r r ) } } ( S ^ { * } ) .$ + +Proposition 3. If a learner $L$ is invariant to consistent additions, then, + +Proof. : Suppose $S$ fully intersects ${ \mathcal { E } } ^ { + }$ . Then, for any set $S ^ { \prime }$ , either $L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) \ \backslash \ S ^ { \prime } \ = \ \varnothing$ or $| ( L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) \setminus S ^ { \prime } ) \cap S | \ge 1$ . + +Set $S ^ { \prime } = S$ . Then, because $( L ^ { ( \mathrm { e r r } ) } ( S ) \setminus S ) \cap S = \emptyset$ , it must be the case that $L ^ { ( \mathrm { e r r } ) } ( S ) \setminus S = \emptyset$ and thus $S$ is error inclusive. + +: Suppose a set $S$ is error inclusive. + +Pick any set $S ^ { \prime } \subset [ m ]$ . It suffices to show that either $L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) / S ^ { \prime } = \emptyset$ or $| ( L ^ { \mathrm { ( e r r ) } } ( S ^ { \prime } ) / S ^ { \prime } ) \cap S | \ge 1$ + +By Lemma 11, there are two cases: + +Case 1: $| ( L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) \setminus S ^ { \prime } ) \cap S | \geq 1$ . + +We are done. + +Case 2: $L ^ { \mathrm { ( e r r ) } } ( S ) = L ^ { \mathrm { ( e r r ) } } ( S ^ { \prime } )$ and $( L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) \setminus S ^ { \prime } ) \cap S = \emptyset$ . + +$$ +\begin{array} { r l r } & { } & { ( L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) \setminus S ^ { \prime } ) \cap S = \emptyset } \\ & { } & { ( L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) \cap S ) \cap \neg S ^ { \prime } = \emptyset } \\ & { } & { ( L ^ { ( \mathrm { e r r } ) } ( S ) \cap S ) \cap \neg S ^ { \prime } = \emptyset } \\ & { } & { L ^ { ( \mathrm { e r r } ) } ( S ) \cap \neg S ^ { \prime } = \emptyset } \\ & { } & { L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) \cap \neg S ^ { \prime } = \emptyset } \\ & { } & { L ^ { ( \mathrm { e r r } ) } ( S ^ { \prime } ) \setminus S ^ { \prime } = \emptyset } \end{array} +$$ + +where the third to last line follows from the error inclusivity of $S$ . + +# F.7 EXAMPLES + +# F.7.1 EXAMPLE OF LEARNER THAT IS NOT A MINIMAL ERROR LEARNER, BUT IS INVARIANT TO CONSISTENT ADDITIONS + +We examine a situation with three datapoints and binary labels. The dataset is $\begin{array} { r l } { D } & { { } = } \end{array}$ $\{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \}$ and the learner $L$ has two hypotheses $h _ { 1 }$ and $h _ { 2 }$ where + +$$ +\begin{array} { r l } & { h _ { 1 } ( x _ { 1 } ) = 1 } \\ & { h _ { 1 } ( x _ { 2 } ) = 0 } \\ & { h _ { 1 } ( x _ { 3 } ) = 0 } \\ & { h _ { 2 } ( x _ { 1 } ) = 0 } \\ & { h _ { 2 } ( x _ { 2 } ) = 1 } \\ & { h _ { 2 } ( x _ { 3 } ) = 1 } \end{array} +$$ + +the learner has the following mapping: + +$$ +\begin{array} { r l r } & { } & { L ( \emptyset ) = h _ { 2 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) \} ) = h _ { 2 } } \\ & { } & { L ( \{ ( x _ { 2 } , 0 ) \} ) = h _ { 1 } } \\ & { } & { L ( \{ ( x _ { 3 } , 0 ) \} ) = h _ { 1 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) \} ) = h _ { 1 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) , ( x _ { 3 } , 0 ) \} ) = h _ { 2 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) , ( x _ { 3 } , 0 ) \} ) = h _ { 2 } } \\ & { } & { L ( \{ ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \} ) = h _ { 1 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \} ) = h _ { 2 } } \end{array} +$$ + +Note that $h _ { 2 }$ has two errors on $D$ , while $h _ { 1 }$ only has one error. However, $L ( D ) = h _ { 2 }$ . Thus, the learner does not return the hypothesis with minimal error. + +However, a simple examination yields invariance to consistent additions. For example, $L ( \{ ( x _ { 2 } , 0 ) \} ) ( x _ { 3 } ) { \bar { = } } y _ { 3 }$ and $L ( \{ ( x _ { 2 } , 0 ) \} ) = L ( \{ ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \} )$ . + +# F.7.2 COMPARISON BETWEEN INDUCED HYPOTHESIS CLASS AND EXTENDED ERROR SETS + +Here we show that ${ \mathcal { E } } ^ { + }$ can be larger than $\mathcal { E }$ . + +We examine a situation with three datapoints and binary labels. The dataset is $\begin{array} { r l } { D } & { { } = } \end{array}$ $\{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \}$ and the learner $L$ has two hypotheses $h _ { 1 }$ and $h _ { 2 }$ where + +$$ +\begin{array} { r l } & { h _ { 1 } ( x _ { 1 } ) = 1 } \\ & { h _ { 1 } ( x _ { 2 } ) = 0 } \\ & { h _ { 1 } ( x _ { 3 } ) = 0 } \\ & { h _ { 2 } ( x _ { 1 } ) = 0 } \\ & { h _ { 2 } ( x _ { 2 } ) = 1 } \\ & { h _ { 2 } ( x _ { 3 } ) = 1 } \end{array} +$$ + +$$ +\begin{array} { r l r } & { } & { L ( \emptyset ) = h _ { 2 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) \} ) = h _ { 2 } } \\ & { } & { L ( \{ ( x _ { 2 } , 0 ) \} ) = h _ { 1 } } \\ & { } & { L ( \{ ( x _ { 3 } , 0 ) \} ) = h _ { 1 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) \} ) = h _ { 1 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) , ( x _ { 3 } , 0 ) \} ) = h _ { 2 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) , ( x _ { 3 } , 0 ) \} ) = h _ { 2 } } \\ & { } & { L ( \{ ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \} ) = h _ { 1 } } \\ & { } & { L ( \{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \} ) = h _ { 1 } } \end{array} +$$ + +Then, $\mathcal { E } ^ { + } = \{ \{ 1 \} , \{ 2 , 3 \} , \{ 2 \} , \{ 3 \} \}$ while $\mathcal { E } = \{ \{ 1 \} , \{ 2 , 3 \} \}$ . + +# F.7.3 K-EXTENDED TEACHING SET SUPERIORITY + +In the following example, $\mathcal { H } = \{ h _ { i } \} _ { i }$ and $\sigma ( h _ { i } ) = i$ . + +$$ +\begin{array} { c } { y . = ( 0 , 0 , 0 , \ldots , 0 , 0 ) } \\ { \ } \\ { h _ { 1 } ( x . ) = ( 1 , 0 , 0 , 0 , \ldots , 0 , 0 ) } \\ { \ h _ { 2 } ( x . ) = ( 0 , 1 , 0 , 0 , 0 , \ldots , 0 , 0 ) } \\ { h _ { 3 } ( x . ) = ( 0 , 0 , 1 , 0 , 0 , \ldots , 0 , 0 ) } \\ { h _ { 4 } ( x . ) = ( 0 , 0 , 0 , 1 , 0 , \ldots , 0 , 0 ) } \\ { \ \cdot \cdot \cdot } \\ { h _ { m } ( x . ) = ( 0 , 0 , 0 , 0 , 0 , \ldots , 0 , 1 ) } \end{array} +$$ + +In this case, the smallest 1-extended teaching set is $\varnothing$ while the smallest error inclusive set is $\{ 1 , 2 , \ldots , m \}$ . + +# F.7.4 ERROR INCLUSIVITY SUPERIORITY + +In the following example, $\mathcal { H } = \{ h _ { i } \} _ { i }$ and $\sigma ( h _ { i } ) = i$ . + +$$ +\begin{array} { r } { y . = ( 0 , 0 , 0 , 0 , 0 , \ldots , 0 , 0 , 0 ) } \\ { h _ { 1 } ( x . ) = ( 1 , 0 , 0 , 0 , 0 , \ldots , 0 , 0 , 0 ) } \\ { h _ { 2 } ( x . ) = ( 0 , 1 , 0 , 0 , 0 , \ldots , 0 , 0 , 1 ) } \\ { h _ { 3 } ( x . ) = ( 0 , 0 , 1 , 0 , 0 , \ldots , 0 , 0 , 1 ) } \\ { h _ { 4 } ( x . ) = ( 0 , 0 , 0 , 1 , 0 , \ldots , 0 , 0 , 1 ) } \\ { \ldots } \\ { h _ { m - 1 } ( x . ) = ( 0 , 0 , 0 , 0 , 0 , \ldots , 0 , 1 , 1 ) } \end{array} +$$ + +In this case, the smallest 1-extended teaching set is $\{ 2 , 3 , \ldots , m \}$ while the smallest error inclusive set is $\{ 1 , m \}$ . \ No newline at end of file diff --git a/parse/dev/tGHi1HFNBx1/tGHi1HFNBx1_content_list.json b/parse/dev/tGHi1HFNBx1/tGHi1HFNBx1_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..d1c979a6002357536ab65c7a93dcaeabcb8dc213 --- /dev/null +++ b/parse/dev/tGHi1HFNBx1/tGHi1HFNBx1_content_list.json @@ -0,0 +1,5110 @@ +[ + { + "type": "text", + "text": "DATA SUBSET SELECTION VIA MACHINE TEACHING ", + "text_level": 1, + "bbox": [ + 178, + 98, + 802, + 122 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Anonymous authors Paper under double-blind review ", + "bbox": [ + 183, + 145, + 398, + 172 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 454, + 210, + 544, + 226 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We study the problem of data subset selection: given a fully labeled dataset and a training procedure, select a subset such that training on that subset yields approximately the same test performance as training on the full dataset. We propose an algorithm, inspired by recent work in machine teaching, that has theoretical guarantees, compelling empirical performance, and is model-agnostic meaning the algorithm’s only information comes from the predictions of models trained on subsets. Furthermore, we prove lower bounds that show that our algorithm achieves a subset with near-optimal size (under computational hardness assumptions) while training on a number of subsets that is optimal up to extraneous log factors. We then empirically compare our algorithm, machine teaching algorithms, and coreset techniques on six common image datasets with convolutional neural networks. We find that our machine teaching algorithm can find a subset of CIFAR10 of size less than 16k that yields the same performance ( $5 \\%$ error) as training on the full dataset of size 50k. ", + "bbox": [ + 233, + 241, + 764, + 434 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 462, + 336, + 477 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Machine learning has made tremendous progress in the past two years with large models such as GPT-3 and CLIP (Brown et al., 2020; Radford et al., 2021). A key ingredient in these milestones is increasing the amount of training data to Internet scale. However, large datasets come with a cost, and not all – or maybe not even most – training data is useful. Data subset selection addresses this practical issue with the goal of finding a subset of a dataset so that training on the subset yields approximately the same test performance as training on the full dataset (Wei et al., 2015). Applications of data subset selection include continual learning (Aljundi et al., 2019; Borsos et al., 2020; Yoon et al., 2021), experience replay (Schaul et al., 2016; Hu et al., 2021), curriculum learning (Bengio et al., 2009; Wang et al., 2021), and data-efficient learning (Killamsetty et al., 2021a). Additionally, data subset selection is closely related to active learning (Settles, 2009; Sener & Savarese, 2018) and to fundamental questions about the role of data in learning (Toneva et al., 2018). ", + "bbox": [ + 173, + 492, + 825, + 646 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Data subset selection has been studied in two quite different contexts. First, perhaps the more popular approaches are found in the coreset literature (Sener & Savarese, 2018; Coleman et al., 2020; Mirzasoleiman et al., 2020; Paul et al., 2021), an empirically driven (Guo et al., 2022) research area that includes a variety of techniques to select important and diverse points, often with an eye towards minimal computational cost of subset selection. Second, machine teaching (Goldman & Kearns, 1995; Shinohara & Miyano, 1991) focuses on minimizing the number of examples a teacher must present to a learner and can be reframed as data subset selection in some settings. As machine teaching has mostly been studied from a conceptual or theoretical viewpoint, black-box models such as modern neural networks present a practical challenge for machine teaching. However, recently, a theoretical breakthrough in the machine teaching literature (Dasgupta et al., 2019; Cicalese et al., 2020) formalizes and provides algorithms with analysis for teaching black-box learners. Although these works are mainly theoretical, they also include some limited empirical evaluation, though with implementations that include unjustified heuristics. Furthermore, Dasgupta et al. (2019) includes no baselines and Cicalese et al. (2020) only includes random sampling as a baseline. As of yet, the two algorithms have not been compared in the literature, much less to other coreset methods. ", + "bbox": [ + 174, + 654, + 825, + 859 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work, we bring together these two lines of research, through both theoretical analysis and empirical evaluation. We make a clear connection between a particular machine teaching setting and data subset selection, use this insight to introduce an algorithm with state of the art and near-optimal asymptotics, prove correctness of implementation heuristics from previous machine teaching work, and empirically evaluate methods from both machine teaching and coreset selection on a standard set of benchmarks for the first time. The subset size returned by our machine teaching algorithm shaves off a factor logarithmic in the dataset size compared to existing work. Furthermore, through novel lower bounds, we show that the subset size of our algorithm is near-optimal (under computational hardness assumptions regarding the NP-complete class of problems) and that the expected number of times we must query the learner (train a network) is optimal up to extraneous log factors. ", + "bbox": [ + 174, + 868, + 823, + 924 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 823, + 188 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Existing machine teaching algorithms from Dasgupta et al. (2019); Cicalese et al. (2020) perform well when our learner fits labels perfectly (zero training error) but fail catastrophically if the learner makes a few training errors. To address this issue, prior work (Cicalese et al., 2020) removes the training errors from the predictions provided to the teacher, a technique we refer to as error squashing. We provide a rigorous theoretical framework that explains why this technique of squashing errors is justified and effective, and furthermore, use it in our algorithm. ", + "bbox": [ + 174, + 194, + 825, + 277 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Finally, and perhaps most importantly, we compare machine teaching algorithms, including ours, to state-of-the-art coreset selection techniques and random sampling. We perform experiments with three convolutional neural network architectures on six image datasets (CIFAR10, CIFAR100, CINIC10, MNIST, Fashion MNIST, SVHN). We find that the machine teaching algorithms all perform roughly the same and consistently match or outperform the coreset selection techniques. ", + "bbox": [ + 174, + 285, + 825, + 354 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In summary, our main contributions are: ", + "bbox": [ + 174, + 362, + 437, + 376 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "• Proposing a machine teaching subset selection algorithm with analysis and lower bounds, showing that the algorithm achieves optimal asymptotic performance up to extraneous log factors. \n• Providing the first analysis for the justification of error squashing. \n• Experimentally comparing machine teaching algorithms and coreset techniques using three convolutional neural network architectures on six image datasets. ", + "bbox": [ + 215, + 393, + 825, + 501 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In Sections 2 and 3, we introduce the classification setting and present our algorithm with its guarantee. Next, we show our main theoretical results in Section 4 and experimental results in Section 5. Finally, we discuss our work within the context of related work in Sections 6 and 7. ", + "bbox": [ + 176, + 517, + 825, + 560 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 SETTING ", + "text_level": 1, + "bbox": [ + 174, + 587, + 281, + 603 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We work in a classification setting with an input space $\\mathcal { X }$ and a finite output space $\\mathcal { V }$ . Given a distribution $\\mathcal { D }$ over $\\mathcal { X } \\times \\mathcal { V }$ , we wish to find a classifier $h : \\mathcal { X } \\mathcal { Y }$ with low (test) error: $\\operatorname { e r r } ( h ) =$ $\\operatorname* { P r } _ { ( x , y ) \\sim \\mathcal { D } } [ h ( x ) \\neq y ]$ . ", + "bbox": [ + 174, + 622, + 825, + 666 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "In this work, we assume we have a hypothesis class $\\mathcal { H }$ and a learner $L$ , where each $h \\in \\mathcal H$ is a function $h : \\mathcal { X } \\to \\mathcal { Y }$ and the learner is a function: $L : ( \\mathcal { X } \\times \\mathcal { Y } ) ^ { * } \\to \\mathcal { H }$ . ", + "bbox": [ + 174, + 671, + 823, + 700 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "We assume we have a pool of $m$ labeled data points, $\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m } \\subset ( \\mathcal { X } \\times \\mathcal { Y } ) ^ { m }$ . The objective of data subset selection is to select a subset $S \\subset [ m ]$ of small size $| S |$ such that $\\operatorname { e r r } ( L ( \\{ ( x _ { i } , \\overbar y _ { i } ) : i \\in$ $S \\}$ ) is low; perhaps as low as the error of training on all data: $\\operatorname { e r r } ( L ( \\{ ( x _ { i } , y _ { i } ) : i \\in [ m ] \\} )$ ). ", + "bbox": [ + 174, + 707, + 825, + 750 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3 METHOD ", + "text_level": 1, + "bbox": [ + 174, + 776, + 282, + 792 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Although our ultimate objective is low test error, without a comprehensive understanding of generalization for models such as neural networks, we instrumentally focus on achieving low error on the pool of $m$ datapoints. Zhang et al. (2021) show that modern neural networks can exactly fit arbitrary (even random) ground truth labels. Following previous machine teaching work, we initially assume that the learner makes no errors on the training subset, and refer to these learners as interpolating learners. Note that for interpolating learners, we can always achieve zero pool error if we train with the entire pool. However, it may be possible to select a smaller subset that yields zero pool error. Later, we relax this assumption as it is only approximately true in practice. ", + "bbox": [ + 174, + 811, + 825, + 924 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "3.1 MAIN ALGORITHM ", + "text_level": 1, + "bbox": [ + 176, + 103, + 344, + 117 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section, we present our algorithm (see Algorithm 1 for pseudo-code). Our algorithm is an iterative algorithm, where each iteration is composed of three steps: sampling a subset of the pool, training on that subset, and using the results of training to update the subset sampling distribution. The intuitive principle behind our algorithm is that if we train on a subset $S \\subset [ m ]$ and receive a hypothesis $h \\in \\mathcal H$ , we want to emphasize the points (i.e., include some of the points in future subsets) where the hypothesis makes errors with respect to the ground truth labels. Then, in future iterations, that same hypothesis will not be returned by an interpolating learner since the hypothesis would make an error on the subset. ", + "bbox": [ + 174, + 132, + 825, + 243 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "At each iteration, the algorithm samples a subset $S _ { t }$ and trains on that subset to yield a hypothesis $h _ { t }$ . For sampling a subset at the $t ^ { t h }$ iteration, the algorithm independently samples Bernoulli random variables with probability $p _ { t , i }$ , and upon success, includes the $i ^ { t h }$ point. The success probability of the Bernoulli variable for the $i ^ { t h }$ point at the $t ^ { t h }$ iteration is $p _ { t , i }$ and we sample a set $S _ { t }$ such that $\\begin{array} { r } { \\operatorname* { P r } ( S _ { t } = S ) = \\left( \\prod _ { i \\in S } p _ { t , i } \\right) \\left( \\prod _ { i \\in [ m ] \\backslash S } ( 1 - p _ { t , i } ) \\right) } \\end{array}$ . Thus, in order to emphasize errors, the algorithm sets the next iteration’s Bernoulli to have higher success probability $( p _ { t + 1 , i } > p _ { t , i } )$ . ", + "bbox": [ + 173, + 251, + 825, + 347 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "While there are a variety of ways to increase the probabilities, our algorithm calculates the errors $E _ { t } : = E _ { h _ { t } }$ (where $E _ { h } = \\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\} \\quad$ ) on the entire pool made by the hypothesis $h _ { t }$ and sequentially doubles the probabilities corresponding to the errors until $\\textstyle \\sum _ { i \\in E _ { t } } p _ { t , i }$ is sufficiently large (larger than a hyperparameter, $\\xi$ ). Since a probability might exceed 1 after this step, we subsequently clip the probabilities to 1. ", + "bbox": [ + 174, + 352, + 825, + 422 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Because the algorithm only updates probabilities via doubling, a natural choice is to initialize $p _ { 1 , i }$ as a (negative) power of 2: $2 ^ { - k _ { 0 } }$ for some integer $k _ { 0 }$ . Then, $p _ { t , i }$ is always a power of two, since doubled powers of 2 are powers of 2. ", + "bbox": [ + 174, + 429, + 823, + 473 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The final aspect of the algorithm is that we periodically halve all probabilities. This step is key to improving the guarantee on the size of the subset from previous work (Dasgupta et al., 2019; Cicalese et al., 2020) to the asymptotically near-optimal subset size in this work. Note that without this halving step, the probabilities only increase with the number of iterations. ", + "bbox": [ + 174, + 479, + 825, + 536 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our algorithm has two hyperparameters, $\\hat { d }$ and $\\hat { N }$ , which are used to set the doubling limit $\\xi$ , the initial power $k _ { 0 }$ , and the number of iterations between halving the probabilities. The algorithm will succeed with high probability if the two hyperparameters are upper bounds on $d ^ { * }$ , the size of the smallest subset that yields zero pool errors, and $N$ , the size of the induced hypothesis set, a set we will define in the next section. Conveniently, in the cases where the algorithm fails, it returns whether $\\hat { d }$ was too small or $\\hat { N }$ was too small. We can set $\\hat { d }$ and $\\hat { N }$ to be arbitrarily large to yield valid subsets, but the size of the resulting subsets will be very large. See Algorithm 1 for pseudo-code. ", + "bbox": [ + 174, + 544, + 825, + 645 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3.2 ALGORITHMIC ANALYSIS ", + "text_level": 1, + "bbox": [ + 176, + 670, + 390, + 684 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "For the analysis, we begin by assuming that our learner is interpolating, meaning that it makes no errors on the subset it is trained on. More precisely, if $h _ { S } = L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\} )$ ) where $S \\subset [ m ]$ , then $\\forall i \\in S : h _ { S } ( x _ { i } ) = y _ { i }$ . Note that this implies that if we train on the entire dataset, a hypothesis that makes zero pool errors is returned. ", + "bbox": [ + 173, + 698, + 825, + 755 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Define $\\overline { { \\mathcal { H } } }$ as the induced hypothesis class, that is, all hypotheses that can be returned by training on a subset: $\\overline { { \\mathscr { H } } } = \\{ L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\} ) : S \\subset [ m ] \\}$ . Note that the size of $\\overline { { \\mathcal { H } } }$ could be as large as $2 ^ { m }$ (the number of subsets) but can be much smaller if the data has structure that can be leveraged by the model. Our framework technically requires a deterministic learner and we can fix the random seed for training; however, this is not a practical issue as it is extremely unlikely that we will train a model on the exact same subset at two different iterations. ", + "bbox": [ + 174, + 761, + 825, + 844 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "We now define $d ^ { * }$ and $N$ . Let $E _ { h }$ be the errors of a hypothesis $h$ : $E _ { h } = \\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\}$ . Let $\\mathcal { E }$ be the set of possible errors: $\\mathcal { E } = \\{ E _ { h } : h \\in \\overline { { \\mathcal { H } } } \\} - \\{ \\emptyset \\}$ . We say a set $S$ “fully intersects” $\\mathcal { E }$ if for all $E _ { h } \\in \\mathcal { E }$ , $| S \\cap E _ { h } | \\geq 1$ . Note that an interpolating learner trained on a fully intersecting subset $S$ will yield 0 pool error; if not, then the returned hypothesis $h _ { t }$ would have non-zero training error on the subset $S _ { t }$ which contradicts the interpolating assumption. Let $d ^ { * }$ be the size of smallest ", + "bbox": [ + 174, + 852, + 825, + 924 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Algorithm 1 ", + "text_level": 1, + "bbox": [ + 174, + 103, + 261, + 117 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Input: examples $\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m } \\subset ( \\mathcal { X } \\times \\mathcal { Y } ) ^ { m }$ , failure probability $\\delta$ , $\\hat { d } \\in \\mathbb { Z } _ { + }$ , $\\hat { N } \\in \\mathbb { Z } _ { + }$ \n$k _ { 0 } = \\lfloor \\log _ { 2 } ( m / \\hat { d } ) \\rfloor$ \n$\\xi = \\ln ( 4 \\hat { N } ^ { 2 } \\log _ { 2 } ( m ) / \\delta )$ \n$\\forall i : k _ { 1 , i } = k _ { 0 }$ \nfor $t = 1 , 2 , \\ldots , 4 \\hat { d } k _ { 0 }$ do Sample $S _ { t }$ such that $i \\in S _ { t }$ independently with probability $p _ { t , i } = 2 ^ { - k _ { t , i } }$ Train $h _ { t } = L ( \\{ ( x _ { i } , y _ { i } ) \\} _ { i \\in S _ { t } } )$ Calculate the errors of $h _ { t }$ on the pool: $E _ { t } : = E _ { h _ { t } } = \\{ i \\in [ m ] : h _ { t } ( x _ { i } ) \\neq y _ { i } \\}$ if $| E _ { t } | = 0$ then return SUCCESS: $\\hat { S } = S _ { t }$ else if $\\textstyle \\sum _ { i \\in E _ { t } } p _ { t , i } \\geq \\xi$ then return FAILURE TYPE 1: $\\hat { N }$ is too small else $\\begin{array} { r l } & { \\mathbf { \\Phi } _ { \\Delta _ { t } } ^ { \\mathbf { x } } = \\left\\lceil \\log _ { 2 } \\left( \\frac { \\xi } { \\sum _ { i \\in E _ { t } } p _ { t , i } } \\right) \\right\\rceil } \\\\ & { k _ { t + 1 , i } = \\operatorname* { m a x } ( 0 , k _ { t , i } - \\Delta _ { t } \\mathbf { 1 } [ i \\in E _ { t } ] + \\mathbf { 1 } [ t ( \\operatorname { m o d } ) 2 \\hat { d } = 0 ] ) } \\end{array}$ end if end if \nend for \nreturn FAILURE TYPE 2: $\\hat { d }$ is too small ", + "bbox": [ + 181, + 125, + 740, + 431 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "fully intersecting set, that is, $d ^ { * } : = \\arg \\operatorname* { m i n } _ { S \\subset [ m ] } | S |$ subject to $| S \\cap E _ { h } | \\geq 1$ $\\forall E _ { h } \\in \\mathcal { E }$ . With these definitions, we are ready to give our algorithmic analysis theorem. ", + "bbox": [ + 174, + 459, + 821, + 488 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Theorem 1. Suppose $\\hat { d } \\geq d ^ { * }$ and $\\hat { N } \\geq N : = | \\overline { { \\mathcal { H } } } |$ . Then, with probability at least $1 - \\delta$ , Algorithm 1 returns successfully within $O ( d ^ { * } \\log ( m / d ^ { * } ) )$ queries to the learner and the size of the returned set is $| \\hat { S } | = O ( \\hat { d } ( \\log \\hat { N } + \\log \\log m + \\log ( 1 / \\delta ) )$ . ", + "bbox": [ + 174, + 494, + 825, + 541 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The proof of Theorem 1 is in Appendix D. Note that the $\\log \\log m$ term is negligible, for example, it can be ignored (subsumed in the constants) if $m \\leq 2 ^ { N }$ which is true in reasonable cases. In Section 4, we provide lower bounds showing that the number of queries to the learner is asymptotically optimal up to extraneous log factors and that the size of the returned subset is asymptotically optimal (with a computational hardness assumption) if we assume $\\log \\log m$ is a low-order term compared to $\\log N$ and that $\\delta$ is a small constant. To choose the hyperparameters $\\hat { d }$ and $\\xi = \\Theta ( \\log \\hat { N } )$ , we can use a doubling approach to find a constant factor approximation to $d ^ { * }$ and $\\log N$ . ", + "bbox": [ + 173, + 553, + 825, + 655 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.3 NON-INTERPOLATING LEARNERS ", + "text_level": 1, + "bbox": [ + 176, + 674, + 444, + 688 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "For non-interpolating learners, Algorithm 1 might never return successfully even for a single training error. To remedy this, we can “squash” the training errors, that is, remove the points from $E _ { t }$ that also appear in $S _ { t }$ . More precisely, when we calculate errors on the pool, instead of defining $E _ { t } = \\{ i \\in \\bar { [ m ] } : h _ { t } ( x ) \\neq y _ { i } \\}$ , define $\\dot { E } _ { t } = \\{ i \\in [ m ] : h _ { t } ( x ) \\neq y _ { i } \\land i \\notin \\bar { S } _ { t } \\}$ . For the experiments, we run Algorithm 1 with this edit. This error squashing technique is used beyond our algorithm. This technique is explicitly used for the experiments in Cicalese et al. (2020) and likely a similar approach is used for Dasgupta et al. (2019) as we found experimentally that the algorithm dramatically fails, as written, without error squashing. Similar to this paper, the algorithmic analysis of Cicalese et al. (2020) assumes interpolating learners, but the practical algorithm includes error squashing. ", + "bbox": [ + 173, + 700, + 825, + 825 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4 THEORY ", + "text_level": 1, + "bbox": [ + 174, + 848, + 276, + 864 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In this section, we first cover notation definitions, a particular class of learners, and the equivalence between machine teaching and the classic set cover problem. Next, we cover our lower bounds and results for the error squashing technique. ", + "bbox": [ + 176, + 882, + 823, + 924 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "4.1 NOTATION DEFINITIONS ", + "text_level": 1, + "bbox": [ + 174, + 103, + 382, + 117 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Let $\\mathbb { Z }$ denote the set of integers and $\\mathbb { Z } _ { + }$ denote the set of positive integers. Let $[ k ] = \\{ 1 , 2 , \\dots , k \\}$ . For a set $S$ , let ${ \\mathcal { P } } ( S )$ denote the power set of $S$ . For a set $S$ , let $S ^ { k }$ be the repeated Cartesian product; for example, $S ^ { 3 } = S \\times S \\times S$ . Let ${ \\widetilde { O } } ( \\cdot )$ denote $O ( \\cdot )$ where extraneous log factors are ignored. In particular, $O ( f ( n ) \\log ^ { k } ( f ( n ) ) = { \\widetilde O } ( f ( n ) )$ . ", + "bbox": [ + 173, + 128, + 825, + 193 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.2 RANKED MINIMAL ERROR LEARNERS ", + "text_level": 1, + "bbox": [ + 176, + 208, + 480, + 222 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Here, we define a type of learner that appears in the constructions for our lower bounds and is given as an example in the error squashing framework. Intuitively, a ranked minimal error learner is a learner with a hypothesis class $\\mathcal { H }$ and a ranking $\\sigma$ such that the learner returns the lowest ranked hypothesis that has minimal error. ", + "bbox": [ + 174, + 233, + 825, + 290 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Definition 1. Let $\\mathcal { X }$ and $\\mathcal { V }$ be finite. We say a learner $L$ is a ranked minimal error learner if there exists a (finite) hypothesis class $\\mathcal { H }$ and a bijection $\\sigma : { \\mathcal { H } } [ | { \\mathcal { H } } | ]$ such that for any $D \\subset \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } )$ , with $\\begin{array} { r } { k = \\operatorname* { m i n } _ { h \\in \\mathcal { H } } | \\{ ( x , y ) \\in D : h ( x ) \\neq \\dot { y } \\} | } \\end{array}$ , $\\begin{array} { r } { L ( D ) = \\arg \\operatorname* { m i n } _ { h : | \\{ ( x , y ) \\in D : h ( x ) \\neq y \\} | = k } \\sigma ( h ) . } \\end{array}$ . ", + "bbox": [ + 174, + 292, + 825, + 338 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Note that since we focus on fixed datasets and classification in this work, finite $\\mathcal { X }$ and $\\mathcal { V }$ are not a restriction for our purposes. If we assume the ground truth labels are generated by a member of the hypothesis class, $\\exists h ^ { * } \\in { \\mathcal { H } } : \\forall ( x , y ) \\in D : y = h ^ { * } ( x )$ , then the learner is an interpolating learner. ", + "bbox": [ + 174, + 348, + 825, + 391 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "4.3 LOWER BOUNDS ", + "text_level": 1, + "bbox": [ + 174, + 407, + 331, + 421 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We present two lower bounds that are query-based lower bounds proved using similar techniques. In particular, we construct a ranked minimal error learner with a special structure that depends on a random “key” (e.g., a random vector). We show that even if the teacher knew all the structure of the learner except the random key, any teaching algorithm will not be able to return a subset of size $\\lambda d ^ { * }$ (a $\\lambda$ -approximation) with few queries and probability greater than $1 / 2$ . ", + "bbox": [ + 174, + 433, + 825, + 503 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Theorem 2. Fix any $\\lambda \\geq 1$ and $m \\geq 2 \\lambda$ . There exists a distribution over interpolating ranked minimal error learners and an $m$ -sized dataset with optimal subset size $d ^ { * }$ , such that any teaching algorithm requires $2 ^ { \\Omega ( m / \\lambda ) }$ queries to achieve at most $\\lambda d ^ { * }$ subset size with probability at least $1 / 2$ . ", + "bbox": [ + 174, + 507, + 825, + 550 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The proof is in Appendix E.1. This would appear to be very bad news: we require an exponential number of queries to even achieve a valid subset that is a factor $\\lambda$ larger than the optimal subset. Fortunately, as shown later, we can not in general approximate the optimal subset to a factor of $o ( \\log N )$ (asymptotically strictly better than $\\log N )$ . Furthermore, $N$ is very large in the construction for Theorem 2; so large that $\\log N = \\Theta ( m )$ . Thus, if we are content with an approximation guarantee of ${ \\cal O } ( \\log N )$ , then far fewer queries to the learner are required, as the existence of Algorithm 1 shows. ", + "bbox": [ + 173, + 559, + 825, + 645 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Theorem 3. Fix any $k \\geq 1$ , $\\ell \\geq 1$ , and $\\lambda \\geq 1$ . There exists a distribution over interpolating ranked minimal error learners and a dataset of size $m = k ( \\left\\lceil e \\lambda \\right\\rceil ) ^ { \\ell }$ with optimal subset size $d ^ { * } = k$ and $N = O ( k \\ln ( m / k ) / \\ln ( \\lambda ) )$ , such that any teaching algorithm requires $\\Omega \\left( \\frac { d ^ { * } \\ln ( m / d ^ { * } ) } { \\ln ^ { 2 } ( \\lambda ) } \\right)$ queries to achieve at most $\\lambda d ^ { * }$ subset size with probability at least $1 / 2$ . ", + "bbox": [ + 173, + 647, + 825, + 714 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The proof is in Appendix E.2. Note that this implies achieving an approximation ratio of ${ \\cal O } ( \\log N )$ or $O ( \\log m \\log N )$ (as found in Cicalese et al. (2020); Dasgupta et al. (2019)) requires $\\widetilde \\Omega ( d ^ { * } \\ln ( m / d ^ { * } ) )$ queries. ", + "bbox": [ + 174, + 724, + 825, + 770 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We now present a computational hardness lower bound on finding a subset with a small $o ( \\log N )$ approximation ratio to optimal, even with unlimited learner queries so that $\\overline { { \\mathcal { H } } }$ could be explicitly constructed. This result is a straightforward application of the following theorem to the set cover equivalence of machine teaching. ", + "bbox": [ + 174, + 776, + 823, + 835 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Theorem 4 ((Theorem 4.4 from Feige (1998)). If there is some $\\epsilon > 0$ such that a polynomial time algorithm can approximate set cover within $( 1 - \\epsilon ) \\ln n$ , then $N P \\subset T I M E { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }$ . ", + "bbox": [ + 173, + 838, + 823, + 869 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Let us interpret this result. For set cover instances, the “size” $n$ of a problem is measured in terms of the number of elements, our $N$ . Feige (1998) defines $\\mathrm { T I M E } ( f ( n ) )$ to be the set of problems solvable in $f ( n )$ (determnistic) time. The conclusion ${ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }$ is slightly weaker than ${ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } ( n ^ { O ( 1 ) } ) = { \\mathrm { P } }$ which would imply the famous $P = N P$ . All the same, if it were to be shown that ${ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }$ , it would revolutionize complexity theory, and thus, it is doubtful that such a statement can be shown to be true without significant obstacles. ", + "bbox": [ + 174, + 880, + 825, + 924 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 102, + 825, + 147 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Then, a direct result of set cover equivalence (Goldman & Kearns, 1995) and Theorem 4 Feige (1998) is that approximating machine teaching to within $\\textstyle { \\frac { 1 } { 2 } } \\ln N$ would imply NP $\\subset$ $\\mathrm { T I M E } \\big ( n ^ { O ( \\log \\log n ) } \\big )$ . ", + "bbox": [ + 174, + 154, + 825, + 199 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.4 ERROR SQUASHING FRAMEWORK ", + "text_level": 1, + "bbox": [ + 176, + 217, + 447, + 231 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In a nutshell, our framework consists of defining a general condition for a learner, defining a teaching set definition for non-interpolating learners, then showing that achieving such a teaching set reduces, by way of error squashing, to a standard set cover problem (if the learner meets the condition). This means that the error squashing technique effortlessly converts any machine teaching algorithm for interpolating learners to a machine teaching algorithm for non-interpolating learners, which inherits the same theoretical guarantees, albeit with a larger hypothesis class. ", + "bbox": [ + 173, + 242, + 825, + 327 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.4.1 LEARNERS INVARIANT TO CONSISTENT ADDITIONS ", + "text_level": 1, + "bbox": [ + 173, + 343, + 583, + 356 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In this section, we first define a general condition on a learner: if a learner trained on a dataset correctly predicts a point, then additionally including that point in the dataset does not change the the learner’s predictions. ", + "bbox": [ + 174, + 366, + 823, + 409 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Definition 2 (Invariant to consistent additions). We say a learner is invariant to consistent additions $i f \\forall D \\subset \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } )$ , $x \\subset \\mathcal { X }$ , $y \\subset \\mathcal { V }$ : $L ( D ) ( x ) = y \\implies L ( D ) = L ( D \\cup \\{ ( x , y ) \\} )$ . ", + "bbox": [ + 171, + 412, + 823, + 443 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Intuitively, for models that minimize error, adding a point with zero loss will not change the model. In particular, we have the following proposition: ", + "bbox": [ + 171, + 453, + 821, + 482 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Proposition 1. A ranked minimal error learner is invariant to consistent additions. ", + "bbox": [ + 176, + 487, + 718, + 501 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The proof of Proposition 1 can be found in Appendix F. The invariance to consistent additions is more general than ranked minimal error learners: see an example in Appendix F.7.1. ", + "bbox": [ + 176, + 512, + 825, + 541 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4.4.2 ERROR INCLUSIVE TEACHING SETS", + "text_level": 1, + "bbox": [ + 176, + 558, + 472, + 570 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Recall that error squashing with machine teaching means that when the learner is passed a subset $S _ { t }$ and returns a hypothesis $h _ { t }$ , the teacher acts as if the hypothesis makes no errors on the subset $S _ { t }$ . Machine teaching algorithms only terminate when the returned hypothesis makes no errors on the pool, which means that all the errors of $h _ { t }$ are squashed with respect to $S _ { t }$ . For a fixed dataset and learner, we say a set $S$ is “error inclusive” if all errors of $L ( S )$ are inside $S$ . Formally, for a fixed dataset $\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m }$ , define $L ^ { ( \\mathrm { e r r } ) } : \\mathcal { P } ( [ m ] ) \\mathcal { P } ( [ m ] )$ as the set of indices of points where errors are made by a learner trained on a subset $S$ : $L ^ { \\mathrm { ( e r r ) } } ( S ) = \\{ i \\in [ m ] : L ( \\{ ( x _ { i ^ { \\prime } } , y _ { i ^ { \\prime } } ) : i ^ { \\prime } \\in S \\} ) ( x _ { i } ) \\neq$ $y _ { i } \\}$ . ", + "bbox": [ + 174, + 582, + 825, + 695 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Definition 3. For a fixed dataset, we say a set $S$ is “error inclusive” if $L ^ { ( e r r ) } ( S ) \\subset S$ ", + "bbox": [ + 173, + 698, + 733, + 713 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Error inclusivity means that $S$ contains the points useful for generalization outside $S$ , as well as the (presumably) nuisance points that are hard or impossible to classify correctly, such as incorrectly labeled ground truth. An error squashing machine teaching algorithm, if it returns successfully, must return an error inclusive set. An important consequence of error inclusivity is that, for a learner invariant to consistent additions, the learner trained on the set will yield the same result as training on the entire dataset. ", + "bbox": [ + 173, + 724, + 825, + 809 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Proposition 2. Suppose a learner $L$ is invariant to consistent additions. If a set $S$ is error inclusive, $L ^ { ( e r ) } ( S ) = L ^ { ( e r r ) } ( \\dot { [ } \\dot { m } ] )$ . ", + "bbox": [ + 173, + 813, + 823, + 843 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The proof of Proposition 5 is in Appendix F.6. Interpreted further, error inclusivity implies that the number of errors from training on $S$ is the same as the number of errors from training on the entire dataset, $| L ^ { ( \\mathrm { e r r } ) } ( S ) | = | L ^ { ( \\mathrm { e r r } ) } ( [ \\stackrel { } { m } ] ) |$ . Furthermore, error inclusivity implies $L ^ { \\mathrm { ( e r r ) } } ( [ m ] ) \\stackrel { \\textstyle } { \\subset } S$ , meaning that $S$ contains the errors of training on the full dataset. Error inclusivity is a condition on a set that we will use as the teaching set condition for non-interpolating learners. ", + "bbox": [ + 174, + 853, + 823, + 924 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Note that Cicalese et al. (2020) introduce another teaching set condition for non-interpolating learners, $k$ -extended teaching sets. In Appendix F, we compare $k$ -extended teaching sets and error inclusive teaching sets for ranked minimal errors. We find they are remarkably similar, though neither is stronger than the other: there exist examples where the smallest $k$ -extended teaching set is of size $\\Theta ( m )$ but there exists an error inclusive set of size $\\Theta ( 1 )$ , and vice versa. However, we show error inclusive sets are much easier to design algorithms for. ", + "bbox": [ + 174, + 103, + 825, + 188 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.4.3 EXTENDED ERROR SETS ", + "text_level": 1, + "bbox": [ + 174, + 202, + 395, + 217 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Recall that in the context of machine teaching with interpolating learners, we define the errors of a hypothesis as $E _ { h } = \\left\\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\right\\}$ and let $\\mathcal { E } = \\dot { \\{ E _ { h } : h \\in \\overline { { \\mathcal { H } } } \\} } - \\{ \\varnothing \\}$ be the error sets. Then a set $S \\subset [ m ]$ is a valid teaching set if $S$ fully intersects $\\mathcal { E }$ (intersects each element of $\\mathcal { E }$ ). Similarly, black-box machine teaching is like a game where elements of $\\mathcal { E }$ are revealed by learner queries and a solution $S \\subset [ m ]$ must intersect every element. In fact, there is an equivalence between these two views, observed in Goldman & Kearns (1995) as the relationship between set cover and machine teaching. For a more complete exposition, see Appendix F. ", + "bbox": [ + 173, + 226, + 825, + 324 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Define the extended error sets as ${ \\mathcal { E } } ^ { + } = \\{ L ^ { \\mathrm { ( e r r ) } } ( S ) \\setminus S : S \\subset [ m ] \\} - \\{ \\emptyset \\}$ . For interpolating models, ${ \\mathcal { E } } ^ { + } = { \\mathcal { E } }$ . If we find a set $S \\subset [ m ]$ that fully intersects ${ \\mathcal { E } } ^ { + }$ , we are guaranteed that when the learner is trained on $S$ , there will be no errors outside of $S$ : $S$ is error inclusive. Not only this, we show that, in fact, fully intersecting ${ \\mathcal { E } } ^ { + }$ is equivalent to error inclusivity. ", + "bbox": [ + 174, + 329, + 825, + 387 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Proposition 3. Fix a dataset. If a learner is invariant to consistent additions, $S$ fully intersects ${ \\mathcal { E } } ^ { + }$ if and only if $S$ is error inclusive. ", + "bbox": [ + 174, + 390, + 820, + 419 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Thus, we show that (for learners invariant to consistent additions) the error squashing technique converts machine teaching with non-interpolating learners to set cover, though of an expanded set. Then, black-box machine teaching algorithms (which are online set cover algorithms in disguise) can be run with the same theoretical guarantees, though with a larger $N$ . Note that the same is not true of $k$ -extended teaching sets (Cicalese et al., 2020) which require solving “generalized set cover” that is harder to design algorithms for (e.g. Cicalese et al. (2020) does not implement any). ", + "bbox": [ + 174, + 429, + 825, + 513 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5 EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 534, + 326, + 549 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We evaluate 7 subset selection methods: Random sampling, Entropy sampling (Lewis & Gale, 1994), Forgetting events (Toneva et al., 2018), GraNd (Paul et al., 2021), DHPZ (Dasgupta et al., 2019), CFLM (Cicalese et al., 2020), and our introduced algorithm. Although there are many coreset selection techniques, we focused on the methods that achieve the highest accuracy regardless of computation cost. We compare to Entropy, Forgetting, and GraNd as the coreset selection methods because they perform the best in the evaluation on CIFAR10 by Guo et al. (2022) in our dataset subset size regime $20 \\%$ to $60 \\%$ of CIFAR10). More details can be found in Appendix B. ", + "bbox": [ + 174, + 565, + 825, + 661 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We compare results on 6 common image datasets (all but CINIC101 retrieved using torchvision) and use the predefined train/test splits. The six datasets are: CIFAR10 (Krizhevsky, 2009), CIFAR100 (Krizhevsky, 2009), CINIC10 (Darlow et al., 2018), FashionMNIST (FMNIST) (Xiao et al., 2017), MNIST (LeCun, 1998), and SVHN (Netzer et al., 2011). ", + "bbox": [ + 174, + 670, + 825, + 726 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We evaluate using three architectures: Myrtle, VGG, and ResNet10. Myrtle was created by Page (2018) by stripping away parts of ResNet and modifying the training procedure while balancing between training speed and accuracy on CIFAR-10. The end result is a network that achieves $96 \\%$ on CIFAR-10 in three minutes of training time. VGG (Simonyan & Zisserman, 2015) and ResNet10 (He et al., 2016) are created according to a common pytorch library for the CIFAR datasets2. More details including training hyperparameters can be found in Appendix B. ", + "bbox": [ + 174, + 732, + 825, + 816 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "5.1 RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 833, + 277, + 847 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "We first show results (see Figure 1) for the seven methods on all six datasets with one of the architectures, ResNet10. We note that there is a variety of performances from the coreset methods though the forgetting events technique consistently performs the best (lower test error). The machine teaching approaches behave similarly to each other, and outperform all coreset methods. ", + "bbox": [ + 176, + 858, + 823, + 887 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/3c55e01ab7c125ce9945c1ab9804b2116a1636a7244cbc0adfff79bdf2f8143e.jpg", + "image_caption": [ + "Figure 1: Plots for ResNet10 across six datasets. Error bars are from training with 10 replications on a subset. " + ], + "image_footnote": [], + "bbox": [ + 183, + 103, + 813, + 359 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/2ca5378cf2b207f49f243dec8423138108a5d0aa2214ba616d22fee72afa72d8.jpg", + "image_caption": [ + "Figure 2: Plots for CIFAR10 across three model architectures. Error bars are from training with 10 replications on a subset. " + ], + "image_footnote": [], + "bbox": [ + 183, + 420, + 812, + 542 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 616, + 823, + 645 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Note that in a few cases (SVHN and FMNIST), achieving near-zero pool error is insufficient to achieve minimal test error with the data. This is surprising because the models trained on the machine teaching subsets get less than $0 . 0 1 \\%$ error on the pool outside of the subset, meaning that every point is either seen or predicted correctly by the model. ", + "bbox": [ + 174, + 651, + 825, + 707 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Next, we study how varying the model architecture impacts performance. We show results for the seven methods with the three architectures on CIFAR10 in Figure 2. We can draw approximately the same conclusions, though surprisingly, Entropy performs worse than random on non-ResNet architectures. We note that while Entropy performs better than random in Guo et al. (2022) and Coleman et al. (2020), both these papers use ResNet architectures. ", + "bbox": [ + 174, + 714, + 825, + 784 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Full results for all combinations of datasets and architectures can be found in Appendix C. Although we do not measure or report wall clock time, a proxy is the number of times the model is trained. For Entropy and Forgetting, the model is trained once, for GraNd, the model is trained ten times, and the number of iterations for the machine teaching methods are shown in Table 1. ", + "bbox": [ + 174, + 791, + 825, + 847 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Finally, we perform cross-architecture experiments where model architecture used during subset selection is different from the model architecture used for evaluation. Interestingly, the behavior of the machine teaching methods differers dramatically, from transferring as well as random to transferring as well as the full dataset. See Figure 3 for an example. All 54 combinations of datasets, subset selection architectures, and evaluation architectures can be found in Appendix C. ", + "bbox": [ + 174, + 854, + 823, + 924 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/9682225cf189786301847902a671ac3cda5401a84c081ced9dd0d9755a032631.jpg", + "image_caption": [ + "Figure 3: Example cross-architecture plots where the subset selection architecture differs from the evaluation architecture. Error bars are from training on a subset with 10 replications. " + ], + "image_footnote": [], + "bbox": [ + 228, + 140, + 769, + 348 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "6 RELATED WORK ", + "text_level": 1, + "bbox": [ + 176, + 415, + 343, + 431 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We note a number of works, sometimes known as coreset methods, focus on reducing the time to train a model once by training with less data, perhaps with a drop in performance (Coleman et al., 2020; Mirzasoleiman et al., 2020; Paul et al., 2021; Killamsetty et al., 2021b;a). A key challenge in that formulation is creating a data selection algorithm that is computationally fast enough to avoid negating the computational gain of training on less data. In this work, we focus on data selection when we will train multiple times on the data subset (curriculum learning, continual learning, etc), so computational cost is less of an issue. ", + "bbox": [ + 174, + 446, + 825, + 544 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Data subset selection without knowing the labels of the datapoints before a point is selected is known as active learning (Settles, 2009), a strictly harder problem. Note that an optimal data subset collected with full knowledge of the labels is an upper bound on how well an active learning algorithm can perform. ", + "bbox": [ + 174, + 550, + 825, + 606 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "As mentioned throughout this work, machine teaching (Goldman & Kearns, 1995; Zhu et al., 2018) is closely related to subset selection; especially Dasgupta et al. (2019) and Cicalese et al. (2020). In these works, the specification for machine teaching with black-box models is a bit different from our formulation. In particular, those works require the teaching set to be built up iteratively so that the queried subsets form a nested sequence. While natural from a machine teaching perspective, this requirement is unnecessary for subset selection as we can train on arbitrary subsets before returning an arbitrary subset. This less restrictive specification is likely why the $\\log m$ factor can be trimmed from our algorithm subset size; see Alon et al. (2009) for more details on a related lower bound. ", + "bbox": [ + 173, + 613, + 825, + 726 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "An adjacent problem setting is that of “Dataset Distillation” (Wang et al., 2018; Nguyen et al., 2021) or “Dataset Condensation” (Zhao et al., 2020; Zhao & Bilen, 2021) where a very small (e.g. 100 images) dataset of synthetic images yields decent, but markedly sub-par, performance. Additionally, the optimized synthetic images can be very far from the natural data distribution. ", + "bbox": [ + 174, + 732, + 825, + 787 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "7 DISCUSSION ", + "text_level": 1, + "bbox": [ + 176, + 808, + 310, + 824 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this work, we bring together the neural network coreset algorithm and recent machine teaching literature in data subset selection. At the same time, we streamline the theory for machine teaching by proving the correctness of an effective heuristic used in machine teaching implementations and by closing theoretical gaps in the asymptotic number of learner queries and size of the returned subset. More broadly, we hope the insights produced in this work will spur further research in selecting informative datasets and the role of data in learning. 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Dataset condensation with gradient matching. arXiv preprint arXiv:2006.05929, 2020. ", + "bbox": [ + 173, + 824, + 821, + 853 + ], + "page_idx": 10 + }, + { + "type": "text", + "text": "Xiaojin Zhu, Adish Singla, Sandra Zilles, and Anna Rafferty. An overview of machine teaching. arXiv preprint arXiv:1801.05927, 2018. ", + "bbox": [ + 173, + 862, + 823, + 891 + ], + "page_idx": 10 + }, + { + "type": "table", + "img_path": "images/d0a8c9c0d01c06cc205a5eef6a2988e074594d5898873afe2eda365cc2a37b0a.jpg", + "table_caption": [ + "Table 2: This table shows the value of the parameters that are related to a $\\log N$ estimate. For example, $\\lambda$ for DHPZ, $\\xi$ for ours, and the number of sampling repetitions for CFLM. All parameters are the minimal element from the set $\\{ 2 ^ { k } 1 0 ^ { 3 } : k \\in \\mathbb { Z } \\}$ such that the algorithm returns successfully. " + ], + "table_footnote": [], + "table_body": "
Dataset入 (DHPZ)Sampling Repeats (CFLM)m(Ours)
CIFAR10100020001000
CIFAR1008000160004000
CINIC108000160008000
SVHN10002000500
FMNIST10002000500
MNIST125250125
", + "bbox": [ + 272, + 154, + 725, + 268 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A APPENDIX OVERVIEW ", + "text_level": 1, + "bbox": [ + 176, + 292, + 392, + 308 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "This appendix is split into 5 sections: ", + "bbox": [ + 174, + 324, + 418, + 339 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "• Additional Experimental Results \n• Experimental Details \n• Upper Bound Proofs \n• Lower Bound Proofs \n• Error Squashing Framework Exposition and Proofs ", + "bbox": [ + 217, + 352, + 570, + 444 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "A.1 NOTATION DEFINITIONS ", + "text_level": 1, + "bbox": [ + 174, + 460, + 385, + 474 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Let $\\mathbb { Z }$ denote the set of integers and $\\mathbb { Z } _ { + }$ denote the set of positive integers. Let $[ k ] = \\{ 1 , 2 , \\dots , k \\}$ . \nFor a set $S$ , let $\\mathcal { P } ( S )$ denote the power set of $S$ . For a set $S$ , let $S ^ { k }$ be the repeated Cartesian product; \nfor example, $S ^ { 3 } = \\stackrel { \\cdot } { S } \\times S \\times S$ . ", + "bbox": [ + 174, + 486, + 825, + 529 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Let ${ \\widetilde { O } } ( \\cdot )$ denote $O ( \\cdot )$ where extraneous log factors are ignored. For example, if an algorithm has a $O ( n \\log n )$ runtime, it also has a ${ \\widetilde { O } } ( n )$ runtime. Note that we cannot ignore all log terms (otherwise we can drop everything: $O ( n ) = O ( \\log ( \\exp ( n ) ) )$ , only log factors where the non-log version of an expression also appears. ", + "bbox": [ + 174, + 536, + 825, + 598 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B EXPERIMENTAL DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 618, + 419, + 633 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B.1 MACHINE TEACHING IMPLEMENTATION DETAILS ", + "text_level": 1, + "bbox": [ + 174, + 650, + 555, + 664 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "The machine teaching techniques, including ours, have three implementation adaptations. First, all methods are run with error squashing. Second, instead of terminating when no pool errors (outside of the training errors) are made, the algorithms return when the number of pool errors is less than $1 0 ^ { - 4 } m$ . Third, to avoid training on very small subsets where training instabilities occur, when a machine teaching algorithm attempts to query a subset with fewer than $1 0 ^ { 4 }$ points, we randomly sample enough points so that the total number of points is exactly $1 0 ^ { 4 }$ . Because MNIST requires significantly fewer points, we randomly sampled to $1 0 ^ { 3 }$ points. ", + "bbox": [ + 174, + 675, + 825, + 773 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "All machine teaching algorithms include a hyperparameter that roughly corresponds to $\\log N$ . For each method and dataset, we tuned over the set $\\{ 2 ^ { k } 1 0 ^ { 3 } : k \\in \\mathbb { Z } \\}$ to find the minimal hyperparameter value where the algorithm returned successfully. See Table 2. Our proposed algorithm additionally has the hyperparameter $\\hat { d }$ which was set to $1 0 ^ { 3 }$ for all experiments except for MNIST it was set to $1 0 ^ { 2 }$ . ", + "bbox": [ + 174, + 780, + 825, + 852 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "B.2 CORESET IMPLEMENTATION DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 869, + 475, + 883 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "Forgetting scores were calculated while training the subset selection model once. Ten different subset selection models were trained for the ten different runs. ", + "bbox": [ + 174, + 895, + 821, + 924 + ], + "page_idx": 11 + }, + { + "type": "table", + "img_path": "images/9d8478b1be54a5db938da3907da24d17abdc1c281787400705b0b93fe8b64158.jpg", + "table_caption": [ + "Table 3: This table shows the number of queries to the learner for the machine teaching methods with the Myrtle architecture. " + ], + "table_footnote": [], + "table_body": "
DatasetDHPZCFLMOurs
CIFAR10128108125
CIFAR100126150146
CINIC10144197201
SVHN768987
FMNIST10573102
MNIST473942
", + "bbox": [ + 362, + 140, + 635, + 255 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Entropy was calculated using the softmax probability distribution after training until completion. \nTen different subset selection models were trained for the ten different runs. ", + "bbox": [ + 173, + 280, + 821, + 308 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "GraNd was calculated as the L2 norm of the gradient of cross entropy loss with respect to the last layer’s weights and biases, averaged over ten runs. All ten replications used the same GraNd scores (averaged from ten runs). ", + "bbox": [ + 176, + 315, + 823, + 357 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B.3 MYRTLE DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 375, + 341, + 388 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Details for the Myrtle architecture can be found here https://github.com/davidcpage/ cifar10-fast. Specifically, we use the updated version that uses a preprocessing whitening block and a weighted KL and cross entropy loss, as well as tricks such as Ghost BatchNorm, two sets of SGD optimizers, and exponential moving averages. Note that we use neither CutOut augmentation nor test time augmentation, as we stick to training augmentation with crops and flips. We keep most hyperparameters the same as the default ones, except we train for $5 0 * 5 0 0 0 0$ steps and set the base learning rate to 0.4. ", + "bbox": [ + 174, + 400, + 825, + 497 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B.4 VGG AND RESNET10 DETAILS ", + "text_level": 1, + "bbox": [ + 176, + 515, + 431, + 529 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "The code for the VGG and ResNet10 can be found at https://github.com/kuangliu/ pytorch-cifar. VGG was created with the command VGG(’VGG13’) and ResNet10 was created with the command ResNet(BasicBlock, [1, 1, 1, 1]). Both architectures were trained using SGD with momentum of 0.9 and weight decay 0.0005, and a triangular learning rate schedule with a maximum learning rate of 0.1. Cross entropy loss and a gradient scaler were also used. The number of gradient steps was set to be $5 0 \\times m$ (i.e. 50 epochs for the full training, more for subsets). ", + "bbox": [ + 174, + 540, + 825, + 638 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "C ADDITIONAL EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 659, + 442, + 675 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "We first present the number of iterations for the machine teaching methods with Myrtle and VGG in Table 3 and Table 4. ", + "bbox": [ + 173, + 689, + 823, + 718 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "This appendix includes the full experimental plots. In the first figure (Figure 4), all three architectures are run with all six datasets. The following three figures are cross-architecture experiments and are grouped by the evaluation architecture. See Figure 5 for Myrtle evaluation, Figure 6 for VGG evaluation, and Figure 7 for ResNet10 evaluation. “CIFAR10 with Myrtle” means Myrtle was used for both subset selection and evaluation, while “CIFAR10 from VGG to ResNet10” means VGG was used for subset selection and ResNet10 was used for evaluation. ", + "bbox": [ + 174, + 726, + 825, + 809 + ], + "page_idx": 12 + }, + { + "type": "image", + "img_path": "images/90a7992dd709c9d9662d1167e033489c539bc69c169934c2af31129070521b06.jpg", + "image_caption": [ + "Figure 4: Plots for three architectures by six datasets. " + ], + "image_footnote": [], + "bbox": [ + 181, + 104, + 815, + 881 + ], + "page_idx": 13 + }, + { + "type": "image", + "img_path": "images/fe0f10bde55e24c500e66fbd3ba7643b241e3243ac2eeed73ceacb61c0c796f5.jpg", + "image_caption": [ + "Figure 5: Cross-architecture evaluation on Myrtle. " + ], + "image_footnote": [], + "bbox": [ + 181, + 103, + 813, + 882 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/95b07a8ac08bdb9e6220f56c5b33d123736a39afdb8567ddedcbbd106bd7e595.jpg", + "image_caption": [ + "Figure 6: Cross-architecture evaluation on VGG. " + ], + "image_footnote": [], + "bbox": [ + 181, + 102, + 813, + 881 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/55e5b133b6918f1599abbe44c70c401395cf87871e51b2a7be965324baf2df7f.jpg", + "image_caption": [ + "Figure 7: Cross-architecture evaluation on ResNet10. " + ], + "image_footnote": [], + "bbox": [ + 181, + 104, + 815, + 881 + ], + "page_idx": 16 + }, + { + "type": "text", + "text": "Table 4: This table shows the number of queries to the learner for the machine teaching methods with the VGG architecture. ", + "bbox": [ + 173, + 101, + 823, + 128 + ], + "page_idx": 17 + }, + { + "type": "table", + "img_path": "images/eb92a6cea535f2c85ab77eb6c6a2af09c657a40106d1a0f9f8c4b16198158cb7.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
DatasetDHPZCFLMOurs
CIFAR10143158116
CIFAR100123123143
CINIC10202158195
SVHN9079113
FMNIST879996
MNIST424538
", + "bbox": [ + 362, + 140, + 635, + 255 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "D UPPER BOUND PROOFS ", + "text_level": 1, + "bbox": [ + 174, + 284, + 406, + 300 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "In this section, we prove the following theorem through a sequence of lemmas. ", + "bbox": [ + 173, + 319, + 691, + 334 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Theorem 1. Suppose $\\hat { d } \\geq d ^ { * }$ and $\\hat { N } \\geq N : = | \\overline { { \\mathcal { H } } } |$ . Then, with probability at least $1 - \\delta$ , Algorithm 1 returns successfully within $O ( d ^ { * } \\log ( m / d ^ { * } ) )$ queries to the learner and the size of the returned set is $| \\hat { S } | = O ( \\hat { d } ( \\log \\hat { N } + \\log \\log m + \\log ( 1 / \\delta ) )$ . ", + "bbox": [ + 173, + 340, + 825, + 388 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Throughout this section, we implicitly assume $\\hat { d } \\geq d ^ { * }$ and $\\hat { N } \\geq N$ . ", + "bbox": [ + 173, + 404, + 616, + 420 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "D.1 HIGH PROBABILITY EVENT ", + "text_level": 1, + "bbox": [ + 176, + 441, + 405, + 457 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Set $\\overline { { T } } = 2 \\hat { N } \\lfloor \\log _ { 2 } m \\rfloor$ and recall that $\\xi = \\ln ( 4 \\hat { N } ^ { 2 } \\log _ { 2 } ( m ) / \\delta )$ ", + "bbox": [ + 173, + 468, + 578, + 487 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/9024d8236c069cc4ea0e66b645be291b3adc25ab127695f8a04c140f8b4330b4.jpg", + "text": "$$\n\\begin{array} { c l c r } { { } } & { { } } & { { G _ { h , t } = \\left\\{ \\left| S _ { t } \\cap E _ { h } \\right| \\geq 1 \\vee \\displaystyle \\sum _ { i \\in E _ { h } } p _ { t , i } < \\xi \\right\\} } } \\\\ { { } } & { { } } & { { \\overline { { { T } } } } } \\\\ { { } } & { { } } & { { G = \\displaystyle \\bigcap _ { t = 1 } ^ { T } \\bigcap _ { h \\in \\overline { { { \\mathcal H } } } } G _ { h , t } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 359, + 516, + 637, + 611 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Lemma 1. Event $G$ holds with probability $\\textstyle 1 - { \\frac { \\delta } { 2 } }$ ", + "bbox": [ + 173, + 622, + 501, + 638 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Proof. Fix any $h \\in { \\overline { { \\mathcal { H } } } }$ and $t \\leq \\overline { { T } }$ . ", + "bbox": [ + 173, + 672, + 397, + 689 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Examine the random variable $\\begin{array} { r } { | S _ { t } \\cap E _ { h } | = \\sum _ { i \\in E _ { h } } } \\end{array}$ Bernoulli $\\left( p _ { t , i } \\right)$ . Set $\\begin{array} { r } { P _ { h , t } = \\sum _ { i \\in E _ { h } } p _ { t , i } } \\end{array}$ . By a Chernoff bound and taking the limit $\\delta 1$ , ", + "bbox": [ + 173, + 718, + 825, + 750 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/1f6fc5ce661c7091241c70eb113fa10eb22346efba4fb90c1275018166adb90a.jpg", + "text": "$$\n\\begin{array} { c } { \\displaystyle \\operatorname* { P r } ( | S _ { t } \\cap E _ { t } | < ( 1 - \\delta ) P _ { h , t } ) \\leq \\left( \\frac { e ^ { - \\delta } } { ( 1 - \\delta ) ^ { ( 1 - \\delta ) } } \\right) ^ { P _ { h , t } } } \\\\ { \\displaystyle \\operatorname* { P r } ( | S _ { t } \\cap E _ { h } | = 0 ) \\leq \\exp ( - P _ { h , t } ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 323, + 779, + 673, + 838 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Therefore, ", + "bbox": [ + 173, + 856, + 245, + 871 + ], + "page_idx": 17 + }, + { + "type": "equation", + "img_path": "images/a745ce228a77e9dd8ad6dd4badade028722dcd867754d957f46424980d4e1c55.jpg", + "text": "$$\n\\mathrm { P r } ( \\lnot G _ { h , t } ) \\le \\exp ( - \\xi )\n$$", + "text_format": "latex", + "bbox": [ + 423, + 905, + 576, + 921 + ], + "page_idx": 17 + }, + { + "type": "text", + "text": "Then, by a union bound, ", + "bbox": [ + 174, + 103, + 334, + 118 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/289f0ea4cba25596f08f28d82632270e81c9f5b07a0bc6ae44b277d39f9ec383.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\operatorname* { P r } ( - G ) = \\operatorname* { P r } \\left( \\bigcup _ { \\lfloor - 1 \\lambda _ { \\hbar \\in \\widetilde { \\mathbb { H } } } } ^ { \\mathcal { T } } \\bigcup _ { - \\left. h , t \\right. } - \\bigcup _ { \\substack { \\widetilde { \\mathbb { H } } \\le \\widetilde { \\mathbb { H } } _ { \\widetilde { \\mathbb { H } } } } } \\right) } \\\\ { \\displaystyle \\quad \\le \\sum _ { \\ell = 1 } ^ { \\overline { { T } } } \\sum _ { k \\in \\widetilde { \\mathbb { H } } } \\operatorname* { P r } ( - G _ { h , t } ) } \\\\ { \\displaystyle \\quad \\le \\frac { T N \\cot ( - \\xi ) } { \\alpha } } \\\\ { \\displaystyle \\le 2 \\hat { N } \\log _ { 2 } ( m ) N \\frac { \\delta } { 4 \\hat { N } ^ { 2 } \\log _ { 2 } ( m ) } } \\\\ { \\displaystyle \\le \\frac { \\delta } { 2 } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 362, + 125, + 633, + 314 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Lemma 2. If G holds, then for $\\begin{array} { r } { t \\leq \\overline { { T } } , \\sum _ { i \\in E _ { t } } p _ { t , i } < \\xi } \\end{array}$ . ", + "bbox": [ + 173, + 342, + 537, + 361 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Proof. By definition of the interpolating model, $\\vert S _ { t } \\cap E _ { t } \\vert = 0$ , therefore, since $G$ holds, $\\textstyle \\sum _ { i \\in E _ { t } } p _ { t , i } < \\xi$ . □ ", + "bbox": [ + 169, + 377, + 825, + 409 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Note this implies that if $G$ holds and the algorithm terminates before $\\overline { T }$ , we won’t return FAILURE TYPE 1 ", + "bbox": [ + 171, + 428, + 825, + 458 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "D.2 BOUND ON NUMBER OF ITERATIONS ", + "text_level": 1, + "bbox": [ + 174, + 474, + 470, + 489 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Lemma 3. If $G$ holds and $\\hat { N } < 2 d ^ { * }$ , then the algorithm returns successfully within $\\hat { N } \\leq 2 d ^ { * } k _ { 0 }$ iterations. ", + "bbox": [ + 173, + 500, + 825, + 531 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Proof. First note that $\\overline { { T } } = 2 \\hat { N } \\log _ { 2 } ( m ) \\geq \\hat { N }$ ", + "bbox": [ + 176, + 546, + 473, + 564 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Note that, under $G$ and if the probabilities are not halved, a hypothesis cannot be returned twice by the learner. This is because when a learner returns $h _ { t }$ , for the next iterations, the weight will be at least $\\xi$ and under $G$ , by Lemma 2, $h _ { t }$ cannot be returned again. Thus, if $N \\leq \\hat { N } < 2 \\bar { d }$ , the learner will return all hypotheses before halving. □ ", + "bbox": [ + 173, + 569, + 825, + 630 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Lemma 4. If $G$ holds and $\\hat { N } \\geq 2 d ^ { * }$ , Algorithm $^ { l }$ returns successfully within $2 d ^ { * } k _ { 0 } + 1$ iterations. ", + "bbox": [ + 169, + 640, + 820, + 657 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Proof. Fix a subset solution $S ^ { * }$ that has the optimal size $d ^ { * }$ . ", + "bbox": [ + 173, + 674, + 566, + 689 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Note that $T \\leq 2 \\hat { d } \\lfloor \\log _ { 2 } ( m ) \\rfloor \\leq \\hat { N } \\lfloor \\log _ { 2 } ( m ) \\rfloor \\leq \\overline { { T } } .$ ", + "bbox": [ + 171, + 717, + 514, + 736 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Suppose we have not returned by iteration $T$ ; then, by assumption $\\forall t \\leq T : | E _ { t } | \\geq 1$ ", + "bbox": [ + 176, + 739, + 732, + 756 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Note that $E _ { t } \\in \\mathcal { E }$ , so $| S ^ { * } \\cap E _ { t } | \\geq 1$ ", + "bbox": [ + 174, + 761, + 411, + 776 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/e2ecb936720214ad2eee7901093dd72dba3d17e75ba19856a8bdd5d89bd1b634.jpg", + "text": "$$\n\\begin{array} { c } { { \\displaystyle \\sum _ { i \\in S ^ { * } } \\mathbf { 1 } [ i \\in E _ { t } ] \\geq 1 } } \\\\ { { \\displaystyle \\sum _ { i \\in S ^ { * } } \\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ i \\in E _ { t } ] \\geq T } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 419, + 801, + 576, + 882 + ], + "page_idx": 18 + }, + { + "type": "text", + "text": "Note that at every iteration, $k _ { t , i }$ for $i$ in $E _ { t }$ decrease by at least one. By $G$ holding, $E _ { t } \\leq \\xi$ . Thus, $\\Delta _ { t } \\geq 1$ . And further, if $k _ { t , i } = \\mathrm { ~ 0 ~ }$ , then $p _ { t , i } = 1$ , $i \\in S _ { t }$ , and $i \\notin E _ { t }$ . ", + "bbox": [ + 171, + 895, + 825, + 925 + ], + "page_idx": 18 + }, + { + "type": "equation", + "img_path": "images/23399117bc7867ccb3b64255638712e7a940a9e475e74729aee3107158abe54f.jpg", + "text": "$$\nk _ { T + 1 , i } \\leq k _ { 0 } - \\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ i \\in E _ { t } ] + \\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ t ( \\mathrm { m o d } ) 2 \\hat { d } = 0 ]\n$$", + "text_format": "latex", + "bbox": [ + 320, + 127, + 678, + 170 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "But since $k _ { T + 1 , i } \\geq 0$ , ", + "bbox": [ + 173, + 189, + 320, + 204 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/56d98c3afa669e890ac505bccbb52d9ec256ed74f799286caf3d9106fdebdff3.jpg", + "text": "$$\n\\begin{array} { c } { { { \\displaystyle { k _ { 0 } - \\sum _ { i = 1 } ^ { T } \\left[ i \\in E _ { i } \\right] + \\frac { T } { 2 \\hat { d } } \\geq 0 } } } } \\\\ { { { \\displaystyle { d ^ { * } k _ { 0 } - \\sum _ { i \\in S ^ { s } } \\sum _ { \\ell = 1 } ^ { T } \\left[ i \\in E _ { i } \\right] + \\frac { d ^ { * } T } { 2 \\hat { d } } \\geq 0 } } } } \\\\ { { { \\displaystyle d ^ { * } k _ { 0 } - T + \\frac { d ^ { * } T } { 2 \\hat { d } } \\geq 0 } } } \\\\ { { { \\displaystyle d ^ { * } k _ { 0 } \\geq \\left( 1 - \\frac { d ^ { * } } { 2 \\hat { d } } \\right) T } } } \\\\ { { { \\displaystyle d ^ { * } k _ { 0 } \\geq \\left( 1 - \\frac { d ^ { * } } { 2 \\hat { d } } \\right) T } } } \\\\ { { { \\displaystyle d ^ { * } k _ { 0 } \\geq \\frac { 1 } { 2 } T } } } \\\\ { { { \\displaystyle { d ^ { * } k _ { 0 } \\geq T } } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 331, + 234, + 668, + 439 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "which is a contradiction. So the algorithm must have returned before $T$ . ", + "bbox": [ + 173, + 457, + 643, + 473 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Thus, in either case ( $\\hat { N } < 2 \\hat { d }$ or $\\hat { N } \\geq 2 \\hat { d } ,$ ), the algorithm terminates before $\\overline { T }$ iterations and within $2 d ^ { * } k _ { 0 } + 1$ iterations. ", + "bbox": [ + 173, + 522, + 825, + 554 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "D.2.1 SIZE OF RETURNED SUBSET ", + "text_level": 1, + "bbox": [ + 176, + 574, + 423, + 589 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "We now analyze the size of the returned set $| \\hat { S } |$ . First, note that at every iteration, $\\mathbb { E } [ | S _ { t } | ] = \\sum _ { i } p _ { t , i }$ . We can think of bounding the size of $| \\hat { S } |$ as bounding the size of each $| S _ { t } |$ which involves bounding the mean $( \\sum _ { i } p _ { t , i } )$ and the deviation from the mean. First we bound the deviation. ", + "bbox": [ + 173, + 599, + 826, + 646 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Lemma 5. If $\\textstyle \\sum _ { i = 1 } ^ { m } p _ { t , i } \\leq L$ for all $t \\leq \\overline { { T } }$ , then, with $1 - \\delta$ probability, $| S _ { t } | \\le \\operatorname* { m a x } ( e ^ { 2 } L , \\ln ( 2 \\overline { { T } } / \\delta )$ for each $t \\leq \\overline { { T } }$ i=1 with probability at least $\\textstyle 1 - { \\frac { \\delta } { 2 } }$ . ", + "bbox": [ + 171, + 654, + 821, + 688 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Proof. Note that $\\left| S _ { t } \\right| = \\textstyle \\sum _ { i = 1 } ^ { m }$ Bernoulli $\\left( p _ { t , i } \\right)$ ", + "bbox": [ + 174, + 718, + 478, + 736 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Define $\\textstyle P _ { t } = \\sum _ { i = 1 } ^ { m } p _ { t , i }$ . Note $0 \\leq P _ { t } \\leq L$ ", + "bbox": [ + 174, + 741, + 452, + 758 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Fix $t$ . By a Chernoff bound, for any $\\kappa > 0$ , ", + "bbox": [ + 174, + 763, + 457, + 779 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/8a0663def21ec581b8ee3541ac85f74d71cf942bd4b49a4a7a622c9690b4e939.jpg", + "text": "$$\n\\operatorname* { P r } [ | S _ { t } | \\geq ( 1 + \\kappa ) P _ { t } ] \\leq \\left( { \\frac { e ^ { \\kappa } } { ( 1 + \\kappa ) ^ { ( 1 + \\kappa ) } } } \\right) ^ { P _ { t } }\n$$", + "text_format": "latex", + "bbox": [ + 352, + 808, + 643, + 845 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Define $c = \\operatorname* { m a x } ( e ^ { 2 } , \\ln ( 2 \\hat { N } \\overline { { T } } ) / L )$ ", + "bbox": [ + 173, + 885, + 401, + 901 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "Let $( 1 + \\kappa ) P _ { t } = c L$ , so $\\begin{array} { r } { \\kappa = \\frac { c L } { P _ { t } } - 1 } \\end{array}$ ", + "bbox": [ + 173, + 907, + 418, + 926 + ], + "page_idx": 19 + }, + { + "type": "equation", + "img_path": "images/485267bd6eb188030057db28f5888645904c2222cb069c524c13eb877ee4b8c7.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { { \\mathrm { P r } } [ | | S _ { t } | \\geq c L ] \\leq \\frac { e ^ { c L - P _ { t } } } { ( c L / P _ { t } ) ^ { ( c L ) } } } \\\\ & { } & { \\qquad \\leq \\frac { e ^ { c L } } { ( c ) ^ { ( c L ) } } } \\\\ & { } & { \\qquad = \\left( \\frac { e } { c } \\right) ^ { c L } } \\\\ & { } & { \\qquad \\leq e ^ { - c L } } \\\\ & { } & { { \\mathrm { P r } } [ | S _ { t } | \\geq \\operatorname* { m a x } ( e ^ { 2 } L , \\ln ( 2 \\overline { T } / \\delta ) ) ] \\leq \\frac { \\delta } { 2 \\overline { T } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 336, + 140, + 661, + 297 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Finally, a union bound over all iterations $t \\leq \\overline { { T } }$ yields the result. ", + "bbox": [ + 173, + 328, + 594, + 344 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Lemma 6. If event $G$ holds, for $t \\leq \\overline { { T } }$ , ", + "bbox": [ + 173, + 409, + 433, + 425 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/dca5f611c00d19a03e2f652367f1674df71641e122f2527ba36dba0c926f00b2.jpg", + "text": "$$\n\\sum _ { i = 1 } ^ { n } p _ { t , i } \\leq 8 { \\hat { d } } \\xi\n$$", + "text_format": "latex", + "bbox": [ + 447, + 449, + 549, + 491 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Proof. We will show something slightly stronger, for $t \\leq \\overline { { T } }$ , ", + "bbox": [ + 173, + 564, + 571, + 582 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/adbfecd8c3c432331687d2147c5edae904e387bb3d454a13b812abbde6ce8d50.jpg", + "text": "$$\n\\sum _ { i = 1 } ^ { n } p _ { t , i } \\leq ( 2 \\hat { d } + ( ( t - 1 ) ( \\mathrm { m o d } ) ( 2 \\hat { d } ) ) ) ( 2 \\xi ) \\qquad \n$$", + "text_format": "latex", + "bbox": [ + 352, + 622, + 643, + 665 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "We prove this by induction. As a base case, for $t = 1$ , ", + "bbox": [ + 173, + 695, + 527, + 712 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/952c94f3ddc04606456be673d2cda755a4885f57e4a392d8fa6f9f0d83708478.jpg", + "text": "$$\n\\begin{array} { c l c r } { \\displaystyle \\sum _ { i = 1 } ^ { n } p _ { 1 , i } = m 2 ^ { - k _ { 0 } } } \\\\ { \\displaystyle } \\\\ { \\leq m 2 ^ { \\log _ { 2 } ( m / \\hat { d } ) + 1 } } \\\\ { \\displaystyle } & { = 2 \\hat { d } } \\\\ { \\displaystyle } & { \\leq ( 2 \\hat { d } + 0 ) ( 2 \\xi ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 410, + 753, + 584, + 863 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "For the inductive case, we examine two cases: $t$ (mod) $( 2 \\hat { d } ) \\neq 0$ and $t$ (mod) $( 2 \\hat { d } ) = 0$ . In both cases, we rely on Lemma 2 and event $G$ holding. For the first case, ", + "bbox": [ + 173, + 893, + 823, + 924 + ], + "page_idx": 20 + }, + { + "type": "equation", + "img_path": "images/b5df664cb11cc86f1750d5b3d53f6412f3095f5f6a407c0e731d87ea5573cf5c.jpg", + "text": "$$\n\\begin{array} { r l } { \\displaystyle \\sum _ { i = 1 } ^ { n } p _ { i + 1 } x - \\displaystyle \\sum _ { j = 1 } ^ { n } \\alpha _ { i + 1 , j } x } \\\\ { = } & { \\frac { 1 } { \\sqrt { \\pi \\alpha _ { i } } } } \\\\ & { \\le \\displaystyle \\sum _ { i = 1 } ^ { n } 2 x + \\alpha _ { i } x _ { i } ( 1 ) \\| \\boldsymbol { \\mathcal { E } } \\boldsymbol { x } _ { i } } \\\\ & { \\le \\displaystyle \\sum _ { i = 1 } ^ { n } 2 x + \\alpha _ { i } x _ { i } ( 1 ) \\| \\boldsymbol { \\mathcal { E } } \\boldsymbol { x } _ { i } } \\\\ & { < \\displaystyle \\sum _ { j = 1 } ^ { n } 2 x + \\alpha _ { i } x _ { j } ( 1 ) \\| \\boldsymbol { \\mathcal { E } } \\boldsymbol { u } _ { i } ^ { \\mathrm { ( ) } } } \\\\ & { \\le \\displaystyle \\sum _ { i = 1 } ^ { n } 2 x + \\alpha _ { i } ^ { 2 } x _ { j } ^ { 2 } \\| x _ { i } ^ { 3 } - x _ { i } ^ { 3 } \\| x _ { i } ^ { 4 } } \\\\ & { \\le \\displaystyle \\sum _ { j = 1 } ^ { n } \\alpha _ { i } x _ { j } + \\gamma \\displaystyle \\sum _ { i \\in \\mathcal { N } _ { i } } ^ { n } \\sum _ { j = 1 } ^ { n } \\gamma _ { i , j } x _ { i } } \\\\ & { \\le \\displaystyle \\sum _ { i = 1 } ^ { n } \\alpha _ { i } x _ { j } + \\gamma \\displaystyle \\sum _ { i \\in \\mathcal { N } _ { i } } ^ { n } \\sum _ { j = 1 } ^ { n } 2 x } \\\\ & { < \\displaystyle ( 2 + ( \\alpha _ { i } - 1 ) \\operatorname* { m a x } ( 2 ) + 2 ) \\| \\boldsymbol { \\mathcal { E } } \\boldsymbol { u } _ { i } ^ { \\mathrm { ( ) } } } \\\\ & { \\le ( 2 + ( \\alpha _ { i } + 1 ) - 1 ) \\operatorname* { m a x } ( 2 ) + 2 \\| x _ { i } ^ { 2 } \\| x _ { j } ^ { 2 } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 334, + 125, + 665, + 420 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "For the second case, ", + "bbox": [ + 173, + 428, + 308, + 443 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/d117e50213f929d7d5069d408e443cf7cbaaa5b3c0a7823901c6abf7c07c288c.jpg", + "text": "$$\n\\begin{array} { r l } { \\displaystyle \\sum _ { k = 1 } ^ { n } \\beta _ { k + 1 , i } = \\sum _ { t = 1 } ^ { n } 2 ^ { k } h + 1 , } \\\\ & { \\le \\displaystyle \\sum _ { k = 1 } ^ { n } 2 ^ { - k } h + 3 . 0 1 | c s | h - 1 } \\\\ & { \\le \\displaystyle \\sum _ { k = 1 } ^ { n } 2 ^ { - k } h + 1 . 0 1 | c s | h - 1 } \\\\ & { \\le \\displaystyle \\sum _ { k = 1 } ^ { 1 } \\left[ \\displaystyle \\sum _ { k = 1 } ^ { n } 2 ^ { - k } h + \\displaystyle \\sum _ { k = 1 } ^ { n } 2 ^ { - k } h _ { k } + 3 . 1 \\right] } \\\\ & { \\le \\displaystyle \\frac { 1 } { 2 } \\left[ \\displaystyle \\sum _ { k = 1 } ^ { n } p _ { k , i } + 2 . 6 \\right] } \\\\ & { = \\displaystyle \\frac { 1 } { 2 } \\left( ( 2 \\hat { a } + ( ( 2 \\hat { a } - 1 ) + 1 ) 2 \\xi ) \\right. } \\\\ & { \\left. = 4 \\hat { a } \\xi \\right. } \\\\ & { = \\displaystyle \\left( 2 \\hat { a } + ( ( t + 1 ) - 1 ) ( \\operatorname* { m o l } 2 \\hat { a } ) \\right) 2 \\xi } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 331, + 445, + 663, + 696 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Putting the bound on the mean and deviation of the mean, we achieve a bound on $\\lvert S _ { t } \\rvert$ and thus $| \\hat { S } |$ . Proposition 4. With probability $1 - \\delta$ , ", + "bbox": [ + 173, + 736, + 820, + 770 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/5df9731bfb35bcd5926dba7b6c4a34b5573cc06a82be4271528598184169456d.jpg", + "text": "$$\n\\begin{array} { r l } & { | \\hat { S } | \\le \\operatorname* { m a x } ( e ^ { 2 } 8 \\hat { d } \\xi , \\ln ( 2 \\overline { { T } } / \\delta ) ) } \\\\ & { \\quad \\le e ^ { 2 } 8 \\hat { d } \\xi } \\\\ & { \\quad = O \\left( \\hat { d } ( \\log ( \\hat { N } ) + \\log \\log m + \\log ( 1 / \\delta ) ) \\right) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 343, + 792, + 651, + 864 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "E LOWER BOUNDS ", + "text_level": 1, + "bbox": [ + 174, + 877, + 346, + 895 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "In this section, we prove three lower bounds. ", + "bbox": [ + 173, + 909, + 467, + 924 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "E.1 PROOF OF QUERY LOWER BOUND FOR LARGE N ", + "text_level": 1, + "bbox": [ + 173, + 103, + 549, + 118 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Theorem 2. Fix any $\\lambda \\geq 1$ and $m \\geq 2 \\lambda$ . There exists a distribution over interpolating ranked minimal error learners and an $m$ -sized dataset with optimal subset size $d ^ { * }$ , such that any teaching algorithm requires $2 ^ { \\Omega ( m / \\lambda ) }$ queries to achieve at most $\\lambda d ^ { * }$ subset size with probability at least $1 / 2$ . ", + "bbox": [ + 173, + 128, + 825, + 172 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Proof. Let the dataset include $m$ points that are all labeled 0. ", + "bbox": [ + 173, + 186, + 575, + 202 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Let $K \\subset [ m ]$ be randomly chosen such that $K \\subset [ m ]$ and $| K | = \\lfloor m / ( 2 \\lambda ) \\rfloor \\ge 1$ . $K$ is the random “key”. ", + "bbox": [ + 173, + 207, + 825, + 238 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/91d6a10de3f8983f99145e3169f38e84435dcb2fb0f3ec6541c67accf187d567.jpg", + "text": "$$\nL ( \\{ { \\vec { D } } _ { i } : i \\in S \\} ) ( x _ { j } ) = { \\left\\{ \\begin{array} { l l } { 1 } & { K \\not \\subset S , | S | \\leq m / 2 , j \\not \\in S } \\\\ { 0 } & { { \\mathrm { o t h e r w i s e } } } \\end{array} \\right. }\n$$", + "text_format": "latex", + "bbox": [ + 310, + 263, + 686, + 299 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "We show that the learner can be written as a ranked minimal error learner. ", + "bbox": [ + 174, + 313, + 656, + 328 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Define ", + "bbox": [ + 173, + 334, + 220, + 348 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/7fe8d3834c0532fa5488ec3a624da514eb1a53870e6cc421376d876696213a00.jpg", + "text": "$$\n\\begin{array} { r l } & { h _ { S } ( x _ { j } ) = \\mathbf { 1 } [ j \\notin S ] } \\\\ & { \\qquad \\mathcal { H } = \\{ h _ { S } : S \\subset [ m ] : K \\notin S \\land | S | \\leq m / 2 \\} \\cup \\{ h _ { [ m ] } \\} } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 302, + 353, + 696, + 392 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "and let $R ( h _ { S } ) < R ( h _ { S ^ { \\prime } } )$ if $| S | < | S ^ { \\prime } |$ (i.e. the learner prefers $h _ { S }$ with smaller $S$ ). ", + "bbox": [ + 173, + 404, + 709, + 420 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Note that this learner is an interpolating learner because $L ( K )$ has zero errors. Furthermore, $d ^ { * } =$ $\\vert K \\vert = \\lfloor m / ( 2 \\lambda ) \\rfloor$ . ", + "bbox": [ + 173, + 425, + 823, + 457 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Note that any set of size $| S | = m / 2 + 1$ achieves no errors (error inclusive) but the size is more than $d ^ { * } \\lambda$ . ", + "bbox": [ + 176, + 462, + 823, + 489 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Furthermore, to achieve $d ^ { * } \\lambda$ , a necessary condition for any algorithm is to query a subset where $| S | \\le m / 2 \\land K \\subset S$ . Otherwise, there will be many errors $( \\geq m / 2 )$ and no information will be gained on $K$ . This is not sufficient, but is necessary. ", + "bbox": [ + 173, + 496, + 825, + 540 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Furthermore, for any subset $| S | \\le m / 2$ , the probability that $K \\subset S$ is at most $1 / 2 ^ { | K | }$ . ", + "bbox": [ + 173, + 546, + 736, + 563 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Thus, by a union bound, in $2 ^ { | K | - 1 }$ iterations, there is a $1 / 2$ chance that the algorithm has not met the necessary condition and thus is not done. Thus, the expected number of iterations is at least ", + "bbox": [ + 173, + 569, + 828, + 599 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/8842a87e129b266b5c49603f6b4df6f956ad33b729e947f89dd86ec915a5c8be.jpg", + "text": "$$\n2 ^ { | K | - 1 } = 2 ^ { \\lfloor m / ( 2 \\lambda ) \\rfloor - 1 } = 2 ^ { \\Omega ( m / \\lambda ) }\n$$", + "text_format": "latex", + "bbox": [ + 385, + 625, + 612, + 641 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "E.2 QUERY LOWER BOUND FOR SMALL N ", + "text_level": 1, + "bbox": [ + 174, + 681, + 477, + 696 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Just for this section, define $[ n ] = \\{ 0 , 1 , \\ldots , n - 1 \\}$ . In other words, we start at zero rather than one. ", + "bbox": [ + 171, + 707, + 823, + 723 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Here we describe a ranked minimal error learner that requires $\\widetilde \\Omega ( d ^ { * } \\log ( m / d ^ { * } ) )$ iterations (queries) to even achieve even a rough approximation of the optimal subset. ", + "bbox": [ + 171, + 729, + 823, + 761 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Fix any $C , \\ell , k \\in \\mathbb { Z } _ { + }$ . Let there be a randomly chosen vector ${ \\vec { c } } \\in [ C ] ^ { k \\ell }$ . Index $\\vec { c }$ by $[ k \\ell ]$ ", + "bbox": [ + 176, + 766, + 748, + 782 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "For simplicity let the ground truth labels all be 0. ", + "bbox": [ + 174, + 787, + 496, + 803 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Let $x \\in [ k ] \\times [ C ] ^ { \\ell }$ . ", + "bbox": [ + 173, + 808, + 302, + 827 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Let there be $k \\ell + 1$ hypotheses where one hypothesis is a hypothesis that makes no mistakes $h ^ { * } =$ $h _ { \\infty }$ . For the other $k \\ell$ hypotheses, index the hypotheses by $[ k \\ell ]$ . ", + "bbox": [ + 173, + 832, + 823, + 861 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/32ece348da1f9cba792e27bbaacfeaa3f18a40e71195f99671f41509a23e092d.jpg", + "text": "$$\nh _ { i } ( x ) = { \\left\\{ \\begin{array} { l l } { 1 } & { i / / \\ell = x _ { 1 } \\wedge x _ { 2 , i \\% \\ell } = { \\vec { c } } _ { i } } \\\\ { 0 } & { { \\mathrm { o t h e r w i s e } } } \\end{array} \\right. }\n$$", + "text_format": "latex", + "bbox": [ + 367, + 886, + 627, + 921 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $/ /$ signifies integer division and $\\%$ signifies modulo. ", + "bbox": [ + 173, + 102, + 562, + 118 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Let $R ( h _ { i } ) = i$ and $R ( h _ { \\infty } ) = k \\ell$ . So $h _ { 0 }$ is preferred, and we must rule out all but the last hypothesis to achieve zero error. ", + "bbox": [ + 174, + 125, + 823, + 154 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "We assume the teacher knows everything about the structure of the hypotheses except for the randomness in defining $\\vec { c }$ (the random “key”). ", + "bbox": [ + 174, + 160, + 821, + 189 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Note that we can cover all non-optimal hypotheses with $k$ points, so $d ^ { * } = k$ . ", + "bbox": [ + 176, + 195, + 676, + 210 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "We now describe the dynamics of making queries. At every iteration $t$ , the teacher can keep track of an uncertainty set for each element of $\\vec { c }$ . In particular, let $V _ { t , i } \\in \\mathcal { P } ( [ C ] )$ be an uncertainty set such that we know $\\vec { c } _ { i } \\in V _ { t , i }$ at the $t ^ { t h }$ iteration. In particular, each uncertainty set begins as $[ C ]$ . If the $i ^ { t h }$ hypothesis is returned by the learner, the teacher knows $V _ { t , i } = \\{ \\vec { c } _ { i } \\}$ . If we know that we covered $h _ { i }$ with a query set $X _ { t }$ (by knowing the ranked order of hypotheses), then we know that $\\begin{array} { r } { \\vec { c } _ { i } \\in \\bigcup _ { x \\in X _ { t } : x _ { 1 } = i / / \\ell } x _ { 2 , i \\% \\ell } . } \\end{array}$ ", + "bbox": [ + 173, + 215, + 825, + 306 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Given the above, we can refine the problem to the following problem with states $Z _ { t } \\in [ C ] ^ { k \\ell }$ , actions $A _ { t } \\in [ C ] ^ { k \\ell }$ , and randomness $R _ { t } \\in \\mathsf { \\bar { [ } } k \\ell ] \\cup \\{ \\infty \\}$ . ", + "bbox": [ + 176, + 314, + 823, + 344 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Let $Z _ { t , i } = | V _ { t , i } |$ be the size of the uncertainty set. ", + "bbox": [ + 173, + 349, + 500, + 366 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Let ", + "bbox": [ + 173, + 372, + 199, + 386 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/3173a9a19027870b1488e1abe2a2f5aa6f4c3556a88e97068fa9e285ffe1aa5e.jpg", + "text": "$$\nA _ { t , i } = \\left| \\left( \\bigcup _ { x \\in X _ { t } : x _ { 1 } = i / / \\ell } x _ { 2 , i \\mathcal { Y } _ { 0 } \\ell } \\right) \\cap V _ { t , i } \\right|\n$$", + "text_format": "latex", + "bbox": [ + 369, + 412, + 630, + 464 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "be the number of elements within the certainty set that we cover with $X _ { t }$ . ", + "bbox": [ + 173, + 479, + 661, + 494 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Finally, let $R _ { t }$ be the hypothesis returned from the learner to the teacher at the $t ^ { t h }$ iteration. ", + "bbox": [ + 169, + 501, + 767, + 516 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Given a state $Z _ { t }$ , the teacher chooses $X _ { t }$ which can be converted to an $A _ { t }$ such that $0 ~ \\leq$ $A _ { t , i } ~ \\leq ~ Z _ { t , i }$ . For any query set $X _ { t }$ that the teacher queries, we convert this to an $A _ { t }$ where $\\begin{array} { r } { \\vert X _ { t } \\vert = \\sum _ { i _ { 1 } \\in [ k ] } \\operatorname* { m a x } _ { i _ { 2 } \\in [ \\ell ] } A _ { t , i _ { 1 } \\ell + i _ { 2 } } } \\end{array}$ . ", + "bbox": [ + 173, + 522, + 825, + 568 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "The learner gives the teacher a hypothesis (and thus $R _ { t }$ ) that is random with respect to the randomness in $\\vec { c }$ such that ", + "bbox": [ + 173, + 573, + 823, + 602 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/e8b93af53868c717303ce56dda68d2c87dcd5707a2219217ba98de8c4729de4d.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\operatorname* { P r } ( R _ { t } = i ) = \\prod _ { j = 1 } ^ { i - 1 } \\frac { A _ { t , j } } { Z _ { t , j } } \\left( 1 - \\frac { A _ { t , i } } { Z _ { t , i } } \\right) } \\\\ { \\displaystyle \\operatorname* { P r } ( R _ { t } = \\infty ) = \\prod _ { j = 1 } ^ { k \\ell } \\frac { A _ { t , j } } { Z _ { t , j } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 370, + 630, + 625, + 722 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "In other words, $h _ { i }$ is returned by the learner if the query $X _ { t }$ covers the first $i - 1$ hypotheses, but fails to cover the $i ^ { t h }$ hypothesis. Finally, we return $h ^ { * } = h _ { \\infty }$ if the rest of the hypotheses are covered. ", + "bbox": [ + 173, + 736, + 825, + 765 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Then, on a state $Z _ { t }$ , action $A _ { t }$ , and learner’s hypothesis $R _ { t }$ , we can generate the next state as ", + "bbox": [ + 171, + 771, + 779, + 786 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/05f1d3c334e43e9205b9adbd018e1773a602d4072bc3feca52d8c8a76f6b1422.jpg", + "text": "$$\nZ _ { t + 1 , i } = \\left\\{ { \\begin{array} { l l } { A _ { t , i } } & { i < R _ { t } } \\\\ { 1 } & { i = R _ { t } } \\\\ { Z _ { t , i } } & { i > R _ { t } } \\end{array} } \\right.\n$$", + "text_format": "latex", + "bbox": [ + 413, + 815, + 584, + 867 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "E.2.1 ANALYSIS FOR LOWER BOUND ", + "text_level": 1, + "bbox": [ + 174, + 883, + 442, + 898 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "The analysis hinges on examining the potential function: ", + "bbox": [ + 173, + 909, + 545, + 924 + ], + "page_idx": 23 + }, + { + "type": "equation", + "img_path": "images/45c606bd9fcbe85f79492331eef04256a7870cf940d924243a8de4bccfc2db2f.jpg", + "text": "$$\nP ( Z _ { t } ) = \\sum _ { i = 1 } ^ { k \\ell } \\ln \\left( \\frac { C } { Z _ { t , i } } \\right)\n$$", + "text_format": "latex", + "bbox": [ + 416, + 121, + 580, + 165 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "First, note that the potential function is monotone increasing (not strictly) with the number of iterations. Further note that $P ( Z _ { 1 } ) = 0$ since $Z _ { 1 , i } = C$ . ", + "bbox": [ + 171, + 176, + 823, + 207 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Note that at any iteration $t$ and state $Z _ { t }$ , the teacher can cover all possible (with respect to the uncertainty sets) hypotheses with exactly ", + "bbox": [ + 173, + 212, + 823, + 242 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/ef33ec99c380fd215db646769467dea469cba44e8f413b9fb9c347fabfdbb5f4.jpg", + "text": "$$\nQ ( Z _ { t } ) = \\sum _ { i _ { 1 } \\in [ k ] } \\operatorname* { m a x } _ { i _ { 2 } \\in [ \\ell ] } Z _ { t , i _ { 1 } \\ell + i _ { 2 } }\n$$", + "text_format": "latex", + "bbox": [ + 398, + 263, + 598, + 301 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "points. Furthermore, all uncertainty sets cannot be covered with fewer points. For an algorithm to achieve a final subset of size of at most $\\lambda k$ , it must be the case that $Q ( Z _ { t } ) \\leq \\lambda k$ . ", + "bbox": [ + 173, + 313, + 823, + 343 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Lemma 7. For an algorithm to achieve a final subset at iteration $t$ of size at most $\\lambda k$ , it must be the case that ", + "bbox": [ + 173, + 345, + 823, + 375 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/aec01d9e61821483dac6a4d8c080b9c4db6f285b400afb8217d04fef11bfa71f.jpg", + "text": "$$\nP ( Z _ { t } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right)\n$$", + "text_format": "latex", + "bbox": [ + 426, + 377, + 570, + 412 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Proof. This follows from solving the relaxed optimization problem where $Z _ { t , i } \\in \\mathbb { R }$ and $1 \\leq Z _ { t , i } \\leq$ $C$ . ", + "bbox": [ + 173, + 424, + 825, + 454 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/c756f87b4eac22cf48abe49890ba93111e26699c8ad774e8c79e67e771d0e895.jpg", + "text": "$$\n\\operatorname* { m i n } P ( Z _ { t } ) { \\mathrm { ~ s u c h ~ t h a t ~ } } Q ( Z _ { t } ) \\leq \\lambda k\n$$", + "text_format": "latex", + "bbox": [ + 385, + 481, + 612, + 500 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "which has a global solution where all elements of $Z _ { t }$ are equal: $Z _ { t , i } = \\lambda$ ", + "bbox": [ + 173, + 511, + 650, + 527 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Lemma 8. ", + "text_level": 1, + "bbox": [ + 173, + 535, + 246, + 549 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/87f0c8da2ff1bf357d088c7d5ff78144f81e66b972732786ca858786277bbff3.jpg", + "text": "$$\n\\mathbb { E } [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] \\leq 1 + \\ln ( C )\n$$", + "text_format": "latex", + "bbox": [ + 380, + 554, + 617, + 573 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Proof. ", + "bbox": [ + 173, + 587, + 217, + 601 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/dfb08db625ac999b3f7b3b9c4f102709604a87b1be065aac596386f6a654e53b.jpg", + "text": "$$\n\\begin{array} { r l } { \\sum [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] = \\mathbb { E } \\Bigg [ \\displaystyle \\sum _ { i = 1 } ^ { N } \\log \\left( \\frac { Z _ { t , i + 1 } } { Z _ { t + 1 } } \\right) \\Bigg ] } \\\\ & { = \\displaystyle \\sum _ { i = 1 } ^ { N } \\mathbb { P } ( \\bar { X } _ { t } - \\tau ) \\left[ \\displaystyle \\sum _ { i = 1 } ^ { N - 1 } \\log \\left( \\frac { Z _ { t , i } } { Z _ { t , i } } \\right) \\mid \\mathrm { ~ i n } \\left( \\frac { Z _ { t , i } } { \\bar { X } _ { t } } \\right) \\right] } \\\\ & { \\leq \\operatorname* { l i m } ( Z ) + \\displaystyle \\sum _ { i = 1 } ^ { N } \\mathbb { P } ( \\bar { X } _ { t } - \\tau ) \\displaystyle \\sum _ { i = 1 } ^ { N - 1 } \\operatorname* { i n } \\left( \\frac { Z _ { t , i } } { Z _ { t , i } } \\right) } \\\\ & { = \\operatorname* { l i m } ( Z ) + \\displaystyle \\sum _ { i = 1 } ^ { N } \\displaystyle \\sum _ { i = 1 } ^ { N } \\displaystyle \\sum _ { i = 1 } ^ { N } \\log \\left( R _ { t } - \\tau \\right) \\ln \\left( \\frac { Z _ { t , i } } { Z _ { t , i } } \\right) } \\\\ & { = \\operatorname* { l i m } ( Z ) + \\displaystyle \\sum _ { i = 1 } ^ { N } \\displaystyle \\sum _ { i = 1 } ^ { N } \\operatorname* { i n } \\left( \\frac { Z _ { t , i } } { Z _ { t , i } } \\right) \\ln \\left( \\frac { Z _ { t , i } } { \\bar { X } _ { t } } \\right) } \\\\ & { = \\operatorname* { l i m } ( Z ) + \\displaystyle \\sum _ { i = 1 } ^ { N } \\displaystyle \\sum _ { i = 1 } ^ { N } \\left( \\frac { 1 } { Z _ { t , i } } \\right) \\ln \\left( \\frac { Z _ { t , i } } { \\bar { X } _ { t } } \\right) } \\\\ & { = \\operatorname* { l i m } ( Z ) + \\displaystyle \\sum _ { i = 1 } ^ { N - 1 } \\left( \\displaystyle \\sum _ { i = 1 } ^ { N } \\frac { 1 } { Z _ { t , i } } \\right) \\ln \\left( \\frac { Z _ { t , i } } { \\bar { X } _ { t } } \\right) } \\\\ & { = \\operatorname* { l i m } ( Z ) + \\displaystyle \\sum _ { i = 1 } ^ { N - 1 } \\left( \\displaystyle \\sum _ { i = 1 } ^ { N } \\frac { 1 } { Z _ { t , i } } \\right) \\ln \\left( \\frac { Z _ { t , i } } { \\bar { X } _ { t } } \\right) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 258, + 607, + 738, + 877 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Define $\\pi \\in \\mathbb { R } ^ { k \\ell }$ where $\\begin{array} { r } { \\pi _ { i } = \\frac { A _ { t , i } } { Z _ { t , i } } } \\end{array}$ so $0 \\leq \\pi _ { i } \\leq 1$ . We can solve the relaxed problem of maximizing over $\\pi$ to upper bound the expression. ", + "bbox": [ + 174, + 890, + 823, + 924 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/3a9c5fe58ec57b6bbf914b3a9c310d89786a3893e7c4e8c1524b0bb3ea387e22.jpg", + "text": "$$\n\\mathbb { E } [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] \\leq \\ln ( C ) + \\sum _ { i = 0 } ^ { k \\ell - 1 } \\left( \\prod _ { j = 0 } ^ { i } \\pi _ { j } \\right) \\ln \\left( \\frac { 1 } { \\pi _ { i } } \\right)\n$$", + "text_format": "latex", + "bbox": [ + 303, + 119, + 692, + 171 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Define $\\begin{array} { r } { f _ { \\pi } ( \\sigma ) = \\pi \\left( \\ln \\left( \\frac { 1 } { \\pi } \\right) + \\sigma \\right) } \\end{array}$ . Then, ", + "bbox": [ + 173, + 183, + 433, + 200 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/6337034f674c6261f038dd37e203eaf6df9569e319390af5da3326f5e9922212.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle \\sum _ { i = 0 } ^ { k \\ell - 1 } \\left( \\prod _ { j = 0 } ^ { i } \\pi _ { j } \\right) \\ln \\left( \\frac { 1 } { \\pi _ { i } } \\right) = \\pi _ { 0 } \\ln \\left( \\frac { 1 } { \\pi _ { 0 } } \\right) + \\pi _ { 0 } \\pi _ { 1 } \\ln \\left( \\frac { 1 } { \\pi _ { 1 } } \\right) + \\dots + \\pi _ { 0 } \\pi _ { 1 } \\dots \\pi _ { k \\ell - 1 } \\ln \\left( \\frac { 1 } { \\pi _ { k \\ell - 1 } } \\right) } } \\\\ { { \\displaystyle \\qquad ( 7 \\pi _ { 0 } ( f _ { \\pi _ { 1 } } ( \\dots f _ { \\pi _ { k \\ell - 2 } } ( f _ { \\pi _ { k \\ell - 1 } } ( 0 ) ) \\dots ) ) } } \\\\ { { \\displaystyle \\qquad ( 7 \\pi _ { 0 } ( f _ { \\pi _ { 1 } } ( \\dots f _ { \\pi _ { k \\ell - 2 } } ( f _ { \\pi _ { k \\ell - 1 } } ( 0 ) ) \\dots ) ) } } \\end{array} ( 7 ) ~ ,\n$$", + "text_format": "latex", + "bbox": [ + 183, + 222, + 812, + 308 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Note that if $\\sigma \\leq 1$ , then $f _ { \\pi } ( \\sigma ) \\leq 1$ for any $0 \\leq \\pi \\leq 1$ . So, by induction, ", + "bbox": [ + 173, + 316, + 648, + 334 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/b9c29b256a102cdb3b055c254daf2c5cc7540b117d769a939334fa307854fa49.jpg", + "text": "$$\n\\sum _ { i = 0 } ^ { k \\ell - 1 } \\left( \\prod _ { j = 0 } ^ { i } \\pi _ { j } \\right) \\ln \\left( { \\frac { 1 } { \\pi _ { i } } } \\right) \\leq 1\n$$", + "text_format": "latex", + "bbox": [ + 398, + 354, + 598, + 406 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "and we get the result. ", + "bbox": [ + 173, + 417, + 315, + 433 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Intuitively, if an algorithm can only increase $P ( Z _ { t } )$ (in expectation) by $1 + \\ln ( C )$ for every iteration and the algorithm isn’t done until $\\begin{array} { r } { P ( Z _ { t } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } \\end{array}$ , we have a lower bound. ", + "bbox": [ + 173, + 446, + 826, + 479 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Lemma 9. For any algorithm that returns a subset of size at most $\\lambda k$ at random iteration $\\tau$ , ", + "bbox": [ + 169, + 481, + 777, + 496 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/61322e448d9ed22fac06bbce1510c4f7a4882129f87a11cbbdef29fc7901108b.jpg", + "text": "$$\n\\operatorname* { P r } \\left[ \\tau \\leq \\left\\lfloor \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\right\\rfloor \\right] \\leq \\frac { 1 } { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 390, + 501, + 607, + 536 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Proof. Noting that $P ( Z _ { 1 } ) = 0$ , for any $T$ , ", + "bbox": [ + 173, + 549, + 450, + 565 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/e26bb4f081eaecdb64e38f589ad9ee28e0b80f1775670a0395fb5a54507d5ef0.jpg", + "text": "$$\n\\begin{array} { r l r } { { \\mathbb { E } [ P ( Z _ { T + 1 } ) ] = \\sum _ { t = 1 } ^ { T } \\mathbb { E } [ P ( Z _ { t + 1 } - P ( Z _ { t } ) ] } } \\\\ & { } & { \\leq T ( 1 + \\ln ( C ) ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 364, + 588, + 633, + 651 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "By Markov’s inequality, ", + "bbox": [ + 173, + 661, + 334, + 676 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/e7290cbb9361ed7e4f4e432b1c42a21bde703c5f8cacf1b926e4bdb76c4ff83c.jpg", + "text": "$$\n\\begin{array} { r l } & { \\operatorname* { P r } ( \\tau \\leq T ) \\leq \\operatorname* { P r } \\left( P ( Z _ { T + 1 } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) \\right) } \\\\ & { \\qquad \\leq \\frac { \\operatorname { \\mathbb { E } } [ P ( Z _ { T + 1 } ) ] } { k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } } \\\\ & { \\qquad \\leq \\frac { T ( 1 + \\ln ( C ) ) } { k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 346, + 700, + 650, + 810 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "If we set $\\begin{array} { r } { T = \\lfloor \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\rfloor } \\end{array}$ , then $\\textstyle \\operatorname* { P r } ( \\tau \\leq T ) \\leq { \\frac { 1 } { 2 } }$ . Or equivalently, ", + "bbox": [ + 173, + 820, + 611, + 843 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/7b19b8dbfb3195956e877177176b102134b0ffb6636b0ab0ac2af59926b825a7.jpg", + "text": "$$\n\\operatorname* { P r } \\left( \\tau \\geq \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\right) \\geq \\frac { 1 } { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 397, + 862, + 602, + 897 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Finally, we convert this bound into something more usable. ", + "bbox": [ + 173, + 103, + 563, + 118 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Note that d∗ = k, m = kCℓ and N = kℓ + 1. Thus, ℓ = ln(m/k) . ", + "bbox": [ + 173, + 125, + 604, + 146 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Set $C = \\lceil e \\lambda \\rceil$ ", + "bbox": [ + 173, + 151, + 271, + 167 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Then, with probability at least $1 / 2$ , $\\tau$ is at least, ", + "bbox": [ + 173, + 174, + 486, + 189 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/31506f4e07c25f5a6d7161e772ec3c2d715fdf813a16a439a01783aa1789a799.jpg", + "text": "$$\n\\begin{array} { r l } & { \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\geq \\frac { k \\ln ( m / k ) \\ln ( e ) } { 2 ( 1 + \\ln ( e \\lambda + 1 ) ) ( \\ln ( e \\lambda + 1 ) ) } } \\\\ & { \\qquad \\geq \\frac { k \\ln ( m / k ) } { 2 ( 2 + \\ln ( \\lambda ) + 1 / e ) ) ( 1 + \\ln ( \\lambda ) + 1 / e ) } } \\\\ & { \\qquad \\geq \\frac { k \\ln ( m / k ) } { 2 ( 3 + \\ln ( \\lambda ) ) ^ { 2 } } } \\\\ & { \\qquad = \\frac { d ^ { * } \\ln ( m / d ^ { * } ) } { 2 ( 3 + \\ln ( \\lambda ) ) ^ { 2 } } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 310, + 208, + 686, + 349 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "If $\\lambda \\leq \\lambda ^ { \\prime } \\log ( m ) \\log ( N ) \\leq \\lambda ^ { \\prime } \\log ( m ) \\log ( k \\ln ( m / k ) )$ (for constant $\\lambda ^ { \\prime }$ ), then, the expected number of iterations is $\\widetilde \\Omega ( d ^ { * } \\log ( m / d ^ { * } ) )$ . ", + "bbox": [ + 173, + 356, + 823, + 388 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "F ERROR SQUASHING ", + "text_level": 1, + "bbox": [ + 176, + 406, + 372, + 422 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "F.1 BACKGROUND ", + "text_level": 1, + "bbox": [ + 174, + 436, + 316, + 452 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "In this subsection, we review related theoretical work in more detail as background to our framework and algorithms. ", + "bbox": [ + 176, + 463, + 823, + 492 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "F.1.1 SETCOVER AND INTERACTIVE VARIANTS ", + "text_level": 1, + "bbox": [ + 173, + 506, + 513, + 520 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Setcover is a classic computer science problem (Karp, 1972). While there are many similar and equivalent formulations, for this work, we formulate the problem in terms of $m$ binary decision variables and $N$ elements, where each element is represented by the decision variables that would “cover” the element: $Z _ { i } ~ \\subset ~ [ m ]$ for each $i \\in [ N ]$ . A solution is a subset $S \\subset [ m ]$ such that $\\forall i \\in [ N ] : \\exists s \\in S : s \\in Z _ { i }$ . In other words, we choose a subset $S \\subset [ m ]$ of the decision variables so that all elements $Z _ { i }$ intersect $S$ . We wish to find a solution of smallest size $| S |$ . ", + "bbox": [ + 174, + 530, + 825, + 614 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "In the standard non-interactive version of setcover, all elements and sets are known, and there exist algorithms that return a solution of size $O ( \\log ( N ) C _ { 0 \\mathrm { { P T } } } )$ where $C _ { \\mathrm { O P T } }$ is the size of the optimal solution set. In an interactive variant known as online set cover (Alon et al., 2009), the elements are not known at the beginning, only the number of decision variables $m$ . The algorithm is initialized with $S _ { 0 } = \\emptyset$ . Then, for each iteration $t = 1 , 2 , \\ldots$ , an adversary chooses an element $i _ { t } \\in [ N ]$ that is not intersected by $S _ { t }$ (i.e. $S _ { t } \\cap Z _ { i _ { t } } = \\emptyset $ ) and reveals the decision variables that would cover $i _ { t }$ (i.e. $Z _ { i _ { t } }$ ). The algorithm then chooses a set $s _ { t }$ such that $s _ { t } \\in Z _ { i _ { t } }$ is permanently added to the solution: $\\boldsymbol { S _ { t } } ^ { \\prime } = \\boldsymbol { S _ { t - 1 } } \\bar { \\cup } \\{ \\boldsymbol { s _ { t } } \\}$ . This process continues until all elements are covered and the adversary has no possible elements to choose. Note that the online set cover problem is harder than the standard set cover problem: if we were given all elements, we can simulate an adversary. Furthermore, the number of iterations $t$ is exactly the size of the final set. Alon et al. (2009) provides an algorithm that returns a solution of size $O ( \\log ( N ) \\log ( m ) C _ { \\mathrm { O P T } } )$ where $C _ { \\mathrm { O P T } }$ is the optimal (offline) solution. ", + "bbox": [ + 173, + 621, + 825, + 787 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "In this work, we examine another interactive set cover variant that is harder than standard set cover but is a relaxed version of online set cover. We call this exploratory set cover. Like online set cover, the elements are not known at the beginning; the algorithm is only given the number of decision variables $m$ . The algorithm has access to an adversarial oracle which takes a potential solution $S _ { t } \\subset [ m ]$ and reveals either that $S _ { t }$ is a valid solution, or chooses an element $i _ { t }$ such that $Z _ { i _ { t } }$ has an empty intersection with $S _ { t }$ and reveals $Z _ { i _ { t } }$ . However, unlike the online set cover version, the sets $S _ { t }$ are arbitrary; for example, they need not be nested. At any iteration, the algorithm can return a final solution $\\hat { S }$ that must intersect all $Z _ { i }$ . An algorithm is evaluated by two evaluation aspects, the number of exploratory iterations and the size of the final solution $| \\hat { S } |$ . ", + "bbox": [ + 173, + 794, + 825, + 924 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "F.1.2 SET COVER HARDNESS ", + "text_level": 1, + "bbox": [ + 174, + 103, + 387, + 117 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Set cover is one of Karp’s 21 NP-hard problems (Karp, 1972). Additionally, approximating set cover with an approximation factor of $o ( \\log n )$ is computationally hard. To be specific, unless NP problems can be solved in $n ^ { O ( \\log \\log n ) }$ time (a slightly weaker statement than $\\mathbf { P } = \\mathbf { N P }$ ), there is no algorithm for set cover that always returns a set cover of size $( 1 - \\epsilon ) \\ln ( N ) C _ { \\mathrm { O P T } }$ , where $C _ { \\mathrm { O P T } }$ is the optimal set cover size (Feige, 1998). Alon et al. (2009) shows that approximating online set cover requires a larger approximation factor; any algorithm must return solutions of size at least $\\widetilde \\Omega ( \\ln ( N ) \\mathrm { l n } ( m ) C _ { 0 \\mathrm { P T } } )$ where $C _ { \\mathrm { O P T } }$ is the optimal (offline) solution (Alon et al., 2009). Note that the exploratory set cover problem is harder than standard set cover but easier than online set cover. ", + "bbox": [ + 173, + 127, + 825, + 244 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "F.1.3 MACHINE TEACHING ", + "text_level": 1, + "bbox": [ + 174, + 258, + 374, + 273 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Machine teaching (Shinohara & Miyano, 1991; Goldman & Kearns, 1995) is a machine learning task where a teacher provides data points to the learner. In the most classic setting, the learner has a finite hypothesis class $\\mathcal { H }$ , where each hypothesis is a mapping from $\\mathcal { X }$ to $\\mathcal { V }$ , the teacher knows the learner’s hypothesis class and which hypothesis is correct, and provides a teaching set $S \\subset { \\mathcal { X } }$ which uniquely determines the correct hypothesis. In particular, for a hypothesis class $\\mathcal { H }$ and a correct hypothesis $h ^ { * }$ , a set $S$ is a teaching set if ", + "bbox": [ + 174, + 282, + 825, + 367 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/ec6c4098f7bead60be512f60445610e2e6b1eb4e5d78bd795fb5b7fe4e4b9365.jpg", + "text": "$$\n\\forall h \\in { \\mathcal { H } } \\setminus \\{ h ^ { * } \\} : \\exists x \\in S : h ( x ) \\neq h ^ { * } ( x )\n$$", + "text_format": "latex", + "bbox": [ + 361, + 395, + 635, + 412 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Intuitively, if the teacher provides $\\{ ( x , h ^ { \\ast } ( x ) ) : x \\in S \\}$ to the learner, then the only remaining consistent hypothesis is $h ^ { * }$ . ", + "bbox": [ + 171, + 426, + 823, + 455 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Machine teaching in this setting, where the teacher knows the entire hypothesis class of the learner, has a straightforward reduction to set cover. In particular, identify each hypothesis $h \\in { \\mathcal { H } } \\setminus \\{ h ^ { * } \\}$ as an element to be covered and ", + "bbox": [ + 174, + 462, + 825, + 505 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/2f8262276db0e7f2e864aa62cf842774f69eb9879fe19415dd928416eda2e548.jpg", + "text": "$$\nE _ { h } = \\{ x \\in \\mathcal { X } : h ( x ) \\neq h ^ { * } ( x ) \\}\n$$", + "text_format": "latex", + "bbox": [ + 392, + 532, + 606, + 551 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "as the decision variables (datapoints in subset) that cover $h$ . ", + "bbox": [ + 173, + 564, + 565, + 579 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "An important quantity is the size of the smallest teaching set $d ^ { * }$ , which is a function of both the hypothesis class $\\mathcal { H }$ and the true hypothesis $h ^ { \\ast } \\in \\mathcal { H }$ . Note that the “teaching dimension” (Goldman & Kearns, 1995), is the maximum of $d ^ { * }$ over all $h ^ { \\ast } \\in \\mathcal { H }$ . ", + "bbox": [ + 173, + 585, + 825, + 628 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "For the general non-realizable setting, Cicalese et al. (2020) defines a $k$ -extended teaching set. For a hypothesis class $\\mathcal { H }$ and true hypothesis $h ^ { * }$ , if $h ^ { * }$ makes $k$ errors on a dataset, then $S$ is a $k$ -extended teaching set if $| S \\cap C _ { h } | \\geq k + 1$ for any hypothesis that makes at least $k + 1$ errors. ", + "bbox": [ + 174, + 635, + 825, + 679 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "F.2 INVARIANCE TO CONSISTENT ADDITIONS ", + "text_level": 1, + "bbox": [ + 173, + 695, + 501, + 709 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Suppose we have a hypothesis class $\\mathcal { H }$ and a learner $L$ , where each $h \\in \\mathcal H$ is a function $h : \\mathcal { X } \\to \\mathcal { Y }$ and the learner is a function: ", + "bbox": [ + 174, + 719, + 825, + 750 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/d62399eeaa1ec27d339c87a75e593842dfdf74f6538ccbdffaec4bca5ac86ba1.jpg", + "text": "$$\nL : \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } ) \\mathcal { H }\n$$", + "text_format": "latex", + "bbox": [ + 429, + 777, + 570, + 795 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Throughout this work, we make the following assumption about the learner. ", + "bbox": [ + 174, + 809, + 671, + 824 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Definition 4 (Invariant to consistent additions). We say a learner is invariant to consistent additions $i f \\forall D \\subset \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } )$ , $x \\subset \\mathcal { X }$ , $y \\subset \\mathcal { V }$ : ", + "bbox": [ + 171, + 828, + 823, + 857 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/ddc35e3ba7436d438f655ffadd502ace46044260b6ad4de2d956311c277f8391.jpg", + "text": "$$\nL ( D ) ( x ) = y \\implies L ( D ) = L ( D \\cup \\{ ( x , y ) \\} )\n$$", + "text_format": "latex", + "bbox": [ + 344, + 863, + 653, + 881 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "A simple example of a learner that meets this condition is a “ranked minimal error learner”. To avoid handling infinite hypothesis classes, assume $\\mathcal { X }$ is finite for this example. Fix a hypothesis class $\\mathcal { H }$ ", + "bbox": [ + 174, + 895, + 823, + 924 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "(note $| \\mathcal { H } | \\leq | \\mathcal { V } | ^ { | \\mathcal { X } | } )$ and a bijective ranking $\\sigma : { \\mathcal { H } } [ | { \\mathcal { H } } | ]$ . A ranked minimal error learner returns the highest ranked hypothesis among the hypotheses in $\\mathcal { H }$ achieving minimal error on the dataset: ", + "bbox": [ + 169, + 102, + 825, + 133 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/4883dd62c2df4ede8979ec7a5794f6a6cf8410fd1d4c40cd1a7854186fa53851.jpg", + "text": "$$\nL ( D ) = \\underset { \\substack { h : | \\{ ( x , y ) \\in D : h ( x ) \\neq y \\} | = \\operatorname* { m i n } _ { h ^ { \\prime } \\in \\mathcal { H } } | \\{ ( x , y ) \\in D : h ^ { \\prime } ( x ) \\neq y \\} | } } { \\arg \\operatorname* { m i n } } \\sigma ( h )\n$$", + "text_format": "latex", + "bbox": [ + 294, + 155, + 704, + 185 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Proposition 1. A ranked minimal error learner is invariant to consistent additions. ", + "bbox": [ + 173, + 188, + 714, + 202 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "The proof of Proposition 1 can be found in Appendix F.6. The invariance to consistent additions is more general than ranked minimal error learners: see an example in Appendix F.7.1. ", + "bbox": [ + 173, + 212, + 825, + 241 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "F.3 INDUCED HYPOTHESIS CLASSES ", + "text_level": 1, + "bbox": [ + 174, + 257, + 436, + 271 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Fix an size $m$ dataset $\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m } \\subset ( \\mathcal { X } \\times \\mathcal { Y } ) ^ { m }$ . Note that the learner might have a very large hypothesis class, maybe even large enough to fit arbitrary labels for a $m$ -sized dataset $\\langle | \\mathcal { H } | = | \\mathcal { V } | ^ { m } )$ . However, we can define the induced hypothesis class as ", + "bbox": [ + 173, + 281, + 825, + 325 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/66a0cab2c4df9aa7f3d7468298060c98dd2ac1cd81321ce87ec1efac85e68078.jpg", + "text": "$$\n\\overline { { \\mathcal { H } } } = \\{ L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\} ) : S \\subset [ m ] \\}\n$$", + "text_format": "latex", + "bbox": [ + 366, + 348, + 632, + 367 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "which could be significantly smaller, depending on the structure of the model and data. Then, we can define the error sets as ", + "bbox": [ + 169, + 376, + 823, + 405 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/8968f1de35ebecb3f11ca6e48fa60448c2c40b59a1ae8f1636fd5e604e1dc6b1.jpg", + "text": "$$\n\\mathcal { E } = \\{ \\{ i : h ( x _ { i } ) \\neq y _ { i } \\} : h \\in \\overline { { \\mathcal { H } } } \\} - \\{ \\emptyset \\}\n$$", + "text_format": "latex", + "bbox": [ + 367, + 428, + 629, + 446 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "where $E _ { h } \\in \\mathcal { E }$ is the set of datapoints that eliminate a hypothesis $h$ . ", + "bbox": [ + 171, + 473, + 616, + 488 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "For notational convenience, define $L ^ { ( \\mathrm { e r r } ) } : \\mathcal { P } ( [ m ] ) \\mathcal { P } ( [ m ] )$ as the set of errors when trained on a subset $S$ : ", + "bbox": [ + 173, + 493, + 823, + 523 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/d3ecf94210b9fc732603ec84778c89e334228d24cede17b17632bcffd4374294.jpg", + "text": "$$\nL ^ { \\mathrm { ( e r r ) } } ( S ) = \\{ i : L ( \\{ ( x _ { i ^ { \\prime } } , y _ { i ^ { \\prime } } ) : i ^ { \\prime } \\in S \\} ) ( x _ { i } ) \\neq y _ { i } \\}\n$$", + "text_format": "latex", + "bbox": [ + 333, + 546, + 665, + 565 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "then, $\\mathcal { E }$ is simply, ", + "bbox": [ + 173, + 575, + 289, + 590 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/122aef1319c3b85887d05ea31f2ccc2ece5ac111e1893dc50e62285324c939a5.jpg", + "text": "$$\n\\mathcal { E } = \\{ L ^ { \\mathrm { e r r } } ( S ) : S \\subset [ m ] \\} - \\{ \\varnothing \\}\n$$", + "text_format": "latex", + "bbox": [ + 392, + 613, + 606, + 631 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "F.4 ERROR INCLUSIVITY ", + "text_level": 1, + "bbox": [ + 174, + 645, + 359, + 660 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "We wish to find a set $S$ such that makes as few errors as if we trained on the entire dataset: $\\vert L ^ { ( \\mathrm { e r r } ) } ( S ) \\vert = \\vert L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) \\vert$ . However, this condition is a bit general as we might happen to have $| L ^ { \\mathrm { ( e r r ) } } ( \\emptyset ) | \\ = \\ | L ^ { \\mathrm { ( e r r ) } } ( [ m ] ) |$ , in which case $S \\ = \\ \\emptyset$ is perhaps unlikely to generalize to test points. Instead, we might wish to find a set $S$ that, when trained on, yields no errors outside of $S$ . ", + "bbox": [ + 173, + 671, + 825, + 728 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Definition 5. For a fixed dataset, we say a set is “error inclusive” if the following holds: ", + "bbox": [ + 169, + 729, + 758, + 746 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/7af2416b44c7166c28fc920edfaefe13da103b28e1b22794f988be54ea4fe34e.jpg", + "text": "$$\nL ^ { ( e r r ) } ( S ) \\subset S\n$$", + "text_format": "latex", + "bbox": [ + 452, + 767, + 547, + 786 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Note that $[ m ]$ is always error inclusive. Furthermore, if a learner is invariant to consistent additions, ${ \\cal L } ^ { ( \\mathrm { e r r } ) } ( S ) \\bar { = } \\bar { \\cal L } ^ { ( \\mathrm { e r r } ) } ( [ m ] )$ . ", + "bbox": [ + 171, + 796, + 825, + 825 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Proposition 5. Suppose a learner $L$ is invariant to consistent additions. If a set $S$ is error inclusive, ", + "bbox": [ + 176, + 827, + 820, + 843 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/2786b837588eaeb09f5a7512d5efc7df1f4d71fa57700cd89d4147202719487c.jpg", + "text": "$$\nL ^ { ( e r r ) } ( S ) = L ^ { ( e r r ) } ( [ m ] )\n$$", + "text_format": "latex", + "bbox": [ + 423, + 864, + 575, + 883 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "The proof of Proposition 5 is in Appendix F.6. Interpreted further, $| L ^ { ( \\mathrm { e r r } ) } ( S ) | = | L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) |$ and $L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) \\subset S$ , meaning that $S$ contains the errors of training on the full dataset. ", + "bbox": [ + 173, + 895, + 825, + 924 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "F.4.1 INTERPOLATING LEARNERS", + "text_level": 1, + "bbox": [ + 174, + 103, + 419, + 118 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "We say a learner is “interpolating” if it makes no training errors: $L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S = \\emptyset$ . In this case, we can achieve 0 errors on the entire dataset. Furthermore, note that for interpolating learners, error inclusivity of a set $S$ implies that training on $S$ results in zero error on the entire dataset. ", + "bbox": [ + 174, + 127, + 825, + 170 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "F.4.2 RESULTS ", + "text_level": 1, + "bbox": [ + 174, + 184, + 292, + 199 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Define the extended error sets as ", + "bbox": [ + 174, + 209, + 390, + 223 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/3f633d9e3b9e5c583185e7c92c5c1c2a71c2a71246370f7677b603f38b0fd355.jpg", + "text": "$$\n{ \\mathcal { E } } ^ { + } = \\{ L ^ { \\mathrm { ( e r r ) } } ( S ) \\setminus S : S \\subset [ m ] \\} - \\{ \\emptyset \\}\n$$", + "text_format": "latex", + "bbox": [ + 369, + 248, + 629, + 266 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Proposition 3. Fix a dataset. If a learner is invariant to consistent additions, ", + "bbox": [ + 173, + 271, + 676, + 286 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "The proof can be found in Appendix F.6. ", + "bbox": [ + 174, + 318, + 442, + 333 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Define ", + "bbox": [ + 173, + 340, + 220, + 354 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/c0806b7f7f8c2571b5aedfd5938cbe567eb1b5516e56fcb85c430883ee3e4357.jpg", + "text": "$$\nd ^ { * } = \\operatorname* { m i n } _ { \\substack { s \\mathrm { f u l l y i n t e r s e c t s } \\varepsilon + } } | S |\n$$", + "text_format": "latex", + "bbox": [ + 416, + 380, + 581, + 405 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Note that in the case of interpolating learners, ${ \\mathcal { E } } ^ { + } = { \\mathcal { E } }$ , and $d ^ { * }$ is the size of the optimal teaching set. ", + "bbox": [ + 173, + 417, + 823, + 446 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Thus, as in the machine teaching case, we have reduced the problem of finding a good subset to finding a minimal setcover, though of an expanded set. ", + "bbox": [ + 173, + 453, + 823, + 483 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Note that we can convert a data subset selection algorithm with interpolating learners (online or exploratory set cover algorithm) into a subset selection algorithm without assuming an interpolating learner, simply by acting as if training errors don’t exist. In particular, if we train on a subset $S _ { t }$ and receive a hypothesis $h _ { t }$ , rather than intersecting $\\{ i : h _ { t } ( x _ { i } ) \\neq y _ { i } \\}$ , we can intersect $\\{ i : h _ { t } ( x _ { i } ) \\neq$ $y _ { i } \\wedge i \\notin { \\dot { S _ { t } } } \\bar { \\} }$ . Put another way, when using a realizable algorithm on a non-interpolating learner, we can “squash” the training errors and pretend they don’t exist. In fact, this technique is used as a heuristic in Cicalese et al. (2020) to make the algorithm work in practice. Thus, we provide a framework justifying the use of this technique previously used as a heuristic. ", + "bbox": [ + 173, + 488, + 825, + 601 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "F.5 COMPARISON TO K-EXTENDED TEACHING DIMENSION ", + "text_level": 1, + "bbox": [ + 176, + 617, + 589, + 631 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Cicalese et al. (2020) introduces the concept of $k$ -extended teaching set for a hypothesis class $\\mathcal { H }$ and a dataset $\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m } \\subset ( \\mathcal { X } \\times \\mathcal { Y } ) ^ { m }$ . In particular, let $\\begin{array} { r } { k = \\operatorname* { m i n } _ { h \\in { \\mathcal { H } } } | \\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\} | } \\end{array}$ be the minimal number of errors of a hypothesis in $\\mathcal { H }$ . A set $S$ is a $k$ -extended teaching set, if for any $h \\in \\mathcal H$ such that $| \\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\} | \\ge k + 1$ , $| \\{ i \\in S : h ( x _ { i } ) \\neq y _ { i } \\} | \\geq k + 1$ . In other words, any hypothesis that makes $k + 1$ errors (more than the optimal number) on the entire dataset, makes $k + 1$ errors on the selected subset $S$ . ", + "bbox": [ + 173, + 642, + 825, + 727 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Here, for ranked minimal error learners, we compare $k$ -extended teaching sets to error inclusive sets (and thus sets that fully intersect ${ \\mathcal { E } } ^ { + }$ ). Fix a dataset, hypotheses $\\mathcal { H }$ , and ranking $\\sigma$ . Let $k$ be the minimal number of errors for a hypothesis $h \\in \\mathcal H$ for $\\vec { D }$ . For a ranked minimal error learner, $| L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) | = k$ , so an error inclusive set must make $k$ errors. Therefore any hypothesis $h$ where $\\sigma ( h ) \\div \\bar { \\sigma ( \\cal L ( \\{ ( x _ { i } , y _ { i } ) : i \\in [ m ] \\} ) ) } = \\sigma ^ { * }$ must incur at least $k + 1$ errors on $S$ , and any hypothesis $h$ where $\\sigma ( h ) > \\sigma ( L ( \\{ ( x _ { i } , y _ { i } ) : i \\in [ m ] \\} ) ) = \\sigma ^ { * }$ must incur at least $k$ errors on $S$ . A comparison of the two concepts is shown in Table 5. ", + "bbox": [ + 173, + 733, + 825, + 833 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Note that error inclusivity requires one less error on Type $\\mathrm { I I }$ hypotheses and $k$ more errors on Type III (error optimal) hypotheses. We can construct cases where the smallest error inclusive subset is of size $m$ but the smallest $k$ -extended teaching set is of size 0 (see Appendix F.7.3). In the other direction, there are cases where the smallest error inclusive subset is of size 2 while the smallest $k$ -extended teaching set is of size $m - 1$ (see Appendix F.7.4). Thus, the two notions of optimality are similar but neither is a stronger condition than the other. ", + "bbox": [ + 173, + 839, + 825, + 924 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Table 5: A comparison between $k$ -extended teaching sets and error inclusive sets. The three columns correspond to three types of hypotheses separated by two attributes: whether a hypothesis is ranked higher or lower than $\\bar { L } ^ { ( \\mathrm { e r r } ) } ( [ m ] )$ , and whether the total number of errors for a hypothesis is optimal, $k$ , or sub-optimal, $\\geq k + 1$ . Note that $L ^ { \\mathrm { ( e r r ) } } ( [ m ] )$ is the highest ranked hypothesis with optimal errors $k$ , so there are no hypotheses with $k$ errors and rank lower than $\\sigma ^ { * }$ . ", + "bbox": [ + 173, + 99, + 826, + 171 + ], + "page_idx": 30 + }, + { + "type": "table", + "img_path": "images/3818bf7c2277f255eb31a36423c5ede09a86b0575d414fad00013178d3167a83.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Hypothesis typeType IType IIType III
o(h) Total errors<*>g*>g*
Errors for k-extended≥k+1≥k+1=k
≥k+1≥k+1≥0
Errors for error inclusive≥k+1≥k≥k
", + "bbox": [ + 295, + 181, + 700, + 256 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "F.6 FRAMEWORK PROOFS ", + "text_level": 1, + "bbox": [ + 174, + 280, + 369, + 294 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Proposition 1. A ranked minimal error learner is invariant to consistent additions. ", + "text_level": 1, + "bbox": [ + 174, + 305, + 714, + 320 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Proof. Suppose $L$ is a ranked minimal error learner with hypothesis class $\\mathcal { H }$ and ranking $\\sigma$ . Fix a dataset $D \\subset \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } )$ , an input $x \\in \\mathcal { X }$ , and an output $y \\in \\mathcal { V }$ . It suffices to show that $L ( D ) ( x ) = y$ implies $L ( D ) = L ( D \\cup ( x , y ) )$ . ", + "bbox": [ + 173, + 335, + 825, + 378 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Define $D ^ { + } = D \\cup \\{ ( x , y ) \\}$ . Define $E : \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } ) \\times \\mathcal { H } \\mathbb { Z } _ { + }$ as $E ( D , h ) = | \\{ ( x , y ) \\in D :$ $h ( x ) \\neq y \\}$ . ", + "bbox": [ + 174, + 383, + 821, + 415 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/17790a1094d1e7361ee38eb4d52fabafa718a1659b4e6007fc284724562d1174.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\quad \\underline { E } = \\operatorname* { m i n } _ { h \\in \\mathcal H } E ( D , h ) } \\\\ { \\displaystyle \\underline { E } ^ { + } = \\operatorname* { m i n } _ { h \\in \\mathcal H } E ( D ^ { + } , h ) } \\\\ { \\displaystyle M = \\{ h : E ( D , h ) = \\underline { E } \\} } \\\\ { \\displaystyle M ^ { + } = \\{ h : E ( D ^ { + } , h ) = \\underline { E } ^ { + } \\} } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 395, + 439, + 602, + 530 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "note that ", + "bbox": [ + 173, + 541, + 235, + 555 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/ac39cefd0f771c64ddf442b4dc03b4bebc4c305570a9c91963fb35871ba02801.jpg", + "text": "$$\n\\begin{array} { c } { { L ( D ) = \\underset { h \\in { \\cal M } } { \\arg \\operatorname* { m i n } } \\sigma ( h ) } } \\\\ { { L ( D ^ { + } ) = \\underset { h \\in { \\cal M } ^ { + } } { \\arg \\operatorname* { m i n } } \\sigma ( h ) } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 418, + 582, + 580, + 637 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Define ", + "bbox": [ + 173, + 650, + 220, + 664 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/10796309f41b425556311b6f8b4d721cf24cc8b10811dda4f368c2abc5cd1f02.jpg", + "text": "$$\n\\begin{array} { r } { \\underline { { \\sigma } } = \\underset { h \\in M } { \\operatorname* { m i n } } \\sigma ( h ) } \\\\ { \\underline { { \\sigma } } ^ { + } = \\underset { h \\in M } { \\operatorname* { m i n } } \\sigma ( h ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 442, + 690, + 553, + 741 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Because $L ( D ) \\in { \\cal M } , E ( D , L ( D ) ) = \\underline { { E } } .$ . ", + "bbox": [ + 174, + 752, + 442, + 768 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Because $D \\subset D ^ { + }$ , so $E ^ { + } \\geq \\underline { { E } }$ . ", + "bbox": [ + 174, + 797, + 385, + 814 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Therefore, $E ^ { + } = E$ . ", + "bbox": [ + 174, + 820, + 312, + 835 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Because $E ( D , h ) \\leq E ( D ^ { + } , h )$ and $\\underline { { E } } ^ { + } = \\underline { { E } } , M ^ { + } \\subset M$ . Furthermore, $E ( D ^ { + } , L ( D ) ) = \\underline { { E } } = \\underline { { E } } ^ { + }$ , so $L ( D ) \\in { \\mathrm { \\Omega } } M ^ { + }$ . ", + "bbox": [ + 171, + 842, + 825, + 871 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/df048a67f72e77d0433543087c693bb4444d296134cb50b18a66940699b691ca.jpg", + "text": "$$\n\\sigma ( L ( D ) ) = \\operatorname* { m i n } _ { h \\in M } \\sigma ( h ) \\leq \\operatorname* { m i n } _ { h \\in M ^ { + } } \\sigma ( h ) \\leq \\sigma ( L ( D ) )\n$$", + "text_format": "latex", + "bbox": [ + 334, + 897, + 663, + 921 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Because $\\sigma$ is bijective, it has a unique argmax. ", + "bbox": [ + 174, + 103, + 478, + 119 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "so $L ( D ^ { + } ) = \\arg \\operatorname* { m i n } _ { h \\in M ^ { + } } \\sigma ( h ) = L ( D ) .$ ", + "bbox": [ + 173, + 125, + 455, + 141 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Lemma 10. Suppose a learner $L$ is invariant to consistent additions. Then, for a fixed dataset $\\{ ( x _ { i } , y _ { i } ) : i \\in [ \\bar { m } ] \\}$ , and for any subsets $S , S ^ { \\prime } \\subset [ m ]$ , ", + "bbox": [ + 173, + 147, + 828, + 178 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/159117977b683be4bf86bb7ff21f63d69895721f45d65bd529669f513dcf65c5.jpg", + "text": "$$\nL ^ { ( e r r ) } ( S ) \\cap S ^ { \\prime } = \\varnothing \\implies L ^ { ( e r r ) } ( S \\cup S ^ { \\prime } ) = L ^ { ( e r r ) } ( S )\n$$", + "text_format": "latex", + "bbox": [ + 328, + 202, + 668, + 220 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Proof. We prove by induction on the size of $S ^ { \\prime }$ ", + "bbox": [ + 173, + 234, + 486, + 250 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "As the base case, if $| S ^ { \\prime } | = 0$ , the statement trivially holds. ", + "bbox": [ + 174, + 256, + 553, + 271 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Suppose the lemma holds for any $| S ^ { \\prime } | = k$ . Now, we must show $L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\varnothing \\implies L ^ { ( \\mathrm { e r r } ) } ( S \\cup$ $S ^ { \\prime } \\dot { ) } = L ^ { ( \\mathrm { e r r } ) } ( S )$ for $| S ^ { \\prime } | = k + 1$ . ", + "bbox": [ + 173, + 276, + 823, + 306 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Choose $s$ and $S ^ { \\prime \\prime }$ with $\\left| S ^ { \\prime \\prime } \\right| = k$ such that $S ^ { \\prime } = S ^ { \\prime \\prime } \\cup \\{ s \\}$ . Then, $L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\emptyset$ implies $L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime \\prime } = \\emptyset$ and thus $L ^ { ( \\mathrm { e r r } ) } ( S \\cup S ^ { \\prime \\prime } ) = L ^ { ( \\mathrm { e r r } ) } ( S )$ . ", + "bbox": [ + 173, + 311, + 825, + 342 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Furthermore, $L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\emptyset$ implies $s \\not \\in L ^ { ( \\mathrm { e r r } ) } ( S ) = L ^ { ( \\mathrm { e r r } ) } ( S \\cup S ^ { \\prime \\prime } )$ . Therefore, ", + "bbox": [ + 173, + 347, + 718, + 364 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/27672ceef924333bed466598d5693f584831da55374d5c4c071d44367d850106.jpg", + "text": "$$\nL ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} ) ( x _ { s } ) = y _ { s }\n$$", + "text_format": "latex", + "bbox": [ + 375, + 390, + 622, + 407 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "since the learner is invariant to consistent additions, ", + "bbox": [ + 173, + 420, + 514, + 435 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/95785801098488cd5dbb9239937c18aea5e30107a20a772fc75ffa3aed5937a7.jpg", + "text": "$$\n\\begin{array} { r } { z ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} ) = L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} \\cup \\{ ( x _ { s } , y _ { s } ) \\} ) = L ( ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\cup \\{ s \\} ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 181, + 462, + 839, + 481 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/615efb456f7f654cb8db6eeaea72440e3945de72af879d5a6b9d67d611c1c726.jpg", + "text": "$$\nL ^ { ( \\operatorname { e r r } ) } ( S ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime \\prime } ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime \\prime } \\cup \\{ s \\} ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime } )\n$$", + "text_format": "latex", + "bbox": [ + 419, + 496, + 866, + 515 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Proposition 5. Suppose a learner $L$ is invariant to consistent additions. If a set $S$ is error inclusive, ", + "bbox": [ + 171, + 556, + 823, + 571 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/b68687f40f24b2772cc1c4d8aa4c664a858c518765d6fad4807433425847c17e.jpg", + "text": "$$\nL ^ { ( e r r ) } ( S ) = L ^ { ( e r r ) } ( [ m ] )\n$$", + "text_format": "latex", + "bbox": [ + 421, + 597, + 575, + 616 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Proof. Note that since $L ^ { \\mathrm { ( e r r ) } } ( S ) \\subset S , L ^ { \\mathrm { ( e r r ) } } ( S ) \\cap ( [ m ] \\setminus S ) = \\emptyset .$ ", + "bbox": [ + 173, + 631, + 596, + 648 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "By Lemma 10, this implies $L ( S ) = L ( S \\cup ( [ m ] \\setminus S ) ) = L ( [ m ] )$ . Then, $L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( [ m ] )$ . ", + "bbox": [ + 176, + 652, + 810, + 670 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Lemma 11. Suppose a learner $L$ is invariant to consistent additions. For any sets $S ^ { * } , S \\subset [ m ] , i f$ $S ^ { * }$ is error inclusive, then either ", + "bbox": [ + 173, + 676, + 826, + 705 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/36ae4b61024cf02132e202f47e27e35d468a6d41eb5dd2e3ec4e08cc5a3e69a1.jpg", + "text": "$$\n| ( L ^ { ( e r r ) } ( S ) \\setminus S ) \\cap S ^ { * } | \\geq 1\n$$", + "text_format": "latex", + "bbox": [ + 411, + 731, + 588, + 751 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "or ", + "bbox": [ + 173, + 765, + 192, + 776 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/87630ebccaaa65281b8d4a031c336115415491901715cf1cc54821d31b8fdb66.jpg", + "text": "$$\nL ^ { ( e r r ) } ( S ^ { * } ) = L ^ { ( e r r ) } ( S )\n$$", + "text_format": "latex", + "bbox": [ + 424, + 804, + 573, + 823 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Proof. By the assumption of error inclusivity, $L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\setminus S ^ { * } = \\emptyset$ . ", + "bbox": [ + 173, + 837, + 611, + 854 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Thus $L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\cap \\lnot S ^ { * } \\cap S = \\emptyset$ and $L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\cap ( S \\setminus S ^ { * } ) = \\emptyset$ . Since $L$ is invariant to consistent additions, $L ^ { \\mathrm { ( e r r ) } } ( S ^ { * } ) = L ^ { \\mathrm { ( e r r ) } } ( S ^ { * } \\cup ( S \\setminus S ^ { * } ) ) = L ^ { \\mathrm { ( e r r ) } } ( S \\cup S ^ { * } ) .$ . ", + "bbox": [ + 176, + 858, + 823, + 890 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Suppose the first conclusion is not satisfied: $( L ^ { ( \\mathrm { e r r } ) } ( S ) \\setminus S ) \\cap S ^ { * } = \\emptyset$ , then $L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap ( S ^ { * } \\setminus S ) = \\emptyset$ . \nSince the learner is invariant to consistent additions, $L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( S \\cup ( S ^ { * } \\setminus S ) ) ^ { * } = L ^ { \\mathrm { ( e r r ) } } ( S \\cup S ^ { * } )$ . ", + "bbox": [ + 174, + 893, + 823, + 925 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Thus, $L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( S \\cup S ^ { * } ) = L ^ { \\mathrm { ( e r r ) } } ( S ^ { * } ) .$ ", + "bbox": [ + 174, + 102, + 475, + 119 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Proposition 3. If a learner $L$ is invariant to consistent additions, then, ", + "bbox": [ + 174, + 156, + 635, + 172 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Proof. : Suppose $S$ fully intersects ${ \\mathcal { E } } ^ { + }$ . Then, for any set $S ^ { \\prime }$ , either $L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\ \\backslash \\ S ^ { \\prime } \\ = \\ \\varnothing$ or $| ( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } ) \\cap S | \\ge 1$ . ", + "bbox": [ + 174, + 224, + 825, + 256 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Set $S ^ { \\prime } = S$ . Then, because $( L ^ { ( \\mathrm { e r r } ) } ( S ) \\setminus S ) \\cap S = \\emptyset$ , it must be the case that $L ^ { ( \\mathrm { e r r } ) } ( S ) \\setminus S = \\emptyset$ and thus $S$ is error inclusive. ", + "bbox": [ + 173, + 260, + 825, + 290 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": ": Suppose a set $S$ is error inclusive. ", + "bbox": [ + 176, + 296, + 423, + 311 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Pick any set $S ^ { \\prime } \\subset [ m ]$ . It suffices to show that either $L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) / S ^ { \\prime } = \\emptyset$ or $| ( L ^ { \\mathrm { ( e r r ) } } ( S ^ { \\prime } ) / S ^ { \\prime } ) \\cap S | \\ge 1$ ", + "bbox": [ + 173, + 316, + 823, + 334 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "By Lemma 11, there are two cases: ", + "bbox": [ + 174, + 339, + 406, + 354 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Case 1: $| ( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } ) \\cap S | \\geq 1$ . ", + "bbox": [ + 173, + 359, + 408, + 377 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "We are done. ", + "bbox": [ + 174, + 382, + 261, + 396 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Case 2: $L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( S ^ { \\prime } )$ and $( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } ) \\cap S = \\emptyset$ . ", + "bbox": [ + 173, + 401, + 570, + 420 + ], + "page_idx": 32 + }, + { + "type": "equation", + "img_path": "images/1bd60c0290e60b4bd2c8b223353caafa5b98bea1939ff56ae6885418d9473926.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { ( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } ) \\cap S = \\emptyset } \\\\ & { } & { ( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\cap S ) \\cap \\neg S ^ { \\prime } = \\emptyset } \\\\ & { } & { ( L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ) \\cap \\neg S ^ { \\prime } = \\emptyset } \\\\ & { } & { L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap \\neg S ^ { \\prime } = \\emptyset } \\\\ & { } & { L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\cap \\neg S ^ { \\prime } = \\emptyset } \\\\ & { } & { L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } = \\emptyset } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 410, + 446, + 589, + 570 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "where the third to last line follows from the error inclusivity of $S$ . ", + "bbox": [ + 173, + 603, + 604, + 618 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "F.7 EXAMPLES ", + "text_level": 1, + "bbox": [ + 173, + 660, + 292, + 674 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "F.7.1 EXAMPLE OF LEARNER THAT IS NOT A MINIMAL ERROR LEARNER, BUT IS INVARIANT TO CONSISTENT ADDITIONS ", + "text_level": 1, + "bbox": [ + 176, + 688, + 820, + 715 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "We examine a situation with three datapoints and binary labels. The dataset is $\\begin{array} { r l } { D } & { { } = } \\end{array}$ $\\{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \\}$ and the learner $L$ has two hypotheses $h _ { 1 }$ and $h _ { 2 }$ where ", + "bbox": [ + 171, + 727, + 823, + 756 + ], + "page_idx": 32 + }, + { + "type": "equation", + "img_path": "images/1633feaf37b0062dfd30ed5f47fc5c7b5d13ffb2bfbe8afb0d54fc62b0711d80.jpg", + "text": "$$\n\\begin{array} { r l } & { h _ { 1 } ( x _ { 1 } ) = 1 } \\\\ & { h _ { 1 } ( x _ { 2 } ) = 0 } \\\\ & { h _ { 1 } ( x _ { 3 } ) = 0 } \\\\ & { h _ { 2 } ( x _ { 1 } ) = 0 } \\\\ & { h _ { 2 } ( x _ { 2 } ) = 1 } \\\\ & { h _ { 2 } ( x _ { 3 } ) = 1 } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 459, + 785, + 540, + 893 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "the learner has the following mapping: ", + "bbox": [ + 173, + 909, + 428, + 924 + ], + "page_idx": 32 + }, + { + "type": "equation", + "img_path": "images/1854677a91e03d048214e3fd3c5c9dfa491122e4ff26810b1b457d548df65428.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { L ( \\emptyset ) = h _ { 2 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) \\} ) = h _ { 2 } } \\\\ & { } & { L ( \\{ ( x _ { 2 } , 0 ) \\} ) = h _ { 1 } } \\\\ & { } & { L ( \\{ ( x _ { 3 } , 0 ) \\} ) = h _ { 1 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) \\} ) = h _ { 1 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) , ( x _ { 3 } , 0 ) \\} ) = h _ { 2 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) , ( x _ { 3 } , 0 ) \\} ) = h _ { 2 } } \\\\ & { } & { L ( \\{ ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \\} ) = h _ { 1 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \\} ) = h _ { 2 } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 385, + 135, + 616, + 279 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "Note that $h _ { 2 }$ has two errors on $D$ , while $h _ { 1 }$ only has one error. However, $L ( D ) = h _ { 2 }$ . Thus, the learner does not return the hypothesis with minimal error. ", + "bbox": [ + 174, + 301, + 823, + 329 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "However, a simple examination yields invariance to consistent additions. For example, $L ( \\{ ( x _ { 2 } , 0 ) \\} ) ( x _ { 3 } ) { \\bar { = } } y _ { 3 }$ and $L ( \\{ ( x _ { 2 } , 0 ) \\} ) = L ( \\{ ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \\} )$ . ", + "bbox": [ + 174, + 337, + 820, + 366 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "F.7.2 COMPARISON BETWEEN INDUCED HYPOTHESIS CLASS AND EXTENDED ERROR SETS ", + "text_level": 1, + "bbox": [ + 171, + 392, + 805, + 406 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "Here we show that ${ \\mathcal { E } } ^ { + }$ can be larger than $\\mathcal { E }$ . ", + "bbox": [ + 176, + 420, + 460, + 435 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "We examine a situation with three datapoints and binary labels. The dataset is $\\begin{array} { r l } { D } & { { } = } \\end{array}$ $\\{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \\}$ and the learner $L$ has two hypotheses $h _ { 1 }$ and $h _ { 2 }$ where ", + "bbox": [ + 173, + 443, + 825, + 470 + ], + "page_idx": 33 + }, + { + "type": "equation", + "img_path": "images/9153bd28d400b63675f5c87581d9bb10ebef79d485c4ca026aca0ce97656a3ac.jpg", + "text": "$$\n\\begin{array} { r l } & { h _ { 1 } ( x _ { 1 } ) = 1 } \\\\ & { h _ { 1 } ( x _ { 2 } ) = 0 } \\\\ & { h _ { 1 } ( x _ { 3 } ) = 0 } \\\\ & { h _ { 2 } ( x _ { 1 } ) = 0 } \\\\ & { h _ { 2 } ( x _ { 2 } ) = 1 } \\\\ & { h _ { 2 } ( x _ { 3 } ) = 1 } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 457, + 508, + 540, + 616 + ], + "page_idx": 33 + }, + { + "type": "equation", + "img_path": "images/c6cd0c8400fa9d0e3a9b0fbabdb222762be37308bdce17b9861f3811c4e5515f.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { L ( \\emptyset ) = h _ { 2 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) \\} ) = h _ { 2 } } \\\\ & { } & { L ( \\{ ( x _ { 2 } , 0 ) \\} ) = h _ { 1 } } \\\\ & { } & { L ( \\{ ( x _ { 3 } , 0 ) \\} ) = h _ { 1 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) \\} ) = h _ { 1 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) , ( x _ { 3 } , 0 ) \\} ) = h _ { 2 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) , ( x _ { 3 } , 0 ) \\} ) = h _ { 2 } } \\\\ & { } & { L ( \\{ ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \\} ) = h _ { 1 } } \\\\ & { } & { L ( \\{ ( x _ { 1 } , 0 ) , ( x _ { 2 } , 0 ) , ( x _ { 3 } , 0 ) \\} ) = h _ { 1 } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 382, + 671, + 616, + 814 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "Then, $\\mathcal { E } ^ { + } = \\{ \\{ 1 \\} , \\{ 2 , 3 \\} , \\{ 2 \\} , \\{ 3 \\} \\}$ while $\\mathcal { E } = \\{ \\{ 1 \\} , \\{ 2 , 3 \\} \\}$ . ", + "bbox": [ + 173, + 837, + 580, + 856 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "F.7.3 K-EXTENDED TEACHING SET SUPERIORITY ", + "text_level": 1, + "bbox": [ + 173, + 881, + 524, + 895 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "In the following example, $\\mathcal { H } = \\{ h _ { i } \\} _ { i }$ and $\\sigma ( h _ { i } ) = i$ . ", + "bbox": [ + 174, + 909, + 521, + 925 + ], + "page_idx": 33 + }, + { + "type": "equation", + "img_path": "images/2acea88d6c2f05dc63afcad5055eab5de5d06fbf96b7cabf33812e902a2f5f6a.jpg", + "text": "$$\n\\begin{array} { c } { y . = ( 0 , 0 , 0 , \\ldots , 0 , 0 ) } \\\\ { \\ } \\\\ { h _ { 1 } ( x . ) = ( 1 , 0 , 0 , 0 , \\ldots , 0 , 0 ) } \\\\ { \\ h _ { 2 } ( x . ) = ( 0 , 1 , 0 , 0 , 0 , \\ldots , 0 , 0 ) } \\\\ { h _ { 3 } ( x . ) = ( 0 , 0 , 1 , 0 , 0 , \\ldots , 0 , 0 ) } \\\\ { h _ { 4 } ( x . ) = ( 0 , 0 , 0 , 1 , 0 , \\ldots , 0 , 0 ) } \\\\ { \\ \\cdot \\cdot \\cdot } \\\\ { h _ { m } ( x . ) = ( 0 , 0 , 0 , 0 , 0 , \\ldots , 0 , 1 ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 390, + 125, + 607, + 251 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "In this case, the smallest 1-extended teaching set is $\\varnothing$ while the smallest error inclusive set is $\\{ 1 , 2 , \\ldots , m \\}$ . ", + "bbox": [ + 176, + 262, + 825, + 291 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "F.7.4 ERROR INCLUSIVITY SUPERIORITY ", + "text_level": 1, + "bbox": [ + 174, + 305, + 470, + 320 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "In the following example, $\\mathcal { H } = \\{ h _ { i } \\} _ { i }$ and $\\sigma ( h _ { i } ) = i$ . ", + "bbox": [ + 173, + 329, + 521, + 345 + ], + "page_idx": 34 + }, + { + "type": "equation", + "img_path": "images/3784bed7724423c52052fb65323336717913134b8a738e122cc2f8ee70e935cc.jpg", + "text": "$$\n\\begin{array} { r } { y . = ( 0 , 0 , 0 , 0 , 0 , \\ldots , 0 , 0 , 0 ) } \\\\ { h _ { 1 } ( x . ) = ( 1 , 0 , 0 , 0 , 0 , \\ldots , 0 , 0 , 0 ) } \\\\ { h _ { 2 } ( x . ) = ( 0 , 1 , 0 , 0 , 0 , \\ldots , 0 , 0 , 1 ) } \\\\ { h _ { 3 } ( x . ) = ( 0 , 0 , 1 , 0 , 0 , \\ldots , 0 , 0 , 1 ) } \\\\ { h _ { 4 } ( x . ) = ( 0 , 0 , 0 , 1 , 0 , \\ldots , 0 , 0 , 1 ) } \\\\ { \\ldots } \\\\ { h _ { m - 1 } ( x . ) = ( 0 , 0 , 0 , 0 , 0 , \\ldots , 0 , 1 , 1 ) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 377, + 372, + 622, + 500 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "In this case, the smallest 1-extended teaching set is $\\{ 2 , 3 , \\ldots , m \\}$ while the smallest error inclusive set is $\\{ 1 , m \\}$ . ", + "bbox": [ + 173, + 508, + 825, + 540 + ], + "page_idx": 34 + } +] \ No newline at end of file diff --git a/parse/dev/tGHi1HFNBx1/tGHi1HFNBx1_middle.json b/parse/dev/tGHi1HFNBx1/tGHi1HFNBx1_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..896335b89834a04654a8ef478d62e875d722c317 --- /dev/null +++ b/parse/dev/tGHi1HFNBx1/tGHi1HFNBx1_middle.json @@ -0,0 +1,94700 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 109, + 78, + 491, + 97 + ], + "lines": [ + { + "bbox": [ + 106, + 77, + 493, + 99 + ], + "spans": [ + { + "bbox": [ + 106, + 77, + 493, + 99 + ], + "score": 1.0, + "content": "DATA SUBSET SELECTION VIA MACHINE TEACHING", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 112, + 115, + 244, + 137 + ], + "lines": [ + { + "bbox": [ + 113, + 115, + 201, + 127 + ], + "spans": [ + { + "bbox": [ + 113, + 115, + 201, + 127 + ], + "score": 1.0, + "content": "Anonymous authors", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 111, + 126, + 245, + 138 + ], + "spans": [ + { + "bbox": [ + 111, + 126, + 245, + 138 + ], + "score": 1.0, + "content": "Paper under double-blind review", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5 + }, + { + "type": "title", + "bbox": [ + 278, + 167, + 333, + 179 + ], + "lines": [ + { + "bbox": [ + 277, + 166, + 335, + 180 + ], + "spans": [ + { + "bbox": [ + 277, + 166, + 335, + 180 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 143, + 191, + 468, + 344 + ], + "lines": [ + { + "bbox": [ + 142, + 191, + 470, + 203 + ], + "spans": [ + { + "bbox": [ + 142, + 191, + 470, + 203 + ], + "score": 1.0, + "content": "We study the problem of data subset selection: given a fully labeled dataset and a", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 141, + 202, + 469, + 215 + ], + "spans": [ + { + "bbox": [ + 141, + 202, + 469, + 215 + ], + "score": 1.0, + "content": "training procedure, select a subset such that training on that subset yields approx-", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 213, + 469, + 226 + ], + "spans": [ + { + "bbox": [ + 141, + 213, + 469, + 226 + ], + "score": 1.0, + "content": "imately the same test performance as training on the full dataset. 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Furthermore, we prove lower bounds that show that our algorithm achieves a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 268, + 470, + 280 + ], + "spans": [ + { + "bbox": [ + 141, + 268, + 470, + 280 + ], + "score": 1.0, + "content": "subset with near-optimal size (under computational hardness assumptions) while", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 279, + 470, + 291 + ], + "spans": [ + { + "bbox": [ + 141, + 279, + 470, + 291 + ], + "score": 1.0, + "content": "training on a number of subsets that is optimal up to extraneous log factors. 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A key ingredient in these milestones is", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "increasing the amount of training data to Internet scale. However, large datasets come with a cost,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "and not all – or maybe not even most – training data is useful. 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Applications", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "score": 1.0, + "content": "of data subset selection include continual learning (Aljundi et al., 2019; Borsos et al., 2020; Yoon", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 466, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 480 + ], + "score": 1.0, + "content": "et al., 2021), experience replay (Schaul et al., 2016; Hu et al., 2021), curriculum learning (Bengio", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 477, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 104, + 477, + 505, + 492 + ], + "score": 1.0, + "content": "et al., 2009; Wang et al., 2021), and data-efficient learning (Killamsetty et al., 2021a). Additionally,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 488, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 506, + 502 + ], + "score": 1.0, + "content": "data subset selection is closely related to active learning (Settles, 2009; Sener & Savarese, 2018) and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 501, + 429, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 501, + 429, + 513 + ], + "score": 1.0, + "content": "to fundamental questions about the role of data in learning (Toneva et al., 2018).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 518, + 505, + 681 + ], + "lines": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "Data subset selection has been studied in two quite different contexts. First, perhaps the more", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 104, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "popular approaches are found in the coreset literature (Sener & Savarese, 2018; Coleman et al.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 539, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 505, + 551 + ], + "score": 1.0, + "content": "2020; Mirzasoleiman et al., 2020; Paul et al., 2021), an empirically driven (Guo et al., 2022) research", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 549, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 564 + ], + "score": 1.0, + "content": "area that includes a variety of techniques to select important and diverse points, often with an eye", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "towards minimal computational cost of subset selection. Second, machine teaching (Goldman &", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "Kearns, 1995; Shinohara & Miyano, 1991) focuses on minimizing the number of examples a teacher", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "must present to a learner and can be reframed as data subset selection in some settings. As machine", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 595, + 504, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 504, + 606 + ], + "score": 1.0, + "content": "teaching has mostly been studied from a conceptual or theoretical viewpoint, black-box models such", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "as modern neural networks present a practical challenge for machine teaching. However, recently,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 616, + 504, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 504, + 628 + ], + "score": 1.0, + "content": "a theoretical breakthrough in the machine teaching literature (Dasgupta et al., 2019; Cicalese et al.,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "2020) formalizes and provides algorithms with analysis for teaching black-box learners. 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We propose an", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 141, + 224, + 470, + 238 + ], + "spans": [ + { + "bbox": [ + 141, + 224, + 470, + 238 + ], + "score": 1.0, + "content": "algorithm, inspired by recent work in machine teaching, that has theoretical guar-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 236, + 470, + 247 + ], + "spans": [ + { + "bbox": [ + 141, + 236, + 470, + 247 + ], + "score": 1.0, + "content": "antees, compelling empirical performance, and is model-agnostic meaning the al-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 246, + 470, + 258 + ], + "spans": [ + { + "bbox": [ + 141, + 246, + 470, + 258 + ], + "score": 1.0, + "content": "gorithm’s only information comes from the predictions of models trained on sub-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 258, + 470, + 269 + ], + "spans": [ + { + "bbox": [ + 141, + 258, + 470, + 269 + ], + "score": 1.0, + "content": "sets. Furthermore, we prove lower bounds that show that our algorithm achieves a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 141, + 268, + 470, + 280 + ], + "spans": [ + { + "bbox": [ + 141, + 268, + 470, + 280 + ], + "score": 1.0, + "content": "subset with near-optimal size (under computational hardness assumptions) while", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 279, + 470, + 291 + ], + "spans": [ + { + "bbox": [ + 141, + 279, + 470, + 291 + ], + "score": 1.0, + "content": "training on a number of subsets that is optimal up to extraneous log factors. We", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 290, + 469, + 302 + ], + "spans": [ + { + "bbox": [ + 141, + 290, + 469, + 302 + ], + "score": 1.0, + "content": "then empirically compare our algorithm, machine teaching algorithms, and core-", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 302, + 469, + 312 + ], + "spans": [ + { + "bbox": [ + 141, + 302, + 469, + 312 + ], + "score": 1.0, + "content": "set techniques on six common image datasets with convolutional neural networks.", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 142, + 312, + 469, + 324 + ], + "spans": [ + { + "bbox": [ + 142, + 312, + 469, + 324 + ], + "score": 1.0, + "content": "We find that our machine teaching algorithm can find a subset of CIFAR10 of size", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 323, + 469, + 335 + ], + "spans": [ + { + "bbox": [ + 141, + 323, + 333, + 335 + ], + "score": 1.0, + "content": "less than 16k that yields the same performance (", + "type": "text" + }, + { + "bbox": [ + 333, + 323, + 356, + 334 + ], + "score": 0.82, + "content": "5 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 323, + 469, + 335 + ], + "score": 1.0, + "content": "error) as training on the full", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 142, + 334, + 221, + 345 + ], + "spans": [ + { + "bbox": [ + 142, + 334, + 221, + 345 + ], + "score": 1.0, + "content": "dataset of size 50k.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 10.5, + "bbox_fs": [ + 141, + 191, + 470, + 345 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 366, + 206, + 378 + ], + "lines": [ + { + "bbox": [ + 105, + 365, + 208, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 208, + 381 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 390, + 505, + 512 + ], + "lines": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 390, + 505, + 403 + ], + "score": 1.0, + "content": "Machine learning has made tremendous progress in the past two years with large models such as", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 402, + 505, + 414 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 505, + 414 + ], + "score": 1.0, + "content": "GPT-3 and CLIP (Brown et al., 2020; Radford et al., 2021). A key ingredient in these milestones is", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 413, + 505, + 425 + ], + "spans": [ + { + "bbox": [ + 106, + 413, + 505, + 425 + ], + "score": 1.0, + "content": "increasing the amount of training data to Internet scale. However, large datasets come with a cost,", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "spans": [ + { + "bbox": [ + 106, + 424, + 505, + 437 + ], + "score": 1.0, + "content": "and not all – or maybe not even most – training data is useful. Data subset selection addresses this", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 505, + 448 + ], + "score": 1.0, + "content": "practical issue with the goal of finding a subset of a dataset so that training on the subset yields ap-", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 445, + 504, + 458 + ], + "spans": [ + { + "bbox": [ + 106, + 445, + 504, + 458 + ], + "score": 1.0, + "content": "proximately the same test performance as training on the full dataset (Wei et al., 2015). Applications", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 456, + 505, + 469 + ], + "score": 1.0, + "content": "of data subset selection include continual learning (Aljundi et al., 2019; Borsos et al., 2020; Yoon", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 466, + 505, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 505, + 480 + ], + "score": 1.0, + "content": "et al., 2021), experience replay (Schaul et al., 2016; Hu et al., 2021), curriculum learning (Bengio", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 477, + 505, + 492 + ], + "spans": [ + { + "bbox": [ + 104, + 477, + 505, + 492 + ], + "score": 1.0, + "content": "et al., 2009; Wang et al., 2021), and data-efficient learning (Killamsetty et al., 2021a). Additionally,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 488, + 506, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 506, + 502 + ], + "score": 1.0, + "content": "data subset selection is closely related to active learning (Settles, 2009; Sener & Savarese, 2018) and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 501, + 429, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 501, + 429, + 513 + ], + "score": 1.0, + "content": "to fundamental questions about the role of data in learning (Toneva et al., 2018).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 24, + "bbox_fs": [ + 104, + 390, + 506, + 513 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 518, + 505, + 681 + ], + "lines": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "spans": [ + { + "bbox": [ + 105, + 517, + 505, + 530 + ], + "score": 1.0, + "content": "Data subset selection has been studied in two quite different contexts. First, perhaps the more", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 528, + 505, + 541 + ], + "spans": [ + { + "bbox": [ + 104, + 528, + 505, + 541 + ], + "score": 1.0, + "content": "popular approaches are found in the coreset literature (Sener & Savarese, 2018; Coleman et al.,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 539, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 539, + 505, + 551 + ], + "score": 1.0, + "content": "2020; Mirzasoleiman et al., 2020; Paul et al., 2021), an empirically driven (Guo et al., 2022) research", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 549, + 505, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 505, + 564 + ], + "score": 1.0, + "content": "area that includes a variety of techniques to select important and diverse points, often with an eye", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 573 + ], + "score": 1.0, + "content": "towards minimal computational cost of subset selection. Second, machine teaching (Goldman &", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 572, + 505, + 585 + ], + "score": 1.0, + "content": "Kearns, 1995; Shinohara & Miyano, 1991) focuses on minimizing the number of examples a teacher", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 595 + ], + "score": 1.0, + "content": "must present to a learner and can be reframed as data subset selection in some settings. As machine", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 595, + 504, + 606 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 504, + 606 + ], + "score": 1.0, + "content": "teaching has mostly been studied from a conceptual or theoretical viewpoint, black-box models such", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 605, + 505, + 617 + ], + "score": 1.0, + "content": "as modern neural networks present a practical challenge for machine teaching. However, recently,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 616, + 504, + 628 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 504, + 628 + ], + "score": 1.0, + "content": "a theoretical breakthrough in the machine teaching literature (Dasgupta et al., 2019; Cicalese et al.,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 505, + 639 + ], + "score": 1.0, + "content": "2020) formalizes and provides algorithms with analysis for teaching black-box learners. Although", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 637, + 505, + 651 + ], + "score": 1.0, + "content": "these works are mainly theoretical, they also include some limited empirical evaluation, though with", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 649, + 505, + 662 + ], + "score": 1.0, + "content": "implementations that include unjustified heuristics. Furthermore, Dasgupta et al. (2019) includes no", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 506, + 672 + ], + "score": 1.0, + "content": "baselines and Cicalese et al. (2020) only includes random sampling as a baseline. 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Furthermore, through novel", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 116, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 505, + 127 + ], + "score": 1.0, + "content": "lower bounds, we show that the subset size of our algorithm is near-optimal (under computational", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 126, + 505, + 138 + ], + "score": 1.0, + "content": "hardness assumptions regarding the NP-complete class of problems) and that the expected number", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 137, + 474, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 137, + 474, + 150 + ], + "score": 1.0, + "content": "of times we must query the learner (train a network) is optimal up to extraneous log factors.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 107, + 154, + 505, + 220 + ], + "lines": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "Existing machine teaching algorithms from Dasgupta et al. (2019); Cicalese et al. (2020) perform", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "score": 1.0, + "content": "well when our learner fits labels perfectly (zero training error) but fail catastrophically if the learner", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "makes a few training errors. To address this issue, prior work (Cicalese et al., 2020) removes the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 188, + 504, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 504, + 199 + ], + "score": 1.0, + "content": "training errors from the predictions provided to the teacher, a technique we refer to as error squash-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "score": 1.0, + "content": "ing. We provide a rigorous theoretical framework that explains why this technique of squashing", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 210, + 394, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 394, + 221 + ], + "score": 1.0, + "content": "errors is justified and effective, and furthermore, use it in our algorithm.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 107, + 226, + 505, + 281 + ], + "lines": [ + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "score": 1.0, + "content": "Finally, and perhaps most importantly, we compare machine teaching algorithms, including ours,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "score": 1.0, + "content": "to state-of-the-art coreset selection techniques and random sampling. We perform experiments", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 247, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 505, + 260 + ], + "score": 1.0, + "content": "with three convolutional neural network architectures on six image datasets (CIFAR10, CIFAR100,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "score": 1.0, + "content": "CINIC10, MNIST, Fashion MNIST, SVHN). We find that the machine teaching algorithms all per-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 269, + 482, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 482, + 283 + ], + "score": 1.0, + "content": "form roughly the same and consistently match or outperform the coreset selection techniques.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 107, + 287, + 268, + 298 + ], + "lines": [ + { + "bbox": [ + 105, + 286, + 270, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 270, + 299 + ], + "score": 1.0, + "content": "In summary, our main contributions are:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 132, + 312, + 505, + 397 + ], + "lines": [ + { + "bbox": [ + 133, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 133, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "• Proposing a machine teaching subset selection algorithm with analysis and lower bounds,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 322, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 141, + 322, + 505, + 337 + ], + "score": 1.0, + "content": "showing that the algorithm achieves optimal asymptotic performance up to extraneous log", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 334, + 175, + 346 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 175, + 346 + ], + "score": 1.0, + "content": "factors.", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 132, + 352, + 407, + 368 + ], + "spans": [ + { + "bbox": [ + 132, + 352, + 407, + 368 + ], + "score": 1.0, + "content": "• Providing the first analysis for the justification of error squashing.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 132, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 132, + 374, + 505, + 387 + ], + "score": 1.0, + "content": "• Experimentally comparing machine teaching algorithms and coreset techniques using three", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 142, + 386, + 405, + 397 + ], + "spans": [ + { + "bbox": [ + 142, + 386, + 405, + 397 + ], + "score": 1.0, + "content": "convolutional neural network architectures on six image datasets.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 108, + 410, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "score": 1.0, + "content": "In Sections 2 and 3, we introduce the classification setting and present our algorithm with its guar-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 422, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 505, + 433 + ], + "score": 1.0, + "content": "antee. Next, we show our main theoretical results in Section 4 and experimental results in Section 5.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 432, + 442, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 442, + 444 + ], + "score": 1.0, + "content": "Finally, we discuss our work within the context of related work in Sections 6 and 7.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25 + }, + { + "type": "title", + "bbox": [ + 107, + 465, + 172, + 478 + ], + "lines": [ + { + "bbox": [ + 104, + 463, + 174, + 482 + ], + "spans": [ + { + "bbox": [ + 104, + 463, + 174, + 482 + ], + "score": 1.0, + "content": "2 SETTING", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 493, + 505, + 528 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 336, + 507 + ], + "score": 1.0, + "content": "We work in a classification setting with an input space", + "type": "text" + }, + { + "bbox": [ + 337, + 495, + 347, + 504 + ], + "score": 0.84, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 492, + 453, + 507 + ], + "score": 1.0, + "content": "and a finite output space", + "type": "text" + }, + { + "bbox": [ + 454, + 495, + 463, + 505 + ], + "score": 0.82, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 492, + 505, + 507 + ], + "score": 1.0, + "content": ". Given a", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 504, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 155, + 517 + ], + "score": 1.0, + "content": "distribution", + "type": "text" + }, + { + "bbox": [ + 155, + 505, + 164, + 515 + ], + "score": 0.82, + "content": "\\mathcal { D }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 504, + 186, + 517 + ], + "score": 1.0, + "content": "over", + "type": "text" + }, + { + "bbox": [ + 186, + 505, + 216, + 515 + ], + "score": 0.91, + "content": "\\mathcal { X } \\times \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 504, + 329, + 517 + ], + "score": 1.0, + "content": ", we wish to find a classifier", + "type": "text" + }, + { + "bbox": [ + 330, + 505, + 379, + 515 + ], + "score": 0.92, + "content": "h : \\mathcal { X } \\mathcal { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 504, + 466, + 517 + ], + "score": 1.0, + "content": "with low (test) error:", + "type": "text" + }, + { + "bbox": [ + 467, + 505, + 505, + 517 + ], + "score": 0.91, + "content": "\\operatorname { e r r } ( h ) =", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 107, + 515, + 198, + 529 + ], + "spans": [ + { + "bbox": [ + 107, + 515, + 192, + 529 + ], + "score": 0.92, + "content": "\\operatorname* { P r } _ { ( x , y ) \\sim \\mathcal { D } } [ h ( x ) \\neq y ]", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 515, + 198, + 529 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 107, + 532, + 504, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 532, + 506, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 324, + 545 + ], + "score": 1.0, + "content": "In this work, we assume we have a hypothesis class", + "type": "text" + }, + { + "bbox": [ + 324, + 533, + 334, + 543 + ], + "score": 0.82, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 532, + 392, + 545 + ], + "score": 1.0, + "content": "and a learner", + "type": "text" + }, + { + "bbox": [ + 392, + 533, + 400, + 542 + ], + "score": 0.8, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 532, + 455, + 545 + ], + "score": 1.0, + "content": ", where each", + "type": "text" + }, + { + "bbox": [ + 455, + 533, + 486, + 543 + ], + "score": 0.91, + "content": "h \\in \\mathcal H", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 532, + 506, + 545 + ], + "score": 1.0, + "content": "is a", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 543, + 392, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 142, + 556 + ], + "score": 1.0, + "content": "function", + "type": "text" + }, + { + "bbox": [ + 142, + 544, + 189, + 555 + ], + "score": 0.91, + "content": "h : \\mathcal { X } \\to \\mathcal { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 543, + 307, + 556 + ], + "score": 1.0, + "content": "and the learner is a function:", + "type": "text" + }, + { + "bbox": [ + 307, + 543, + 388, + 556 + ], + "score": 0.91, + "content": "L : ( \\mathcal { X } \\times \\mathcal { Y } ) ^ { * } \\to \\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 543, + 392, + 556 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 107, + 560, + 505, + 594 + ], + "lines": [ + { + "bbox": [ + 105, + 558, + 507, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 228, + 574 + ], + "score": 1.0, + "content": "We assume we have a pool of", + "type": "text" + }, + { + "bbox": [ + 228, + 562, + 239, + 571 + ], + "score": 0.75, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 558, + 320, + 574 + ], + "score": 1.0, + "content": "labeled data points,", + "type": "text" + }, + { + "bbox": [ + 321, + 560, + 432, + 572 + ], + "score": 0.92, + "content": "\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m } \\subset ( \\mathcal { X } \\times \\mathcal { Y } ) ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 558, + 507, + 574 + ], + "score": 1.0, + "content": ". The objective of", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 570, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 273, + 585 + ], + "score": 1.0, + "content": "data subset selection is to select a subset", + "type": "text" + }, + { + "bbox": [ + 273, + 572, + 309, + 583 + ], + "score": 0.92, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 570, + 365, + 585 + ], + "score": 1.0, + "content": "of small size", + "type": "text" + }, + { + "bbox": [ + 366, + 572, + 379, + 583 + ], + "score": 0.87, + "content": "| S |", + "type": "inline_equation" + }, + { + "bbox": [ + 379, + 570, + 419, + 585 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 420, + 571, + 505, + 583 + ], + "score": 0.9, + "content": "\\operatorname { e r r } ( L ( \\{ ( x _ { i } , \\overbar y _ { i } ) : i \\in", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 582, + 474, + 596 + ], + "spans": [ + { + "bbox": [ + 106, + 582, + 123, + 595 + ], + "score": 0.76, + "content": "S \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 123, + 582, + 358, + 596 + ], + "score": 1.0, + "content": ") is low; perhaps as low as the error of training on all data:", + "type": "text" + }, + { + "bbox": [ + 359, + 583, + 466, + 595 + ], + "score": 0.88, + "content": "\\operatorname { e r r } ( L ( \\{ ( x _ { i } , y _ { i } ) : i \\in [ m ] \\} )", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 582, + 474, + 596 + ], + "score": 1.0, + "content": ").", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 34 + }, + { + "type": "title", + "bbox": [ + 107, + 615, + 173, + 628 + ], + "lines": [ + { + "bbox": [ + 104, + 613, + 175, + 631 + ], + "spans": [ + { + "bbox": [ + 104, + 613, + 175, + 631 + ], + "score": 1.0, + "content": "3 METHOD", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 643, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 656 + ], + "score": 1.0, + "content": "Although our ultimate objective is low test error, without a comprehensive understanding of gener-", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 655, + 505, + 666 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 505, + 666 + ], + "score": 1.0, + "content": "alization for models such as neural networks, we instrumentally focus on achieving low error on the", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 666, + 505, + 679 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 137, + 679 + ], + "score": 1.0, + "content": "pool of", + "type": "text" + }, + { + "bbox": [ + 137, + 667, + 147, + 676 + ], + "score": 0.73, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 666, + 505, + 679 + ], + "score": 1.0, + "content": "datapoints. Zhang et al. (2021) show that modern neural networks can exactly fit arbitrary", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "(even random) ground truth labels. Following previous machine teaching work, we initially assume", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 505, + 700 + ], + "score": 1.0, + "content": "that the learner makes no errors on the training subset, and refer to these learners as interpolating", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 712 + ], + "score": 1.0, + "content": "learners. Note that for interpolating learners, we can always achieve zero pool error if we train with", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 722 + ], + "score": 1.0, + "content": "the entire pool. However, it may be possible to select a smaller subset that yields zero pool error.", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 720, + 406, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 406, + 733 + ], + "score": 1.0, + "content": "Later, we relax this assumption as it is only approximately true in practice.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 40.5 + } + ], + "page_idx": 1, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 27, + 308, + 37 + ], + "lines": [ + { + "bbox": [ + 107, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 107, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2023", + "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": [ + 107, + 82, + 504, + 149 + ], + "lines": [], + "index": 2.5, + "bbox_fs": [ + 105, + 83, + 505, + 150 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 154, + 505, + 220 + ], + "lines": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "spans": [ + { + "bbox": [ + 106, + 154, + 505, + 167 + ], + "score": 1.0, + "content": "Existing machine teaching algorithms from Dasgupta et al. (2019); Cicalese et al. (2020) perform", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "spans": [ + { + "bbox": [ + 106, + 166, + 505, + 177 + ], + "score": 1.0, + "content": "well when our learner fits labels perfectly (zero training error) but fail catastrophically if the learner", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 505, + 189 + ], + "score": 1.0, + "content": "makes a few training errors. To address this issue, prior work (Cicalese et al., 2020) removes the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 188, + 504, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 188, + 504, + 199 + ], + "score": 1.0, + "content": "training errors from the predictions provided to the teacher, a technique we refer to as error squash-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 212 + ], + "score": 1.0, + "content": "ing. We provide a rigorous theoretical framework that explains why this technique of squashing", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 210, + 394, + 221 + ], + "spans": [ + { + "bbox": [ + 106, + 210, + 394, + 221 + ], + "score": 1.0, + "content": "errors is justified and effective, and furthermore, use it in our algorithm.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 154, + 506, + 221 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 226, + 505, + 281 + ], + "lines": [ + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 225, + 505, + 239 + ], + "score": 1.0, + "content": "Finally, and perhaps most importantly, we compare machine teaching algorithms, including ours,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 250 + ], + "score": 1.0, + "content": "to state-of-the-art coreset selection techniques and random sampling. We perform experiments", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 247, + 505, + 260 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 505, + 260 + ], + "score": 1.0, + "content": "with three convolutional neural network architectures on six image datasets (CIFAR10, CIFAR100,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 505, + 272 + ], + "score": 1.0, + "content": "CINIC10, MNIST, Fashion MNIST, SVHN). We find that the machine teaching algorithms all per-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 269, + 482, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 269, + 482, + 283 + ], + "score": 1.0, + "content": "form roughly the same and consistently match or outperform the coreset selection techniques.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 225, + 505, + 283 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 287, + 268, + 298 + ], + "lines": [ + { + "bbox": [ + 105, + 286, + 270, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 286, + 270, + 299 + ], + "score": 1.0, + "content": "In summary, our main contributions are:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17, + "bbox_fs": [ + 105, + 286, + 270, + 299 + ] + }, + { + "type": "list", + "bbox": [ + 132, + 312, + 505, + 397 + ], + "lines": [ + { + "bbox": [ + 133, + 311, + 505, + 325 + ], + "spans": [ + { + "bbox": [ + 133, + 311, + 505, + 325 + ], + "score": 1.0, + "content": "• Proposing a machine teaching subset selection algorithm with analysis and lower bounds,", + "type": "text" + } + ], + "index": 18, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 322, + 505, + 337 + ], + "spans": [ + { + "bbox": [ + 141, + 322, + 505, + 337 + ], + "score": 1.0, + "content": "showing that the algorithm achieves optimal asymptotic performance up to extraneous log", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 334, + 175, + 346 + ], + "spans": [ + { + "bbox": [ + 141, + 334, + 175, + 346 + ], + "score": 1.0, + "content": "factors.", + "type": "text" + } + ], + "index": 20, + "is_list_end_line": true + }, + { + "bbox": [ + 132, + 352, + 407, + 368 + ], + "spans": [ + { + "bbox": [ + 132, + 352, + 407, + 368 + ], + "score": 1.0, + "content": "• Providing the first analysis for the justification of error squashing.", + "type": "text" + } + ], + "index": 21, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 132, + 374, + 505, + 387 + ], + "spans": [ + { + "bbox": [ + 132, + 374, + 505, + 387 + ], + "score": 1.0, + "content": "• Experimentally comparing machine teaching algorithms and coreset techniques using three", + "type": "text" + } + ], + "index": 22, + "is_list_start_line": true + }, + { + "bbox": [ + 142, + 386, + 405, + 397 + ], + "spans": [ + { + "bbox": [ + 142, + 386, + 405, + 397 + ], + "score": 1.0, + "content": "convolutional neural network architectures on six image datasets.", + "type": "text" + } + ], + "index": 23, + "is_list_end_line": true + } + ], + "index": 20.5, + "bbox_fs": [ + 132, + 311, + 505, + 397 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 410, + 505, + 444 + ], + "lines": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 423 + ], + "score": 1.0, + "content": "In Sections 2 and 3, we introduce the classification setting and present our algorithm with its guar-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 422, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 106, + 422, + 505, + 433 + ], + "score": 1.0, + "content": "antee. Next, we show our main theoretical results in Section 4 and experimental results in Section 5.", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 432, + 442, + 444 + ], + "spans": [ + { + "bbox": [ + 106, + 432, + 442, + 444 + ], + "score": 1.0, + "content": "Finally, we discuss our work within the context of related work in Sections 6 and 7.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 409, + 505, + 444 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 465, + 172, + 478 + ], + "lines": [ + { + "bbox": [ + 104, + 463, + 174, + 482 + ], + "spans": [ + { + "bbox": [ + 104, + 463, + 174, + 482 + ], + "score": 1.0, + "content": "2 SETTING", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 493, + 505, + 528 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 505, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 336, + 507 + ], + "score": 1.0, + "content": "We work in a classification setting with an input space", + "type": "text" + }, + { + "bbox": [ + 337, + 495, + 347, + 504 + ], + "score": 0.84, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 492, + 453, + 507 + ], + "score": 1.0, + "content": "and a finite output space", + "type": "text" + }, + { + "bbox": [ + 454, + 495, + 463, + 505 + ], + "score": 0.82, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 492, + 505, + 507 + ], + "score": 1.0, + "content": ". 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Thus, in order to emphasize errors, the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 483, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 420, + 277 + ], + "score": 1.0, + "content": "algorithm sets the next iteration’s Bernoulli to have higher success probability", + "type": "text" + }, + { + "bbox": [ + 420, + 263, + 477, + 275 + ], + "score": 0.88, + "content": "( p _ { t + 1 , i } > p _ { t , i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 261, + 483, + 277 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 107, + 279, + 505, + 335 + ], + "lines": [ + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "score": 1.0, + "content": "While there are a variety of ways to increase the probabilities, our algorithm calculates the errors", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 290, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 154, + 303 + ], + "score": 0.91, + "content": "E _ { t } : = E _ { h _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 290, + 187, + 303 + ], + "score": 1.0, + "content": "(where", + "type": "text" + }, + { + "bbox": [ + 188, + 291, + 324, + 303 + ], + "score": 0.91, + "content": "E _ { h } = \\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\} \\quad", + "type": "inline_equation" + }, + { + "bbox": [ + 325, + 290, + 505, + 303 + ], + "score": 1.0, + "content": ") on the entire pool made by the hypothesis", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 300, + 506, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 117, + 313 + ], + "score": 0.86, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 300, + 425, + 318 + ], + "score": 1.0, + "content": "and sequentially doubles the probabilities corresponding to the errors until", + "type": "text" + }, + { + "bbox": [ + 425, + 302, + 470, + 315 + ], + "score": 0.92, + "content": "\\textstyle \\sum _ { i \\in E _ { t } } p _ { t , i }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 300, + 506, + 318 + ], + "score": 1.0, + "content": "is suffi-", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 312, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 279, + 326 + ], + "score": 1.0, + "content": "ciently large (larger than a hyperparameter,", + "type": "text" + }, + { + "bbox": [ + 280, + 313, + 286, + 324 + ], + "score": 0.77, + "content": "\\xi", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 312, + 506, + 326 + ], + "score": 1.0, + "content": "). Since a probability might exceed 1 after this step, we", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 324, + 266, + 337 + ], + "spans": [ + { + "bbox": [ + 105, + 324, + 266, + 337 + ], + "score": 1.0, + "content": "subsequently clip the probabilities to 1.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 340, + 504, + 375 + ], + "lines": [ + { + "bbox": [ + 104, + 337, + 504, + 356 + ], + "spans": [ + { + "bbox": [ + 104, + 337, + 487, + 356 + ], + "score": 1.0, + "content": "Because the algorithm only updates probabilities via doubling, a natural choice is to initialize", + "type": "text" + }, + { + "bbox": [ + 488, + 343, + 504, + 353 + ], + "score": 0.86, + "content": "p _ { 1 , i }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 351, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 219, + 367 + ], + "score": 1.0, + "content": "as a (negative) power of 2:", + "type": "text" + }, + { + "bbox": [ + 220, + 352, + 241, + 363 + ], + "score": 0.84, + "content": "2 ^ { - k _ { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 351, + 313, + 367 + ], + "score": 1.0, + "content": "for some integer", + "type": "text" + }, + { + "bbox": [ + 313, + 353, + 324, + 364 + ], + "score": 0.87, + "content": "k _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 351, + 356, + 367 + ], + "score": 1.0, + "content": ". Then,", + "type": "text" + }, + { + "bbox": [ + 357, + 354, + 372, + 365 + ], + "score": 0.88, + "content": "p _ { t , i }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 351, + 506, + 367 + ], + "score": 1.0, + "content": "is always a power of two, since", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 364, + 257, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 364, + 257, + 376 + ], + "score": 1.0, + "content": "doubled powers of 2 are powers of 2.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 107, + 380, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "score": 1.0, + "content": "The final aspect of the algorithm is that we periodically halve all probabilities. This step is key", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 392, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 505, + 403 + ], + "score": 1.0, + "content": "to improving the guarantee on the size of the subset from previous work (Dasgupta et al., 2019;", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 403, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 415 + ], + "score": 1.0, + "content": "Cicalese et al., 2020) to the asymptotically near-optimal subset size in this work. Note that without", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 414, + 419, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 419, + 426 + ], + "score": 1.0, + "content": "this halving step, the probabilities only increase with the number of iterations.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24.5 + }, + { + "type": "text", + "bbox": [ + 107, + 431, + 505, + 511 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 273, + 445 + ], + "score": 1.0, + "content": "Our algorithm has two hyperparameters,", + "type": "text" + }, + { + "bbox": [ + 273, + 430, + 281, + 443 + ], + "score": 0.81, + "content": "\\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 431, + 299, + 445 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 300, + 430, + 310, + 442 + ], + "score": 0.86, + "content": "\\hat { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 431, + 479, + 445 + ], + "score": 1.0, + "content": ", which are used to set the doubling limit", + "type": "text" + }, + { + "bbox": [ + 479, + 433, + 486, + 444 + ], + "score": 0.83, + "content": "\\xi", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 431, + 505, + 445 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 159, + 456 + ], + "score": 1.0, + "content": "initial power", + "type": "text" + }, + { + "bbox": [ + 159, + 444, + 170, + 454 + ], + "score": 0.88, + "content": "k _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 443, + 505, + 456 + ], + "score": 1.0, + "content": ", and the number of iterations between halving the probabilities. The algorithm will", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 454, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 429, + 467 + ], + "score": 1.0, + "content": "succeed with high probability if the two hyperparameters are upper bounds on", + "type": "text" + }, + { + "bbox": [ + 429, + 455, + 439, + 465 + ], + "score": 0.85, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 454, + 505, + 467 + ], + "score": 1.0, + "content": ", the size of the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 307, + 478 + ], + "score": 1.0, + "content": "smallest subset that yields zero pool errors, and", + "type": "text" + }, + { + "bbox": [ + 307, + 466, + 317, + 475 + ], + "score": 0.79, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 465, + 506, + 478 + ], + "score": 1.0, + "content": ", the size of the induced hypothesis set, a set", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "score": 1.0, + "content": "we will define in the next section. Conveniently, in the cases where the algorithm fails, it returns", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 140, + 501 + ], + "score": 1.0, + "content": "whether", + "type": "text" + }, + { + "bbox": [ + 141, + 487, + 148, + 499 + ], + "score": 0.83, + "content": "\\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 488, + 215, + 501 + ], + "score": 1.0, + "content": "was too small or", + "type": "text" + }, + { + "bbox": [ + 215, + 487, + 225, + 499 + ], + "score": 0.86, + "content": "\\hat { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 488, + 330, + 501 + ], + "score": 1.0, + "content": "was too small. We can set", + "type": "text" + }, + { + "bbox": [ + 330, + 487, + 337, + 499 + ], + "score": 0.83, + "content": "\\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 488, + 354, + 501 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 354, + 487, + 365, + 499 + ], + "score": 0.87, + "content": "\\hat { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 488, + 506, + 501 + ], + "score": 1.0, + "content": "to be arbitrarily large to yield valid", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 499, + 495, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 495, + 513 + ], + "score": 1.0, + "content": "subsets, but the size of the resulting subsets will be very large. See Algorithm 1 for pseudo-code.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30 + }, + { + "type": "title", + "bbox": [ + 108, + 531, + 239, + 542 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 240, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 240, + 543 + ], + "score": 1.0, + "content": "3.2 ALGORITHMIC ANALYSIS", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 553, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "score": 1.0, + "content": "For the analysis, we begin by assuming that our learner is interpolating, meaning that it makes no", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 564, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 325, + 578 + ], + "score": 1.0, + "content": "errors on the subset it is trained on. 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Then,", + "type": "text" + }, + { + "bbox": [ + 357, + 354, + 372, + 365 + ], + "score": 0.88, + "content": "p _ { t , i }", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 351, + 506, + 367 + ], + "score": 1.0, + "content": "is always a power of two, since", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 364, + 257, + 376 + ], + "spans": [ + { + "bbox": [ + 106, + 364, + 257, + 376 + ], + "score": 1.0, + "content": "doubled powers of 2 are powers of 2.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21, + "bbox_fs": [ + 104, + 337, + 506, + 376 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 380, + 505, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 380, + 505, + 393 + ], + "score": 1.0, + "content": "The final aspect of the algorithm is that we periodically halve all probabilities. This step is key", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 392, + 505, + 403 + ], + "spans": [ + { + "bbox": [ + 105, + 392, + 505, + 403 + ], + "score": 1.0, + "content": "to improving the guarantee on the size of the subset from previous work (Dasgupta et al., 2019;", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 403, + 505, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 505, + 415 + ], + "score": 1.0, + "content": "Cicalese et al., 2020) to the asymptotically near-optimal subset size in this work. Note that without", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 414, + 419, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 414, + 419, + 426 + ], + "score": 1.0, + "content": "this halving step, the probabilities only increase with the number of iterations.", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24.5, + "bbox_fs": [ + 105, + 380, + 505, + 426 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 431, + 505, + 511 + ], + "lines": [ + { + "bbox": [ + 105, + 430, + 505, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 273, + 445 + ], + "score": 1.0, + "content": "Our algorithm has two hyperparameters,", + "type": "text" + }, + { + "bbox": [ + 273, + 430, + 281, + 443 + ], + "score": 0.81, + "content": "\\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 431, + 299, + 445 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 300, + 430, + 310, + 442 + ], + "score": 0.86, + "content": "\\hat { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 310, + 431, + 479, + 445 + ], + "score": 1.0, + "content": ", which are used to set the doubling limit", + "type": "text" + }, + { + "bbox": [ + 479, + 433, + 486, + 444 + ], + "score": 0.83, + "content": "\\xi", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 431, + 505, + 445 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 443, + 505, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 159, + 456 + ], + "score": 1.0, + "content": "initial power", + "type": "text" + }, + { + "bbox": [ + 159, + 444, + 170, + 454 + ], + "score": 0.88, + "content": "k _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 171, + 443, + 505, + 456 + ], + "score": 1.0, + "content": ", and the number of iterations between halving the probabilities. The algorithm will", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 454, + 505, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 429, + 467 + ], + "score": 1.0, + "content": "succeed with high probability if the two hyperparameters are upper bounds on", + "type": "text" + }, + { + "bbox": [ + 429, + 455, + 439, + 465 + ], + "score": 0.85, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 454, + 505, + 467 + ], + "score": 1.0, + "content": ", the size of the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 465, + 506, + 478 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 307, + 478 + ], + "score": 1.0, + "content": "smallest subset that yields zero pool errors, and", + "type": "text" + }, + { + "bbox": [ + 307, + 466, + 317, + 475 + ], + "score": 0.79, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 465, + 506, + 478 + ], + "score": 1.0, + "content": ", the size of the induced hypothesis set, a set", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 476, + 505, + 489 + ], + "score": 1.0, + "content": "we will define in the next section. Conveniently, in the cases where the algorithm fails, it returns", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 140, + 501 + ], + "score": 1.0, + "content": "whether", + "type": "text" + }, + { + "bbox": [ + 141, + 487, + 148, + 499 + ], + "score": 0.83, + "content": "\\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 488, + 215, + 501 + ], + "score": 1.0, + "content": "was too small or", + "type": "text" + }, + { + "bbox": [ + 215, + 487, + 225, + 499 + ], + "score": 0.86, + "content": "\\hat { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 488, + 330, + 501 + ], + "score": 1.0, + "content": "was too small. We can set", + "type": "text" + }, + { + "bbox": [ + 330, + 487, + 337, + 499 + ], + "score": 0.83, + "content": "\\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 488, + 354, + 501 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 354, + 487, + 365, + 499 + ], + "score": 0.87, + "content": "\\hat { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 365, + 488, + 506, + 501 + ], + "score": 1.0, + "content": "to be arbitrarily large to yield valid", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 499, + 495, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 495, + 513 + ], + "score": 1.0, + "content": "subsets, but the size of the resulting subsets will be very large. See Algorithm 1 for pseudo-code.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 430, + 506, + 513 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 531, + 239, + 542 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 240, + 543 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 240, + 543 + ], + "score": 1.0, + "content": "3.2 ALGORITHMIC ANALYSIS", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34 + }, + { + "type": "text", + "bbox": [ + 106, + 553, + 505, + 598 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "score": 1.0, + "content": "For the analysis, we begin by assuming that our learner is interpolating, meaning that it makes no", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 564, + 505, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 325, + 578 + ], + "score": 1.0, + "content": "errors on the subset it is trained on. More precisely, if", + "type": "text" + }, + { + "bbox": [ + 325, + 565, + 435, + 577 + ], + "score": 0.9, + "content": "h _ { S } = L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\} )", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 564, + 465, + 578 + ], + "score": 1.0, + "content": ") where", + "type": "text" + }, + { + "bbox": [ + 465, + 565, + 501, + 577 + ], + "score": 0.91, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 564, + 505, + 578 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 126, + 588 + ], + "score": 1.0, + "content": "then", + "type": "text" + }, + { + "bbox": [ + 126, + 576, + 214, + 588 + ], + "score": 0.92, + "content": "\\forall i \\in S : h _ { S } ( x _ { i } ) = y _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 214, + 576, + 505, + 588 + ], + "score": 1.0, + "content": ". Note that this implies that if we train on the entire dataset, a hypothesis", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 587, + 263, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 587, + 263, + 598 + ], + "score": 1.0, + "content": "that makes zero pool errors is returned.", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 553, + 506, + 598 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 105, + 602, + 505, + 616 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 135, + 616 + ], + "score": 1.0, + "content": "Define", + "type": "text" + }, + { + "bbox": [ + 136, + 603, + 145, + 614 + ], + "score": 0.84, + "content": "\\overline { { \\mathcal { H } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 146, + 602, + 505, + 616 + ], + "score": 1.0, + "content": "as the induced hypothesis class, that is, all hypotheses that can be returned by training on", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 104, + 613, + 504, + 627 + ], + "spans": [ + { + "bbox": [ + 104, + 613, + 145, + 627 + ], + "score": 1.0, + "content": "a subset:", + "type": "text" + }, + { + "bbox": [ + 145, + 614, + 309, + 627 + ], + "score": 0.92, + "content": "\\overline { { \\mathscr { H } } } = \\{ L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\} ) : S \\subset [ m ] \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 613, + 397, + 627 + ], + "score": 1.0, + "content": ". 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Let", + "type": "text" + }, + { + "bbox": [ + 231, + 676, + 245, + 686 + ], + "score": 0.89, + "content": "E _ { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 674, + 364, + 689 + ], + "score": 1.0, + "content": "be the errors of a hypothesis", + "type": "text" + }, + { + "bbox": [ + 364, + 676, + 371, + 685 + ], + "score": 0.67, + "content": "h", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 674, + 376, + 689 + ], + "score": 1.0, + "content": ":", + "type": "text" + }, + { + "bbox": [ + 377, + 675, + 501, + 687 + ], + "score": 0.92, + "content": "E _ { h } = \\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 674, + 505, + 689 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 686, + 504, + 700 + ], + "spans": [ + { + "bbox": [ + 105, + 686, + 122, + 700 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 688, + 130, + 698 + ], + "score": 0.78, + "content": "\\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 686, + 249, + 700 + ], + "score": 1.0, + "content": "be the set of possible errors:", + "type": "text" + }, + { + "bbox": [ + 249, + 687, + 358, + 700 + ], + "score": 0.93, + "content": "\\mathcal { E } = \\{ E _ { h } : h \\in \\overline { { \\mathcal { H } } } \\} - \\{ \\emptyset \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 686, + 416, + 700 + ], + "score": 1.0, + "content": ". 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\\Delta _ { t } \\mathbf { 1 } [ i \\in E _ { t } ] + \\mathbf { 1 } [ t ( \\operatorname { m o d } ) 2 \\hat { d } = 0 ] ) } \\end{array}", + "type": "inline_equation", + "image_path": "053dba6674c1e67a90a5874651063e1765631420336ed1059114a2f57e77c5cd.jpg" + } + ], + "index": 15 + }, + { + "bbox": [ + 135, + 294, + 165, + 308 + ], + "spans": [ + { + "bbox": [ + 135, + 294, + 165, + 308 + ], + "score": 1.0, + "content": "end if", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 125, + 306, + 154, + 317 + ], + "spans": [ + { + "bbox": [ + 125, + 306, + 154, + 317 + ], + "score": 1.0, + "content": "end if", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 116, + 317, + 151, + 329 + ], + "spans": [ + { + "bbox": [ + 116, + 317, + 151, + 329 + ], + "score": 1.0, + "content": "end for", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 115, + 326, + 292, + 340 + ], + "spans": [ + { + "bbox": [ + 115, + 327, + 235, + 340 + ], + "score": 1.0, + "content": "return FAILURE TYPE 2:", + "type": "text" + }, + { + "bbox": [ + 235, + 326, + 243, + 339 + ], + "score": 0.81, + "content": "\\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 327, + 292, + 340 + ], + "score": 1.0, + "content": "is too small", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 364, + 503, + 387 + ], + "lines": [ + { + "bbox": [ + 105, + 363, + 506, + 378 + ], + "spans": [ + { + "bbox": [ + 105, + 363, + 220, + 378 + ], + "score": 1.0, + "content": "fully intersecting set, that is,", + "type": "text" + }, + { + "bbox": [ + 221, + 365, + 318, + 378 + ], + "score": 0.9, + "content": "d ^ { * } : = \\arg \\operatorname* { m i n } _ { S \\subset [ m ] } | S |", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 363, + 379, + 378 + ], + "score": 1.0, + "content": "subject to", + "type": "text" + }, + { + "bbox": [ + 380, + 364, + 433, + 377 + ], + "score": 0.73, + "content": "| S \\cap E _ { h } | \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 365, + 479, + 376 + ], + "score": 0.74, + "content": "\\forall E _ { h } \\in \\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 363, + 506, + 378 + ], + "score": 1.0, + "content": ". With", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 375, + 396, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 396, + 389 + ], + "score": 1.0, + "content": "these definitions, we are ready to give our algorithmic analysis theorem.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 392, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 105, + 391, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 194, + 407 + ], + "score": 1.0, + "content": "Theorem 1. Suppose", + "type": "text" + }, + { + "bbox": [ + 195, + 391, + 224, + 405 + ], + "score": 0.92, + "content": "\\hat { d } \\geq d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 391, + 242, + 407 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 243, + 392, + 305, + 405 + ], + "score": 0.91, + "content": "\\hat { N } \\geq N : = | \\overline { { \\mathcal { H } } } |", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 391, + 430, + 407 + ], + "score": 1.0, + "content": ". Then, with probability at least", + "type": "text" + }, + { + "bbox": [ + 430, + 394, + 451, + 404 + ], + "score": 0.7, + "content": "1 - \\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 391, + 506, + 407 + ], + "score": 1.0, + "content": ", Algorithm 1", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 403, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 216, + 417 + ], + "score": 1.0, + "content": "returns successfully within", + "type": "text" + }, + { + "bbox": [ + 216, + 405, + 286, + 416 + ], + "score": 0.89, + "content": "O ( d ^ { * } \\log ( m / d ^ { * } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 403, + 506, + 417 + ], + "score": 1.0, + "content": "queries to the learner and the size of the returned set", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 415, + 292, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 115, + 430 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 116, + 415, + 287, + 430 + ], + "score": 0.91, + "content": "| \\hat { S } | = O ( \\hat { d } ( \\log \\hat { N } + \\log \\log m + \\log ( 1 / \\delta ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 416, + 292, + 430 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 438, + 505, + 519 + ], + "lines": [ + { + "bbox": [ + 105, + 438, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 335, + 453 + ], + "score": 1.0, + "content": "The proof of Theorem 1 is in Appendix D. Note that the", + "type": "text" + }, + { + "bbox": [ + 336, + 440, + 375, + 451 + ], + "score": 0.87, + "content": "\\log \\log m", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 438, + 505, + 453 + ], + "score": 1.0, + "content": "term is negligible, for example,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 299, + 462 + ], + "score": 1.0, + "content": "it can be ignored (subsumed in the constants) if", + "type": "text" + }, + { + "bbox": [ + 299, + 450, + 335, + 461 + ], + "score": 0.92, + "content": "m \\leq 2 ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "which is true in reasonable cases. In Sec-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "tion 4, we provide lower bounds showing that the number of queries to the learner is asymptotically", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "score": 1.0, + "content": "optimal up to extraneous log factors and that the size of the returned subset is asymptotically optimal", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 483, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 342, + 497 + ], + "score": 1.0, + "content": "(with a computational hardness assumption) if we assume", + "type": "text" + }, + { + "bbox": [ + 343, + 483, + 382, + 495 + ], + "score": 0.81, + "content": "\\log \\log m", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 483, + 505, + 497 + ], + "score": 1.0, + "content": "is a low-order term compared", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 494, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 116, + 509 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 496, + 141, + 507 + ], + "score": 0.85, + "content": "\\log N", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 495, + 176, + 509 + ], + "score": 1.0, + "content": "and that", + "type": "text" + }, + { + "bbox": [ + 177, + 496, + 183, + 506 + ], + "score": 0.79, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 495, + 388, + 509 + ], + "score": 1.0, + "content": "is a small constant. 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To remedy this, we can “squash” the training errors, that is, remove the points from", + "type": "text" + }, + { + "bbox": [ + 492, + 567, + 504, + 577 + ], + "score": 0.86, + "content": "E _ { t }", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 575, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 185, + 591 + ], + "score": 1.0, + "content": "that also appear in", + "type": "text" + }, + { + "bbox": [ + 185, + 577, + 196, + 588 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 575, + 506, + 591 + ], + "score": 1.0, + "content": ". More precisely, when we calculate errors on the pool, instead of defining", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 587, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 227, + 600 + ], + "score": 0.92, + "content": "E _ { t } = \\{ i \\in \\bar { [ m ] } : h _ { t } ( x ) \\neq y _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 587, + 258, + 602 + ], + "score": 1.0, + "content": ", define", + "type": "text" + }, + { + "bbox": [ + 258, + 588, + 415, + 600 + ], + "score": 0.93, + "content": "\\dot { E } _ { t } = \\{ i \\in [ m ] : h _ { t } ( x ) \\neq y _ { i } \\land i \\notin \\bar { S } _ { t } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 587, + 506, + 602 + ], + "score": 1.0, + "content": ". For the experiments,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 598, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 506, + 613 + ], + "score": 1.0, + "content": "we run Algorithm 1 with this edit. This error squashing technique is used beyond our algorithm. This", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 505, + 623 + ], + "score": 1.0, + "content": "technique is explicitly used for the experiments in Cicalese et al. (2020) and likely a similar approach", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "is used for Dasgupta et al. 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With", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 375, + 396, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 396, + 389 + ], + "score": 1.0, + "content": "these definitions, we are ready to give our algorithmic analysis theorem.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 363, + 506, + 389 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 392, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 105, + 391, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 194, + 407 + ], + "score": 1.0, + "content": "Theorem 1. Suppose", + "type": "text" + }, + { + "bbox": [ + 195, + 391, + 224, + 405 + ], + "score": 0.92, + "content": "\\hat { d } \\geq d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 224, + 391, + 242, + 407 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 243, + 392, + 305, + 405 + ], + "score": 0.91, + "content": "\\hat { N } \\geq N : = | \\overline { { \\mathcal { H } } } |", + "type": "inline_equation" + }, + { + "bbox": [ + 305, + 391, + 430, + 407 + ], + "score": 1.0, + "content": ". Then, with probability at least", + "type": "text" + }, + { + "bbox": [ + 430, + 394, + 451, + 404 + ], + "score": 0.7, + "content": "1 - \\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 391, + 506, + 407 + ], + "score": 1.0, + "content": ", Algorithm 1", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 403, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 216, + 417 + ], + "score": 1.0, + "content": "returns successfully within", + "type": "text" + }, + { + "bbox": [ + 216, + 405, + 286, + 416 + ], + "score": 0.89, + "content": "O ( d ^ { * } \\log ( m / d ^ { * } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 403, + 506, + 417 + ], + "score": 1.0, + "content": "queries to the learner and the size of the returned set", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 415, + 292, + 430 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 115, + 430 + ], + "score": 1.0, + "content": "is", + "type": "text" + }, + { + "bbox": [ + 116, + 415, + 287, + 430 + ], + "score": 0.91, + "content": "| \\hat { S } | = O ( \\hat { d } ( \\log \\hat { N } + \\log \\log m + \\log ( 1 / \\delta ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 416, + 292, + 430 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 391, + 506, + 430 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 438, + 505, + 519 + ], + "lines": [ + { + "bbox": [ + 105, + 438, + 505, + 453 + ], + "spans": [ + { + "bbox": [ + 105, + 438, + 335, + 453 + ], + "score": 1.0, + "content": "The proof of Theorem 1 is in Appendix D. Note that the", + "type": "text" + }, + { + "bbox": [ + 336, + 440, + 375, + 451 + ], + "score": 0.87, + "content": "\\log \\log m", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 438, + 505, + 453 + ], + "score": 1.0, + "content": "term is negligible, for example,", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 448, + 505, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 299, + 462 + ], + "score": 1.0, + "content": "it can be ignored (subsumed in the constants) if", + "type": "text" + }, + { + "bbox": [ + 299, + 450, + 335, + 461 + ], + "score": 0.92, + "content": "m \\leq 2 ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 448, + 505, + 462 + ], + "score": 1.0, + "content": "which is true in reasonable cases. In Sec-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 505, + 474 + ], + "score": 1.0, + "content": "tion 4, we provide lower bounds showing that the number of queries to the learner is asymptotically", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "spans": [ + { + "bbox": [ + 105, + 472, + 505, + 485 + ], + "score": 1.0, + "content": "optimal up to extraneous log factors and that the size of the returned subset is asymptotically optimal", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 483, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 342, + 497 + ], + "score": 1.0, + "content": "(with a computational hardness assumption) if we assume", + "type": "text" + }, + { + "bbox": [ + 343, + 483, + 382, + 495 + ], + "score": 0.81, + "content": "\\log \\log m", + "type": "inline_equation" + }, + { + "bbox": [ + 382, + 483, + 505, + 497 + ], + "score": 1.0, + "content": "is a low-order term compared", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 494, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 105, + 495, + 116, + 509 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 496, + 141, + 507 + ], + "score": 0.85, + "content": "\\log N", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 495, + 176, + 509 + ], + "score": 1.0, + "content": "and that", + "type": "text" + }, + { + "bbox": [ + 177, + 496, + 183, + 506 + ], + "score": 0.79, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 495, + 388, + 509 + ], + "score": 1.0, + "content": "is a small constant. To choose the hyperparameters", + "type": "text" + }, + { + "bbox": [ + 388, + 494, + 396, + 506 + ], + "score": 0.84, + "content": "\\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 495, + 412, + 509 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 413, + 494, + 471, + 507 + ], + "score": 0.93, + "content": "\\xi = \\Theta ( \\log \\hat { N } )", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 495, + 505, + 509 + ], + "score": 1.0, + "content": ", we can", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 506, + 431, + 520 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 373, + 520 + ], + "score": 1.0, + "content": "use a doubling approach to find a constant factor approximation to", + "type": "text" + }, + { + "bbox": [ + 374, + 507, + 384, + 517 + ], + "score": 0.87, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 506, + 402, + 520 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 403, + 507, + 427, + 518 + ], + "score": 0.84, + "content": "\\log N", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 506, + 431, + 520 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 438, + 505, + 520 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 534, + 272, + 545 + ], + "lines": [ + { + "bbox": [ + 105, + 533, + 273, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 533, + 273, + 546 + ], + "score": 1.0, + "content": "3.3 NON-INTERPOLATING LEARNERS", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 106, + 555, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 506, + 569 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 569 + ], + "score": 1.0, + "content": "For non-interpolating learners, Algorithm 1 might never return successfully even for a single training", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 564, + 504, + 579 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 491, + 579 + ], + "score": 1.0, + "content": "error. To remedy this, we can “squash” the training errors, that is, remove the points from", + "type": "text" + }, + { + "bbox": [ + 492, + 567, + 504, + 577 + ], + "score": 0.86, + "content": "E _ { t }", + "type": "inline_equation" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 575, + 506, + 591 + ], + "spans": [ + { + "bbox": [ + 105, + 575, + 185, + 591 + ], + "score": 1.0, + "content": "that also appear in", + "type": "text" + }, + { + "bbox": [ + 185, + 577, + 196, + 588 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 575, + 506, + 591 + ], + "score": 1.0, + "content": ". More precisely, when we calculate errors on the pool, instead of defining", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 587, + 506, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 588, + 227, + 600 + ], + "score": 0.92, + "content": "E _ { t } = \\{ i \\in \\bar { [ m ] } : h _ { t } ( x ) \\neq y _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 587, + 258, + 602 + ], + "score": 1.0, + "content": ", define", + "type": "text" + }, + { + "bbox": [ + 258, + 588, + 415, + 600 + ], + "score": 0.93, + "content": "\\dot { E } _ { t } = \\{ i \\in [ m ] : h _ { t } ( x ) \\neq y _ { i } \\land i \\notin \\bar { S } _ { t } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 587, + 506, + 602 + ], + "score": 1.0, + "content": ". For the experiments,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 598, + 506, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 506, + 613 + ], + "score": 1.0, + "content": "we run Algorithm 1 with this edit. This error squashing technique is used beyond our algorithm. This", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 106, + 610, + 505, + 623 + ], + "score": 1.0, + "content": "technique is explicitly used for the experiments in Cicalese et al. (2020) and likely a similar approach", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 105, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "is used for Dasgupta et al. (2019) as we found experimentally that the algorithm dramatically fails,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 632, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 106, + 632, + 505, + 644 + ], + "score": 1.0, + "content": "as written, without error squashing. Similar to this paper, the algorithmic analysis of Cicalese et al.", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 642, + 471, + 657 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 471, + 657 + ], + "score": 1.0, + "content": "(2020) assumes interpolating learners, but the practical algorithm includes error squashing.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 553, + 506, + 657 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 672, + 169, + 685 + ], + "lines": [ + { + "bbox": [ + 105, + 671, + 171, + 686 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 171, + 686 + ], + "score": 1.0, + "content": "4 THEORY", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 42 + }, + { + "type": "text", + "bbox": [ + 108, + 699, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "In this section, we first cover notation definitions, a particular class of learners, and the equivalence", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 709, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 721 + ], + "score": 1.0, + "content": "between machine teaching and the classic set cover problem. Next, we cover our lower bounds and", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 719, + 272, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 719, + 272, + 734 + ], + "score": 1.0, + "content": "results for the error squashing technique.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 44, + "bbox_fs": [ + 105, + 699, + 505, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 82, + 234, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 235, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 235, + 96 + ], + "score": 1.0, + "content": "4.1 NOTATION DEFINITIONS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 102, + 505, + 153 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 122, + 116 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 122, + 104, + 131, + 113 + ], + "score": 0.78, + "content": "\\mathbb { Z }", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 102, + 251, + 116 + ], + "score": 1.0, + "content": "denote the set of integers and", + "type": "text" + }, + { + "bbox": [ + 252, + 104, + 266, + 115 + ], + "score": 0.89, + "content": "\\mathbb { Z } _ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 102, + 423, + 116 + ], + "score": 1.0, + "content": "denote the set of positive integers. Let", + "type": "text" + }, + { + "bbox": [ + 424, + 102, + 501, + 115 + ], + "score": 0.92, + "content": "[ k ] = \\{ 1 , 2 , \\dots , k \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 102, + 505, + 116 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 113, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 142, + 128 + ], + "score": 1.0, + "content": "For a set", + "type": "text" + }, + { + "bbox": [ + 142, + 114, + 150, + 124 + ], + "score": 0.8, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 113, + 165, + 128 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 165, + 114, + 189, + 126 + ], + "score": 0.91, + "content": "{ \\mathcal { P } } ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 113, + 283, + 128 + ], + "score": 1.0, + "content": "denote the power set of", + "type": "text" + }, + { + "bbox": [ + 284, + 115, + 291, + 124 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 113, + 330, + 128 + ], + "score": 1.0, + "content": ". For a set", + "type": "text" + }, + { + "bbox": [ + 331, + 115, + 339, + 124 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 113, + 354, + 128 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 354, + 113, + 367, + 124 + ], + "score": 0.88, + "content": "S ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 113, + 505, + 128 + ], + "score": 1.0, + "content": "be the repeated Cartesian product;", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 125, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 160, + 140 + ], + "score": 1.0, + "content": "for example,", + "type": "text" + }, + { + "bbox": [ + 160, + 127, + 232, + 138 + ], + "score": 0.94, + "content": "S ^ { 3 } = S \\times S \\times S", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 125, + 252, + 140 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 253, + 125, + 272, + 139 + ], + "score": 0.89, + "content": "{ \\widetilde { O } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 125, + 303, + 140 + ], + "score": 1.0, + "content": "denote", + "type": "text" + }, + { + "bbox": [ + 303, + 127, + 323, + 139 + ], + "score": 0.9, + "content": "O ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 125, + 506, + 140 + ], + "score": 1.0, + "content": "where extraneous log factors are ignored. In", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 138, + 281, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 150, + 154 + ], + "score": 1.0, + "content": "particular,", + "type": "text" + }, + { + "bbox": [ + 150, + 138, + 278, + 153 + ], + "score": 0.9, + "content": "O ( f ( n ) \\log ^ { k } ( f ( n ) ) = { \\widetilde O } ( f ( n ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 139, + 281, + 154 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 108, + 165, + 294, + 176 + ], + "lines": [ + { + "bbox": [ + 106, + 165, + 295, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 165, + 295, + 178 + ], + "score": 1.0, + "content": "4.2 RANKED MINIMAL ERROR LEARNERS", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 185, + 505, + 230 + ], + "lines": [ + { + "bbox": [ + 105, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 185, + 505, + 198 + ], + "score": 1.0, + "content": "Here, we define a type of learner that appears in the constructions for our lower bounds and is given", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 197, + 506, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 209 + ], + "score": 1.0, + "content": "as an example in the error squashing framework. Intuitively, a ranked minimal error learner is a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 208, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 234, + 219 + ], + "score": 1.0, + "content": "learner with a hypothesis class", + "type": "text" + }, + { + "bbox": [ + 234, + 208, + 244, + 218 + ], + "score": 0.8, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 208, + 305, + 219 + ], + "score": 1.0, + "content": "and a ranking", + "type": "text" + }, + { + "bbox": [ + 305, + 210, + 312, + 218 + ], + "score": 0.76, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 208, + 505, + 219 + ], + "score": 1.0, + "content": "such that the learner returns the lowest ranked", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 219, + 245, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 245, + 231 + ], + "score": 1.0, + "content": "hypothesis that has minimal error.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 232, + 505, + 268 + ], + "lines": [ + { + "bbox": [ + 106, + 232, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 179, + 245 + ], + "score": 1.0, + "content": "Definition 1. Let", + "type": "text" + }, + { + "bbox": [ + 180, + 233, + 189, + 243 + ], + "score": 0.75, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 232, + 208, + 245 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 208, + 233, + 217, + 244 + ], + "score": 0.73, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 232, + 326, + 245 + ], + "score": 1.0, + "content": "be finite. We say a learner", + "type": "text" + }, + { + "bbox": [ + 327, + 234, + 335, + 243 + ], + "score": 0.71, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 232, + 505, + 245 + ], + "score": 1.0, + "content": "is a ranked minimal error learner if there", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 234, + 257 + ], + "score": 1.0, + "content": "exists a (finite) hypothesis class", + "type": "text" + }, + { + "bbox": [ + 234, + 245, + 244, + 254 + ], + "score": 0.76, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 243, + 306, + 257 + ], + "score": 1.0, + "content": "and a bijection", + "type": "text" + }, + { + "bbox": [ + 306, + 244, + 365, + 256 + ], + "score": 0.91, + "content": "\\sigma : { \\mathcal { H } } [ | { \\mathcal { H } } | ]", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 243, + 435, + 257 + ], + "score": 1.0, + "content": "such that for any", + "type": "text" + }, + { + "bbox": [ + 436, + 244, + 501, + 256 + ], + "score": 0.91, + "content": "D \\subset \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 243, + 505, + 257 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 103, + 253, + 475, + 272 + ], + "spans": [ + { + "bbox": [ + 103, + 253, + 126, + 272 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 126, + 255, + 286, + 267 + ], + "score": 0.87, + "content": "\\begin{array} { r } { k = \\operatorname* { m i n } _ { h \\in \\mathcal { H } } | \\{ ( x , y ) \\in D : h ( x ) \\neq \\dot { y } \\} | } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 253, + 289, + 272 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 290, + 256, + 471, + 269 + ], + "score": 0.44, + "content": "\\begin{array} { r } { L ( D ) = \\arg \\operatorname* { m i n } _ { h : | \\{ ( x , y ) \\in D : h ( x ) \\neq y \\} | = k } \\sigma ( h ) . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 253, + 475, + 272 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 276, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 105, + 275, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 428, + 290 + ], + "score": 1.0, + "content": "Note that since we focus on fixed datasets and classification in this work, finite", + "type": "text" + }, + { + "bbox": [ + 428, + 277, + 438, + 286 + ], + "score": 0.83, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 275, + 457, + 290 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 457, + 277, + 466, + 288 + ], + "score": 0.83, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 275, + 506, + 290 + ], + "score": 1.0, + "content": "are not a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "score": 1.0, + "content": "restriction for our purposes. If we assume the ground truth labels are generated by a member of the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 298, + 497, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 176, + 312 + ], + "score": 1.0, + "content": "hypothesis class,", + "type": "text" + }, + { + "bbox": [ + 177, + 298, + 322, + 311 + ], + "score": 0.93, + "content": "\\exists h ^ { * } \\in { \\mathcal { H } } : \\forall ( x , y ) \\in D : y = h ^ { * } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 298, + 497, + 312 + ], + "score": 1.0, + "content": ", then the learner is an interpolating learner.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14 + }, + { + "type": "title", + "bbox": [ + 107, + 323, + 203, + 334 + ], + "lines": [ + { + "bbox": [ + 106, + 322, + 204, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 204, + 335 + ], + "score": 1.0, + "content": "4.3 LOWER BOUNDS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 343, + 505, + 399 + ], + "lines": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "We present two lower bounds that are query-based lower bounds proved using similar techniques.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 355, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 106, + 355, + 506, + 367 + ], + "score": 1.0, + "content": "In particular, we construct a ranked minimal error learner with a special structure that depends on a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "random “key” (e.g., a random vector). We show that even if the teacher knew all the structure of the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 376, + 504, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 487, + 388 + ], + "score": 1.0, + "content": "learner except the random key, any teaching algorithm will not be able to return a subset of size", + "type": "text" + }, + { + "bbox": [ + 487, + 377, + 504, + 387 + ], + "score": 0.86, + "content": "\\lambda d ^ { * }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 387, + 391, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 117, + 401 + ], + "score": 1.0, + "content": "(a", + "type": "text" + }, + { + "bbox": [ + 117, + 388, + 124, + 398 + ], + "score": 0.78, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 124, + 387, + 371, + 401 + ], + "score": 1.0, + "content": "-approximation) with few queries and probability greater than", + "type": "text" + }, + { + "bbox": [ + 371, + 387, + 387, + 399 + ], + "score": 0.62, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 387, + 391, + 401 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 107, + 402, + 505, + 436 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 195, + 415 + ], + "score": 1.0, + "content": "Theorem 2. Fix any", + "type": "text" + }, + { + "bbox": [ + 195, + 402, + 224, + 413 + ], + "score": 0.9, + "content": "\\lambda \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 401, + 244, + 415 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 245, + 402, + 282, + 413 + ], + "score": 0.89, + "content": "m \\geq 2 \\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 401, + 506, + 415 + ], + "score": 1.0, + "content": ". There exists a distribution over interpolating ranked", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 411, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 231, + 426 + ], + "score": 1.0, + "content": "minimal error learners and an", + "type": "text" + }, + { + "bbox": [ + 232, + 415, + 241, + 423 + ], + "score": 0.69, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 411, + 397, + 426 + ], + "score": 1.0, + "content": "-sized dataset with optimal subset size", + "type": "text" + }, + { + "bbox": [ + 397, + 414, + 407, + 423 + ], + "score": 0.83, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 411, + 505, + 426 + ], + "score": 1.0, + "content": ", such that any teaching", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 421, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 104, + 421, + 183, + 438 + ], + "score": 1.0, + "content": "algorithm requires", + "type": "text" + }, + { + "bbox": [ + 183, + 423, + 217, + 434 + ], + "score": 0.9, + "content": "2 ^ { \\Omega ( m / \\lambda ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 421, + 325, + 438 + ], + "score": 1.0, + "content": "queries to achieve at most", + "type": "text" + }, + { + "bbox": [ + 325, + 424, + 342, + 434 + ], + "score": 0.88, + "content": "\\lambda d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 421, + 485, + 438 + ], + "score": 1.0, + "content": "subset size with probability at least", + "type": "text" + }, + { + "bbox": [ + 486, + 424, + 501, + 436 + ], + "score": 0.61, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 421, + 506, + 438 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 443, + 505, + 511 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "The proof is in Appendix E.1. This would appear to be very bad news: we require an exponential", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 504, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 356, + 468 + ], + "score": 1.0, + "content": "number of queries to even achieve a valid subset that is a factor", + "type": "text" + }, + { + "bbox": [ + 356, + 456, + 363, + 465 + ], + "score": 0.77, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 456, + 504, + 468 + ], + "score": 1.0, + "content": "larger than the optimal subset. For-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 466, + 504, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 466, + 479 + ], + "score": 1.0, + "content": "tunately, as shown later, we can not in general approximate the optimal subset to a factor of", + "type": "text" + }, + { + "bbox": [ + 467, + 466, + 504, + 478 + ], + "score": 0.92, + "content": "o ( \\log N )", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 477, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 245, + 490 + ], + "score": 1.0, + "content": "(asymptotically strictly better than", + "type": "text" + }, + { + "bbox": [ + 245, + 478, + 272, + 488 + ], + "score": 0.82, + "content": "\\log N )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 477, + 332, + 490 + ], + "score": 1.0, + "content": ". Furthermore,", + "type": "text" + }, + { + "bbox": [ + 332, + 478, + 342, + 487 + ], + "score": 0.81, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 477, + 506, + 490 + ], + "score": 1.0, + "content": "is very large in the construction for The-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 193, + 501 + ], + "score": 1.0, + "content": "orem 2; so large that", + "type": "text" + }, + { + "bbox": [ + 193, + 488, + 257, + 500 + ], + "score": 0.93, + "content": "\\log N = \\Theta ( m )", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 487, + 506, + 501 + ], + "score": 1.0, + "content": ". Thus, if we are content with an approximation guarantee of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 107, + 498, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 107, + 499, + 146, + 512 + ], + "score": 0.92, + "content": "{ \\cal O } ( \\log N )", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 498, + 505, + 513 + ], + "score": 1.0, + "content": ", then far fewer queries to the learner are required, as the existence of Algorithm 1 shows.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 106, + 513, + 505, + 566 + ], + "lines": [ + { + "bbox": [ + 106, + 514, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 192, + 525 + ], + "score": 1.0, + "content": "Theorem 3. Fix any", + "type": "text" + }, + { + "bbox": [ + 192, + 514, + 217, + 525 + ], + "score": 0.86, + "content": "k \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 514, + 220, + 525 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 221, + 514, + 244, + 525 + ], + "score": 0.81, + "content": "\\ell \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 514, + 265, + 525 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 266, + 514, + 290, + 525 + ], + "score": 0.89, + "content": "\\lambda \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 514, + 506, + 525 + ], + "score": 1.0, + "content": ". There exists a distribution over interpolating ranked", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 524, + 507, + 537 + ], + "spans": [ + { + "bbox": [ + 104, + 524, + 289, + 537 + ], + "score": 1.0, + "content": "minimal error learners and a dataset of size", + "type": "text" + }, + { + "bbox": [ + 290, + 524, + 352, + 537 + ], + "score": 0.93, + "content": "m = k ( \\left\\lceil e \\lambda \\right\\rceil ) ^ { \\ell }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 524, + 453, + 537 + ], + "score": 1.0, + "content": "with optimal subset size", + "type": "text" + }, + { + "bbox": [ + 453, + 525, + 486, + 534 + ], + "score": 0.9, + "content": "d ^ { * } = k", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 524, + 507, + 537 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 536, + 506, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 218, + 552 + ], + "score": 0.92, + "content": "N = O ( k \\ln ( m / k ) / \\ln ( \\lambda ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 538, + 394, + 553 + ], + "score": 1.0, + "content": ", such that any teaching algorithm requires", + "type": "text" + }, + { + "bbox": [ + 395, + 536, + 460, + 556 + ], + "score": 0.94, + "content": "\\Omega \\left( \\frac { d ^ { * } \\ln ( m / d ^ { * } ) } { \\ln ^ { 2 } ( \\lambda ) } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "queries to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 554, + 351, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 171, + 567 + ], + "score": 1.0, + "content": "achieve at most", + "type": "text" + }, + { + "bbox": [ + 171, + 555, + 187, + 564 + ], + "score": 0.87, + "content": "\\lambda d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 554, + 331, + 567 + ], + "score": 1.0, + "content": "subset size with probability at least", + "type": "text" + }, + { + "bbox": [ + 331, + 554, + 347, + 567 + ], + "score": 0.62, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 554, + 351, + 567 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 574, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 588 + ], + "score": 1.0, + "content": "The proof is in Appendix E.2. Note that this implies achieving an approximation ratio of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 107, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 107, + 586, + 147, + 597 + ], + "score": 0.9, + "content": "{ \\cal O } ( \\log N )", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 585, + 160, + 599 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 161, + 586, + 226, + 598 + ], + "score": 0.92, + "content": "O ( \\log m \\log N )", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 585, + 505, + 599 + ], + "score": 1.0, + "content": "(as found in Cicalese et al. (2020); Dasgupta et al. (2019)) requires", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 598, + 209, + 612 + ], + "spans": [ + { + "bbox": [ + 107, + 598, + 172, + 611 + ], + "score": 0.91, + "content": "\\widetilde \\Omega ( d ^ { * } \\ln ( m / d ^ { * } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 598, + 209, + 612 + ], + "score": 1.0, + "content": "queries.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 615, + 504, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 615, + 504, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 466, + 628 + ], + "score": 1.0, + "content": "We now present a computational hardness lower bound on finding a subset with a small", + "type": "text" + }, + { + "bbox": [ + 466, + 616, + 504, + 628 + ], + "score": 0.92, + "content": "o ( \\log N )", + "type": "inline_equation" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 627, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 415, + 641 + ], + "score": 1.0, + "content": "approximation ratio to optimal, even with unlimited learner queries so that", + "type": "text" + }, + { + "bbox": [ + 415, + 627, + 425, + 639 + ], + "score": 0.85, + "content": "\\overline { { \\mathcal { H } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "could be explicitly", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 640, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 652 + ], + "score": 1.0, + "content": "constructed. This result is a straightforward application of the following theorem to the set cover", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 650, + 242, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 242, + 663 + ], + "score": 1.0, + "content": "equivalence of machine teaching.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39.5 + }, + { + "type": "text", + "bbox": [ + 106, + 664, + 504, + 689 + ], + "lines": [ + { + "bbox": [ + 106, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 664, + 365, + 677 + ], + "score": 1.0, + "content": "Theorem 4 ((Theorem 4.4 from Feige (1998)). If there is some", + "type": "text" + }, + { + "bbox": [ + 365, + 666, + 389, + 675 + ], + "score": 0.88, + "content": "\\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 664, + 505, + 677 + ], + "score": 1.0, + "content": "such that a polynomial time", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 676, + 464, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 283, + 689 + ], + "score": 1.0, + "content": "algorithm can approximate set cover within", + "type": "text" + }, + { + "bbox": [ + 284, + 677, + 331, + 689 + ], + "score": 0.94, + "content": "( 1 - \\epsilon ) \\ln n", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 676, + 353, + 689 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 354, + 676, + 459, + 689 + ], + "score": 0.88, + "content": "N P \\subset T I M E { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 676, + 464, + 689 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5 + }, + { + "type": "text", + "bbox": [ + 107, + 697, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 356, + 710 + ], + "score": 1.0, + "content": "Let us interpret this result. For set cover instances, the “size”", + "type": "text" + }, + { + "bbox": [ + 356, + 699, + 363, + 707 + ], + "score": 0.77, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 698, + 505, + 710 + ], + "score": 1.0, + "content": "of a problem is measured in terms", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 708, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 238, + 721 + ], + "score": 1.0, + "content": "of the number of elements, our", + "type": "text" + }, + { + "bbox": [ + 239, + 709, + 249, + 718 + ], + "score": 0.81, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 708, + 343, + 721 + ], + "score": 1.0, + "content": ". Feige (1998) defines", + "type": "text" + }, + { + "bbox": [ + 344, + 708, + 396, + 720 + ], + "score": 0.79, + "content": "\\mathrm { T I M E } ( f ( n ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 708, + 505, + 721 + ], + "score": 1.0, + "content": "to be the set of problems", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 717, + 506, + 735 + ], + "spans": [ + { + "bbox": [ + 104, + 717, + 153, + 735 + ], + "score": 1.0, + "content": "solvable in", + "type": "text" + }, + { + "bbox": [ + 153, + 720, + 174, + 732 + ], + "score": 0.92, + "content": "f ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 717, + 322, + 735 + ], + "score": 1.0, + "content": "(determnistic) time. The conclusion", + "type": "text" + }, + { + "bbox": [ + 323, + 720, + 430, + 732 + ], + "score": 0.82, + "content": "{ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 717, + 506, + 735 + ], + "score": 1.0, + "content": "is slightly weaker", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 45 + } + ], + "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 2023", + "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": [ + 107, + 82, + 234, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 235, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 235, + 96 + ], + "score": 1.0, + "content": "4.1 NOTATION DEFINITIONS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 102, + 505, + 153 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 122, + 116 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 122, + 104, + 131, + 113 + ], + "score": 0.78, + "content": "\\mathbb { Z }", + "type": "inline_equation" + }, + { + "bbox": [ + 131, + 102, + 251, + 116 + ], + "score": 1.0, + "content": "denote the set of integers and", + "type": "text" + }, + { + "bbox": [ + 252, + 104, + 266, + 115 + ], + "score": 0.89, + "content": "\\mathbb { Z } _ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 102, + 423, + 116 + ], + "score": 1.0, + "content": "denote the set of positive integers. Let", + "type": "text" + }, + { + "bbox": [ + 424, + 102, + 501, + 115 + ], + "score": 0.92, + "content": "[ k ] = \\{ 1 , 2 , \\dots , k \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 102, + 505, + 116 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 113, + 505, + 128 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 142, + 128 + ], + "score": 1.0, + "content": "For a set", + "type": "text" + }, + { + "bbox": [ + 142, + 114, + 150, + 124 + ], + "score": 0.8, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 113, + 165, + 128 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 165, + 114, + 189, + 126 + ], + "score": 0.91, + "content": "{ \\mathcal { P } } ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 189, + 113, + 283, + 128 + ], + "score": 1.0, + "content": "denote the power set of", + "type": "text" + }, + { + "bbox": [ + 284, + 115, + 291, + 124 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 291, + 113, + 330, + 128 + ], + "score": 1.0, + "content": ". For a set", + "type": "text" + }, + { + "bbox": [ + 331, + 115, + 339, + 124 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 113, + 354, + 128 + ], + "score": 1.0, + "content": ", let", + "type": "text" + }, + { + "bbox": [ + 354, + 113, + 367, + 124 + ], + "score": 0.88, + "content": "S ^ { k }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 113, + 505, + 128 + ], + "score": 1.0, + "content": "be the repeated Cartesian product;", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 125, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 160, + 140 + ], + "score": 1.0, + "content": "for example,", + "type": "text" + }, + { + "bbox": [ + 160, + 127, + 232, + 138 + ], + "score": 0.94, + "content": "S ^ { 3 } = S \\times S \\times S", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 125, + 252, + 140 + ], + "score": 1.0, + "content": ". Let", + "type": "text" + }, + { + "bbox": [ + 253, + 125, + 272, + 139 + ], + "score": 0.89, + "content": "{ \\widetilde { O } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 125, + 303, + 140 + ], + "score": 1.0, + "content": "denote", + "type": "text" + }, + { + "bbox": [ + 303, + 127, + 323, + 139 + ], + "score": 0.9, + "content": "O ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 125, + 506, + 140 + ], + "score": 1.0, + "content": "where extraneous log factors are ignored. In", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 138, + 281, + 154 + ], + "spans": [ + { + "bbox": [ + 106, + 139, + 150, + 154 + ], + "score": 1.0, + "content": "particular,", + "type": "text" + }, + { + "bbox": [ + 150, + 138, + 278, + 153 + ], + "score": 0.9, + "content": "O ( f ( n ) \\log ^ { k } ( f ( n ) ) = { \\widetilde O } ( f ( n ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 139, + 281, + 154 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 102, + 506, + 154 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 165, + 294, + 176 + ], + "lines": [ + { + "bbox": [ + 106, + 165, + 295, + 178 + ], + "spans": [ + { + "bbox": [ + 106, + 165, + 295, + 178 + ], + "score": 1.0, + "content": "4.2 RANKED MINIMAL ERROR LEARNERS", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 185, + 505, + 230 + ], + "lines": [ + { + "bbox": [ + 105, + 185, + 505, + 198 + ], + "spans": [ + { + "bbox": [ + 105, + 185, + 505, + 198 + ], + "score": 1.0, + "content": "Here, we define a type of learner that appears in the constructions for our lower bounds and is given", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 197, + 506, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 209 + ], + "score": 1.0, + "content": "as an example in the error squashing framework. Intuitively, a ranked minimal error learner is a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 208, + 505, + 219 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 234, + 219 + ], + "score": 1.0, + "content": "learner with a hypothesis class", + "type": "text" + }, + { + "bbox": [ + 234, + 208, + 244, + 218 + ], + "score": 0.8, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 245, + 208, + 305, + 219 + ], + "score": 1.0, + "content": "and a ranking", + "type": "text" + }, + { + "bbox": [ + 305, + 210, + 312, + 218 + ], + "score": 0.76, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 313, + 208, + 505, + 219 + ], + "score": 1.0, + "content": "such that the learner returns the lowest ranked", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 219, + 245, + 231 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 245, + 231 + ], + "score": 1.0, + "content": "hypothesis that has minimal error.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 185, + 506, + 231 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 232, + 505, + 268 + ], + "lines": [ + { + "bbox": [ + 106, + 232, + 505, + 245 + ], + "spans": [ + { + "bbox": [ + 106, + 232, + 179, + 245 + ], + "score": 1.0, + "content": "Definition 1. Let", + "type": "text" + }, + { + "bbox": [ + 180, + 233, + 189, + 243 + ], + "score": 0.75, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 232, + 208, + 245 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 208, + 233, + 217, + 244 + ], + "score": 0.73, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 232, + 326, + 245 + ], + "score": 1.0, + "content": "be finite. We say a learner", + "type": "text" + }, + { + "bbox": [ + 327, + 234, + 335, + 243 + ], + "score": 0.71, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 232, + 505, + 245 + ], + "score": 1.0, + "content": "is a ranked minimal error learner if there", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 105, + 243, + 234, + 257 + ], + "score": 1.0, + "content": "exists a (finite) hypothesis class", + "type": "text" + }, + { + "bbox": [ + 234, + 245, + 244, + 254 + ], + "score": 0.76, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 243, + 306, + 257 + ], + "score": 1.0, + "content": "and a bijection", + "type": "text" + }, + { + "bbox": [ + 306, + 244, + 365, + 256 + ], + "score": 0.91, + "content": "\\sigma : { \\mathcal { H } } [ | { \\mathcal { H } } | ]", + "type": "inline_equation" + }, + { + "bbox": [ + 366, + 243, + 435, + 257 + ], + "score": 1.0, + "content": "such that for any", + "type": "text" + }, + { + "bbox": [ + 436, + 244, + 501, + 256 + ], + "score": 0.91, + "content": "D \\subset \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 243, + 505, + 257 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 103, + 253, + 475, + 272 + ], + "spans": [ + { + "bbox": [ + 103, + 253, + 126, + 272 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 126, + 255, + 286, + 267 + ], + "score": 0.87, + "content": "\\begin{array} { r } { k = \\operatorname* { m i n } _ { h \\in \\mathcal { H } } | \\{ ( x , y ) \\in D : h ( x ) \\neq \\dot { y } \\} | } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 253, + 289, + 272 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 290, + 256, + 471, + 269 + ], + "score": 0.44, + "content": "\\begin{array} { r } { L ( D ) = \\arg \\operatorname* { m i n } _ { h : | \\{ ( x , y ) \\in D : h ( x ) \\neq y \\} | = k } \\sigma ( h ) . } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 253, + 475, + 272 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11, + "bbox_fs": [ + 103, + 232, + 505, + 272 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 276, + 505, + 310 + ], + "lines": [ + { + "bbox": [ + 105, + 275, + 506, + 290 + ], + "spans": [ + { + "bbox": [ + 105, + 275, + 428, + 290 + ], + "score": 1.0, + "content": "Note that since we focus on fixed datasets and classification in this work, finite", + "type": "text" + }, + { + "bbox": [ + 428, + 277, + 438, + 286 + ], + "score": 0.83, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 439, + 275, + 457, + 290 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 457, + 277, + 466, + 288 + ], + "score": 0.83, + "content": "\\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 275, + 506, + 290 + ], + "score": 1.0, + "content": "are not a", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "spans": [ + { + "bbox": [ + 105, + 287, + 505, + 300 + ], + "score": 1.0, + "content": "restriction for our purposes. If we assume the ground truth labels are generated by a member of the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 298, + 497, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 298, + 176, + 312 + ], + "score": 1.0, + "content": "hypothesis class,", + "type": "text" + }, + { + "bbox": [ + 177, + 298, + 322, + 311 + ], + "score": 0.93, + "content": "\\exists h ^ { * } \\in { \\mathcal { H } } : \\forall ( x , y ) \\in D : y = h ^ { * } ( x )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 298, + 497, + 312 + ], + "score": 1.0, + "content": ", then the learner is an interpolating learner.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 275, + 506, + 312 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 323, + 203, + 334 + ], + "lines": [ + { + "bbox": [ + 106, + 322, + 204, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 204, + 335 + ], + "score": 1.0, + "content": "4.3 LOWER BOUNDS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 107, + 343, + 505, + 399 + ], + "lines": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 356 + ], + "score": 1.0, + "content": "We present two lower bounds that are query-based lower bounds proved using similar techniques.", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 355, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 106, + 355, + 506, + 367 + ], + "score": 1.0, + "content": "In particular, we construct a ranked minimal error learner with a special structure that depends on a", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 506, + 379 + ], + "score": 1.0, + "content": "random “key” (e.g., a random vector). We show that even if the teacher knew all the structure of the", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 376, + 504, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 487, + 388 + ], + "score": 1.0, + "content": "learner except the random key, any teaching algorithm will not be able to return a subset of size", + "type": "text" + }, + { + "bbox": [ + 487, + 377, + 504, + 387 + ], + "score": 0.86, + "content": "\\lambda d ^ { * }", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 387, + 391, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 117, + 401 + ], + "score": 1.0, + "content": "(a", + "type": "text" + }, + { + "bbox": [ + 117, + 388, + 124, + 398 + ], + "score": 0.78, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 124, + 387, + 371, + 401 + ], + "score": 1.0, + "content": "-approximation) with few queries and probability greater than", + "type": "text" + }, + { + "bbox": [ + 371, + 387, + 387, + 399 + ], + "score": 0.62, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 387, + 391, + 401 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 344, + 506, + 401 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 402, + 505, + 436 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 506, + 415 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 195, + 415 + ], + "score": 1.0, + "content": "Theorem 2. Fix any", + "type": "text" + }, + { + "bbox": [ + 195, + 402, + 224, + 413 + ], + "score": 0.9, + "content": "\\lambda \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 401, + 244, + 415 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 245, + 402, + 282, + 413 + ], + "score": 0.89, + "content": "m \\geq 2 \\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 401, + 506, + 415 + ], + "score": 1.0, + "content": ". There exists a distribution over interpolating ranked", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 411, + 505, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 411, + 231, + 426 + ], + "score": 1.0, + "content": "minimal error learners and an", + "type": "text" + }, + { + "bbox": [ + 232, + 415, + 241, + 423 + ], + "score": 0.69, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 411, + 397, + 426 + ], + "score": 1.0, + "content": "-sized dataset with optimal subset size", + "type": "text" + }, + { + "bbox": [ + 397, + 414, + 407, + 423 + ], + "score": 0.83, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 411, + 505, + 426 + ], + "score": 1.0, + "content": ", such that any teaching", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 104, + 421, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 104, + 421, + 183, + 438 + ], + "score": 1.0, + "content": "algorithm requires", + "type": "text" + }, + { + "bbox": [ + 183, + 423, + 217, + 434 + ], + "score": 0.9, + "content": "2 ^ { \\Omega ( m / \\lambda ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 421, + 325, + 438 + ], + "score": 1.0, + "content": "queries to achieve at most", + "type": "text" + }, + { + "bbox": [ + 325, + 424, + 342, + 434 + ], + "score": 0.88, + "content": "\\lambda d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 421, + 485, + 438 + ], + "score": 1.0, + "content": "subset size with probability at least", + "type": "text" + }, + { + "bbox": [ + 486, + 424, + 501, + 436 + ], + "score": 0.61, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 421, + 506, + 438 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23, + "bbox_fs": [ + 104, + 401, + 506, + 438 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 443, + 505, + 511 + ], + "lines": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "spans": [ + { + "bbox": [ + 106, + 444, + 505, + 457 + ], + "score": 1.0, + "content": "The proof is in Appendix E.1. This would appear to be very bad news: we require an exponential", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 456, + 504, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 356, + 468 + ], + "score": 1.0, + "content": "number of queries to even achieve a valid subset that is a factor", + "type": "text" + }, + { + "bbox": [ + 356, + 456, + 363, + 465 + ], + "score": 0.77, + "content": "\\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 456, + 504, + 468 + ], + "score": 1.0, + "content": "larger than the optimal subset. For-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 466, + 504, + 479 + ], + "spans": [ + { + "bbox": [ + 106, + 466, + 466, + 479 + ], + "score": 1.0, + "content": "tunately, as shown later, we can not in general approximate the optimal subset to a factor of", + "type": "text" + }, + { + "bbox": [ + 467, + 466, + 504, + 478 + ], + "score": 0.92, + "content": "o ( \\log N )", + "type": "inline_equation" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 477, + 506, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 245, + 490 + ], + "score": 1.0, + "content": "(asymptotically strictly better than", + "type": "text" + }, + { + "bbox": [ + 245, + 478, + 272, + 488 + ], + "score": 0.82, + "content": "\\log N )", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 477, + 332, + 490 + ], + "score": 1.0, + "content": ". Furthermore,", + "type": "text" + }, + { + "bbox": [ + 332, + 478, + 342, + 487 + ], + "score": 0.81, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 477, + 506, + 490 + ], + "score": 1.0, + "content": "is very large in the construction for The-", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 487, + 506, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 193, + 501 + ], + "score": 1.0, + "content": "orem 2; so large that", + "type": "text" + }, + { + "bbox": [ + 193, + 488, + 257, + 500 + ], + "score": 0.93, + "content": "\\log N = \\Theta ( m )", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 487, + 506, + 501 + ], + "score": 1.0, + "content": ". Thus, if we are content with an approximation guarantee of", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 107, + 498, + 505, + 513 + ], + "spans": [ + { + "bbox": [ + 107, + 499, + 146, + 512 + ], + "score": 0.92, + "content": "{ \\cal O } ( \\log N )", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 498, + 505, + 513 + ], + "score": 1.0, + "content": ", then far fewer queries to the learner are required, as the existence of Algorithm 1 shows.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 444, + 506, + 513 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 513, + 505, + 566 + ], + "lines": [ + { + "bbox": [ + 106, + 514, + 506, + 525 + ], + "spans": [ + { + "bbox": [ + 106, + 514, + 192, + 525 + ], + "score": 1.0, + "content": "Theorem 3. Fix any", + "type": "text" + }, + { + "bbox": [ + 192, + 514, + 217, + 525 + ], + "score": 0.86, + "content": "k \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 217, + 514, + 220, + 525 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 221, + 514, + 244, + 525 + ], + "score": 0.81, + "content": "\\ell \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 514, + 265, + 525 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 266, + 514, + 290, + 525 + ], + "score": 0.89, + "content": "\\lambda \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 514, + 506, + 525 + ], + "score": 1.0, + "content": ". There exists a distribution over interpolating ranked", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 524, + 507, + 537 + ], + "spans": [ + { + "bbox": [ + 104, + 524, + 289, + 537 + ], + "score": 1.0, + "content": "minimal error learners and a dataset of size", + "type": "text" + }, + { + "bbox": [ + 290, + 524, + 352, + 537 + ], + "score": 0.93, + "content": "m = k ( \\left\\lceil e \\lambda \\right\\rceil ) ^ { \\ell }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 524, + 453, + 537 + ], + "score": 1.0, + "content": "with optimal subset size", + "type": "text" + }, + { + "bbox": [ + 453, + 525, + 486, + 534 + ], + "score": 0.9, + "content": "d ^ { * } = k", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 524, + 507, + 537 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 536, + 506, + 556 + ], + "spans": [ + { + "bbox": [ + 106, + 539, + 218, + 552 + ], + "score": 0.92, + "content": "N = O ( k \\ln ( m / k ) / \\ln ( \\lambda ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 538, + 394, + 553 + ], + "score": 1.0, + "content": ", such that any teaching algorithm requires", + "type": "text" + }, + { + "bbox": [ + 395, + 536, + 460, + 556 + ], + "score": 0.94, + "content": "\\Omega \\left( \\frac { d ^ { * } \\ln ( m / d ^ { * } ) } { \\ln ^ { 2 } ( \\lambda ) } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 461, + 539, + 506, + 552 + ], + "score": 1.0, + "content": "queries to", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 554, + 351, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 171, + 567 + ], + "score": 1.0, + "content": "achieve at most", + "type": "text" + }, + { + "bbox": [ + 171, + 555, + 187, + 564 + ], + "score": 0.87, + "content": "\\lambda d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 554, + 331, + 567 + ], + "score": 1.0, + "content": "subset size with probability at least", + "type": "text" + }, + { + "bbox": [ + 331, + 554, + 347, + 567 + ], + "score": 0.62, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 554, + 351, + 567 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5, + "bbox_fs": [ + 104, + 514, + 507, + 567 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 574, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 105, + 573, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 506, + 588 + ], + "score": 1.0, + "content": "The proof is in Appendix E.2. Note that this implies achieving an approximation ratio of", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 107, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 107, + 586, + 147, + 597 + ], + "score": 0.9, + "content": "{ \\cal O } ( \\log N )", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 585, + 160, + 599 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 161, + 586, + 226, + 598 + ], + "score": 0.92, + "content": "O ( \\log m \\log N )", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 585, + 505, + 599 + ], + "score": 1.0, + "content": "(as found in Cicalese et al. (2020); Dasgupta et al. (2019)) requires", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 107, + 598, + 209, + 612 + ], + "spans": [ + { + "bbox": [ + 107, + 598, + 172, + 611 + ], + "score": 0.91, + "content": "\\widetilde \\Omega ( d ^ { * } \\ln ( m / d ^ { * } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 598, + 209, + 612 + ], + "score": 1.0, + "content": "queries.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36, + "bbox_fs": [ + 105, + 573, + 506, + 612 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 615, + 504, + 662 + ], + "lines": [ + { + "bbox": [ + 106, + 615, + 504, + 628 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 466, + 628 + ], + "score": 1.0, + "content": "We now present a computational hardness lower bound on finding a subset with a small", + "type": "text" + }, + { + "bbox": [ + 466, + 616, + 504, + 628 + ], + "score": 0.92, + "content": "o ( \\log N )", + "type": "inline_equation" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 627, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 415, + 641 + ], + "score": 1.0, + "content": "approximation ratio to optimal, even with unlimited learner queries so that", + "type": "text" + }, + { + "bbox": [ + 415, + 627, + 425, + 639 + ], + "score": 0.85, + "content": "\\overline { { \\mathcal { H } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 628, + 506, + 641 + ], + "score": 1.0, + "content": "could be explicitly", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 640, + 506, + 652 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 652 + ], + "score": 1.0, + "content": "constructed. This result is a straightforward application of the following theorem to the set cover", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 650, + 242, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 242, + 663 + ], + "score": 1.0, + "content": "equivalence of machine teaching.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 615, + 506, + 663 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 664, + 504, + 689 + ], + "lines": [ + { + "bbox": [ + 106, + 664, + 505, + 677 + ], + "spans": [ + { + "bbox": [ + 106, + 664, + 365, + 677 + ], + "score": 1.0, + "content": "Theorem 4 ((Theorem 4.4 from Feige (1998)). If there is some", + "type": "text" + }, + { + "bbox": [ + 365, + 666, + 389, + 675 + ], + "score": 0.88, + "content": "\\epsilon > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 664, + 505, + 677 + ], + "score": 1.0, + "content": "such that a polynomial time", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 676, + 464, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 283, + 689 + ], + "score": 1.0, + "content": "algorithm can approximate set cover within", + "type": "text" + }, + { + "bbox": [ + 284, + 677, + 331, + 689 + ], + "score": 0.94, + "content": "( 1 - \\epsilon ) \\ln n", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 676, + 353, + 689 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 354, + 676, + 459, + 689 + ], + "score": 0.88, + "content": "N P \\subset T I M E { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 676, + 464, + 689 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42.5, + "bbox_fs": [ + 105, + 664, + 505, + 689 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 697, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 356, + 710 + ], + "score": 1.0, + "content": "Let us interpret this result. For set cover instances, the “size”", + "type": "text" + }, + { + "bbox": [ + 356, + 699, + 363, + 707 + ], + "score": 0.77, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 698, + 505, + 710 + ], + "score": 1.0, + "content": "of a problem is measured in terms", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 708, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 238, + 721 + ], + "score": 1.0, + "content": "of the number of elements, our", + "type": "text" + }, + { + "bbox": [ + 239, + 709, + 249, + 718 + ], + "score": 0.81, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 708, + 343, + 721 + ], + "score": 1.0, + "content": ". Feige (1998) defines", + "type": "text" + }, + { + "bbox": [ + 344, + 708, + 396, + 720 + ], + "score": 0.79, + "content": "\\mathrm { T I M E } ( f ( n ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 708, + 505, + 721 + ], + "score": 1.0, + "content": "to be the set of problems", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 104, + 717, + 506, + 735 + ], + "spans": [ + { + "bbox": [ + 104, + 717, + 153, + 735 + ], + "score": 1.0, + "content": "solvable in", + "type": "text" + }, + { + "bbox": [ + 153, + 720, + 174, + 732 + ], + "score": 0.92, + "content": "f ( n )", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 717, + 322, + 735 + ], + "score": 1.0, + "content": "(determnistic) time. The conclusion", + "type": "text" + }, + { + "bbox": [ + 323, + 720, + 430, + 732 + ], + "score": 0.82, + "content": "{ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 717, + 506, + 735 + ], + "score": 1.0, + "content": "is slightly weaker", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 80, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 126, + 96 + ], + "score": 1.0, + "content": "than", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 126, + 81, + 228, + 95 + ], + "score": 0.9, + "content": "{ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } ( n ^ { O ( 1 ) } ) = { \\mathrm { P } }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 229, + 80, + 356, + 96 + ], + "score": 1.0, + "content": "which would imply the famous", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 356, + 83, + 396, + 93 + ], + "score": 0.91, + "content": "P = N P", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 396, + 80, + 506, + 96 + ], + "score": 1.0, + "content": ". All the same, if it were to", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 92, + 507, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 165, + 108 + ], + "score": 1.0, + "content": "be shown that", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 165, + 94, + 273, + 107 + ], + "score": 0.82, + "content": "{ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 274, + 92, + 507, + 108 + ], + "score": 1.0, + "content": ", it would revolutionize complexity theory, and thus, it is", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 443, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 443, + 118 + ], + "score": 1.0, + "content": "doubtful that such a statement can be shown to be true without significant obstacles.", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 45, + "bbox_fs": [ + 104, + 698, + 506, + 735 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 81, + 505, + 117 + ], + "lines": [ + { + "bbox": [ + 105, + 80, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 126, + 96 + ], + "score": 1.0, + "content": "than", + "type": "text" + }, + { + "bbox": [ + 126, + 81, + 228, + 95 + ], + "score": 0.9, + "content": "{ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } ( n ^ { O ( 1 ) } ) = { \\mathrm { P } }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 80, + 356, + 96 + ], + "score": 1.0, + "content": "which would imply the famous", + "type": "text" + }, + { + "bbox": [ + 356, + 83, + 396, + 93 + ], + "score": 0.91, + "content": "P = N P", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 80, + 506, + 96 + ], + "score": 1.0, + "content": ". All the same, if it were to", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 92, + 507, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 92, + 165, + 108 + ], + "score": 1.0, + "content": "be shown that", + "type": "text" + }, + { + "bbox": [ + 165, + 94, + 273, + 107 + ], + "score": 0.82, + "content": "{ \\mathrm { N P } } \\subset { \\mathrm { T I M E } } { \\big ( } n ^ { O ( \\log \\log n ) } { \\big ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 274, + 92, + 507, + 108 + ], + "score": 1.0, + "content": ", it would revolutionize complexity theory, and thus, it is", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 105, + 443, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 443, + 118 + ], + "score": 1.0, + "content": "doubtful that such a statement can be shown to be true without significant obstacles.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 122, + 505, + 158 + ], + "lines": [ + { + "bbox": [ + 106, + 122, + 505, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 505, + 135 + ], + "score": 1.0, + "content": "Then, a direct result of set cover equivalence (Goldman & Kearns, 1995) and Theorem 4", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 133, + 505, + 147 + ], + "spans": [ + { + "bbox": [ + 105, + 133, + 383, + 146 + ], + "score": 1.0, + "content": "Feige (1998) is that approximating machine teaching to within", + "type": "text" + }, + { + "bbox": [ + 383, + 133, + 412, + 147 + ], + "score": 0.93, + "content": "\\textstyle { \\frac { 1 } { 2 } } \\ln N", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 133, + 493, + 146 + ], + "score": 1.0, + "content": "would imply NP", + "type": "text" + }, + { + "bbox": [ + 494, + 134, + 505, + 145 + ], + "score": 0.38, + "content": "\\subset", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 144, + 192, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 145, + 186, + 159 + ], + "score": 0.55, + "content": "\\mathrm { T I M E } \\big ( n ^ { O ( \\log \\log n ) } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 144, + 192, + 160 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + }, + { + "type": "title", + "bbox": [ + 108, + 172, + 274, + 183 + ], + "lines": [ + { + "bbox": [ + 106, + 172, + 276, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 276, + 185 + ], + "score": 1.0, + "content": "4.4 ERROR SQUASHING FRAMEWORK", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 192, + 505, + 259 + ], + "lines": [ + { + "bbox": [ + 104, + 191, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 104, + 191, + 506, + 207 + ], + "score": 1.0, + "content": "In a nutshell, our framework consists of defining a general condition for a learner, defining a teaching", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 203, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 104, + 203, + 506, + 218 + ], + "score": 1.0, + "content": "set definition for non-interpolating learners, then showing that achieving such a teaching set reduces,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "by way of error squashing, to a standard set cover problem (if the learner meets the condition). This", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 226, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 505, + 239 + ], + "score": 1.0, + "content": "means that the error squashing technique effortlessly converts any machine teaching algorithm for", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "interpolating learners to a machine teaching algorithm for non-interpolating learners, which inherits", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 247, + 383, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 247, + 383, + 260 + ], + "score": 1.0, + "content": "the same theoretical guarantees, albeit with a larger hypothesis class.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5 + }, + { + "type": "title", + "bbox": [ + 106, + 272, + 357, + 282 + ], + "lines": [ + { + "bbox": [ + 106, + 271, + 358, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 271, + 358, + 284 + ], + "score": 1.0, + "content": "4.4.1 LEARNERS INVARIANT TO CONSISTENT ADDITIONS", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 290, + 504, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 291, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 303 + ], + "score": 1.0, + "content": "In this section, we first define a general condition on a learner: if a learner trained on a dataset", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "score": 1.0, + "content": "correctly predicts a point, then additionally including that point in the dataset does not change the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 313, + 208, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 208, + 325 + ], + "score": 1.0, + "content": "the learner’s predictions.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 105, + 327, + 504, + 351 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "Definition 2 (Invariant to consistent additions). We say a learner is invariant to consistent additions", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 338, + 446, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 186, + 351 + ], + "score": 0.84, + "content": "i f \\forall D \\subset \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 338, + 190, + 352 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 190, + 339, + 219, + 350 + ], + "score": 0.64, + "content": "x \\subset \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 338, + 222, + 352 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 223, + 339, + 250, + 351 + ], + "score": 0.73, + "content": "y \\subset \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 338, + 254, + 352 + ], + "score": 1.0, + "content": ":", + "type": "text" + }, + { + "bbox": [ + 255, + 339, + 442, + 351 + ], + "score": 0.88, + "content": "L ( D ) ( x ) = y \\implies L ( D ) = L ( D \\cup \\{ ( x , y ) \\} )", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 338, + 446, + 352 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 105, + 359, + 503, + 382 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 504, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 504, + 372 + ], + "score": 1.0, + "content": "Intuitively, for models that minimize error, adding a point with zero loss will not change the model.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 370, + 301, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 301, + 384 + ], + "score": 1.0, + "content": "In particular, we have the following proposition:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + }, + { + "type": "text", + "bbox": [ + 108, + 386, + 440, + 397 + ], + "lines": [ + { + "bbox": [ + 106, + 385, + 442, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 442, + 399 + ], + "score": 1.0, + "content": "Proposition 1. A ranked minimal error learner is invariant to consistent additions.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 108, + 406, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 505, + 419 + ], + "score": 1.0, + "content": "The proof of Proposition 1 can be found in Appendix F. The invariance to consistent additions is", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 418, + 445, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 445, + 430 + ], + "score": 1.0, + "content": "more general than ranked minimal error learners: see an example in Appendix F.7.1.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5 + }, + { + "type": "title", + "bbox": [ + 108, + 442, + 289, + 452 + ], + "lines": [ + { + "bbox": [ + 106, + 442, + 290, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 290, + 454 + ], + "score": 1.0, + "content": "4.4.2 ERROR INCLUSIVE TEACHING SETS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 461, + 505, + 551 + ], + "lines": [ + { + "bbox": [ + 105, + 461, + 504, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 493, + 473 + ], + "score": 1.0, + "content": "Recall that error squashing with machine teaching means that when the learner is passed a subset", + "type": "text" + }, + { + "bbox": [ + 493, + 462, + 504, + 472 + ], + "score": 0.86, + "content": "S _ { t }", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 504, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 207, + 484 + ], + "score": 1.0, + "content": "and returns a hypothesis", + "type": "text" + }, + { + "bbox": [ + 207, + 473, + 217, + 483 + ], + "score": 0.87, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 471, + 490, + 484 + ], + "score": 1.0, + "content": ", the teacher acts as if the hypothesis makes no errors on the subset", + "type": "text" + }, + { + "bbox": [ + 491, + 473, + 501, + 483 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 471, + 504, + 484 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 482, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 495 + ], + "score": 1.0, + "content": "Machine teaching algorithms only terminate when the returned hypothesis makes no errors on the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 267, + 506 + ], + "score": 1.0, + "content": "pool, which means that all the errors of", + "type": "text" + }, + { + "bbox": [ + 267, + 494, + 278, + 505 + ], + "score": 0.88, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 493, + 395, + 506 + ], + "score": 1.0, + "content": "are squashed with respect to", + "type": "text" + }, + { + "bbox": [ + 396, + 494, + 406, + 505 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 493, + 506, + 506 + ], + "score": 1.0, + "content": ". For a fixed dataset and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 505, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 191, + 516 + ], + "score": 1.0, + "content": "learner, we say a set", + "type": "text" + }, + { + "bbox": [ + 192, + 505, + 200, + 515 + ], + "score": 0.83, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 505, + 340, + 516 + ], + "score": 1.0, + "content": "is “error inclusive” if all errors of", + "type": "text" + }, + { + "bbox": [ + 340, + 505, + 362, + 517 + ], + "score": 0.93, + "content": "L ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 505, + 406, + 516 + ], + "score": 1.0, + "content": "are inside", + "type": "text" + }, + { + "bbox": [ + 406, + 505, + 414, + 515 + ], + "score": 0.78, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 505, + 505, + 516 + ], + "score": 1.0, + "content": ". Formally, for a fixed", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 103, + 512, + 508, + 532 + ], + "spans": [ + { + "bbox": [ + 103, + 512, + 137, + 532 + ], + "score": 1.0, + "content": "dataset", + "type": "text" + }, + { + "bbox": [ + 137, + 516, + 195, + 528 + ], + "score": 0.92, + "content": "\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 512, + 226, + 532 + ], + "score": 1.0, + "content": ", define", + "type": "text" + }, + { + "bbox": [ + 227, + 515, + 331, + 528 + ], + "score": 0.91, + "content": "L ^ { ( \\mathrm { e r r } ) } : \\mathcal { P } ( [ m ] ) \\mathcal { P } ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 512, + 508, + 532 + ], + "score": 1.0, + "content": "as the set of indices of points where errors", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 526, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 104, + 526, + 274, + 541 + ], + "score": 1.0, + "content": "are made by a learner trained on a subset", + "type": "text" + }, + { + "bbox": [ + 274, + 529, + 282, + 538 + ], + "score": 0.63, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 526, + 285, + 541 + ], + "score": 1.0, + "content": ":", + "type": "text" + }, + { + "bbox": [ + 285, + 527, + 506, + 540 + ], + "score": 0.86, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = \\{ i \\in [ m ] : L ( \\{ ( x _ { i ^ { \\prime } } , y _ { i ^ { \\prime } } ) : i ^ { \\prime } \\in S \\} ) ( x _ { i } ) \\neq", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 538, + 126, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 120, + 551 + ], + "score": 0.88, + "content": "y _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 121, + 538, + 126, + 551 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 106, + 553, + 449, + 565 + ], + "lines": [ + { + "bbox": [ + 106, + 552, + 447, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 293, + 567 + ], + "score": 1.0, + "content": "Definition 3. For a fixed dataset, we say a set", + "type": "text" + }, + { + "bbox": [ + 293, + 554, + 301, + 564 + ], + "score": 0.77, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 301, + 552, + 390, + 567 + ], + "score": 1.0, + "content": "is “error inclusive” if", + "type": "text" + }, + { + "bbox": [ + 391, + 553, + 447, + 566 + ], + "score": 0.85, + "content": "L ^ { ( e r r ) } ( S ) \\subset S", + "type": "inline_equation" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 219, + 587 + ], + "score": 1.0, + "content": "Error inclusivity means that", + "type": "text" + }, + { + "bbox": [ + 220, + 576, + 228, + 585 + ], + "score": 0.79, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 575, + 437, + 587 + ], + "score": 1.0, + "content": "contains the points useful for generalization outside", + "type": "text" + }, + { + "bbox": [ + 437, + 576, + 445, + 585 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 575, + 505, + 587 + ], + "score": 1.0, + "content": ", as well as the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 586, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 505, + 599 + ], + "score": 1.0, + "content": "(presumably) nuisance points that are hard or impossible to classify correctly, such as incorrectly", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "labeled ground truth. An error squashing machine teaching algorithm, if it returns successfully, must", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 608, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 506, + 620 + ], + "score": 1.0, + "content": "return an error inclusive set. An important consequence of error inclusivity is that, for a learner", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 617, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 632 + ], + "score": 1.0, + "content": "invariant to consistent additions, the learner trained on the set will yield the same result as training", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 631, + 191, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 191, + 641 + ], + "score": 1.0, + "content": "on the entire dataset.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 106, + 644, + 504, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 642, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 244, + 658 + ], + "score": 1.0, + "content": "Proposition 2. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 244, + 645, + 252, + 655 + ], + "score": 0.73, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 642, + 424, + 658 + ], + "score": 1.0, + "content": "is invariant to consistent additions. If a set", + "type": "text" + }, + { + "bbox": [ + 424, + 645, + 432, + 655 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 642, + 505, + 658 + ], + "score": 1.0, + "content": "is error inclusive,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 651, + 203, + 670 + ], + "spans": [ + { + "bbox": [ + 107, + 655, + 198, + 668 + ], + "score": 0.91, + "content": "L ^ { ( e r ) } ( S ) = L ^ { ( e r r ) } ( \\dot { [ } \\dot { m } ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 651, + 203, + 670 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "The proof of Proposition 5 is in Appendix F.6. Interpreted further, error inclusivity implies that the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 244, + 701 + ], + "score": 1.0, + "content": "number of errors from training on", + "type": "text" + }, + { + "bbox": [ + 245, + 688, + 252, + 698 + ], + "score": 0.83, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "is the same as the number of errors from training on the entire", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 694, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 104, + 694, + 140, + 714 + ], + "score": 1.0, + "content": "dataset,", + "type": "text" + }, + { + "bbox": [ + 140, + 698, + 241, + 711 + ], + "score": 0.92, + "content": "| L ^ { ( \\mathrm { e r r } ) } ( S ) | = | L ^ { ( \\mathrm { e r r } ) } ( [ \\stackrel { } { m } ] ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 694, + 400, + 714 + ], + "score": 1.0, + "content": ". Furthermore, error inclusivity implies", + "type": "text" + }, + { + "bbox": [ + 401, + 698, + 464, + 711 + ], + "score": 0.93, + "content": "L ^ { \\mathrm { ( e r r ) } } ( [ m ] ) \\stackrel { \\textstyle } { \\subset } S", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 694, + 506, + 714 + ], + "score": 1.0, + "content": ", meaning", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 124, + 723 + ], + "score": 1.0, + "content": "that", + "type": "text" + }, + { + "bbox": [ + 124, + 710, + 132, + 720 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "contains the errors of training on the full dataset. Error inclusivity is a condition on a set that", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 720, + 392, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 392, + 734 + ], + "score": 1.0, + "content": "we will use as the teaching set condition for non-interpolating learners.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44 + } + ], + "page_idx": 5, + "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 2023", + "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": [ + 107, + 81, + 505, + 117 + ], + "lines": [], + "index": 1, + "bbox_fs": [ + 105, + 80, + 507, + 118 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 107, + 122, + 505, + 158 + ], + "lines": [ + { + "bbox": [ + 106, + 122, + 505, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 122, + 505, + 135 + ], + "score": 1.0, + "content": "Then, a direct result of set cover equivalence (Goldman & Kearns, 1995) and Theorem 4", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 133, + 505, + 147 + ], + "spans": [ + { + "bbox": [ + 105, + 133, + 383, + 146 + ], + "score": 1.0, + "content": "Feige (1998) is that approximating machine teaching to within", + "type": "text" + }, + { + "bbox": [ + 383, + 133, + 412, + 147 + ], + "score": 0.93, + "content": "\\textstyle { \\frac { 1 } { 2 } } \\ln N", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 133, + 493, + 146 + ], + "score": 1.0, + "content": "would imply NP", + "type": "text" + }, + { + "bbox": [ + 494, + 134, + 505, + 145 + ], + "score": 0.38, + "content": "\\subset", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 144, + 192, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 145, + 186, + 159 + ], + "score": 0.55, + "content": "\\mathrm { T I M E } \\big ( n ^ { O ( \\log \\log n ) } \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 144, + 192, + 160 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 122, + 505, + 160 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 172, + 274, + 183 + ], + "lines": [ + { + "bbox": [ + 106, + 172, + 276, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 276, + 185 + ], + "score": 1.0, + "content": "4.4 ERROR SQUASHING FRAMEWORK", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 192, + 505, + 259 + ], + "lines": [ + { + "bbox": [ + 104, + 191, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 104, + 191, + 506, + 207 + ], + "score": 1.0, + "content": "In a nutshell, our framework consists of defining a general condition for a learner, defining a teaching", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 203, + 506, + 218 + ], + "spans": [ + { + "bbox": [ + 104, + 203, + 506, + 218 + ], + "score": 1.0, + "content": "set definition for non-interpolating learners, then showing that achieving such a teaching set reduces,", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 505, + 227 + ], + "score": 1.0, + "content": "by way of error squashing, to a standard set cover problem (if the learner meets the condition). This", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 226, + 505, + 239 + ], + "spans": [ + { + "bbox": [ + 105, + 226, + 505, + 239 + ], + "score": 1.0, + "content": "means that the error squashing technique effortlessly converts any machine teaching algorithm for", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "spans": [ + { + "bbox": [ + 105, + 236, + 505, + 249 + ], + "score": 1.0, + "content": "interpolating learners to a machine teaching algorithm for non-interpolating learners, which inherits", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 247, + 383, + 260 + ], + "spans": [ + { + "bbox": [ + 106, + 247, + 383, + 260 + ], + "score": 1.0, + "content": "the same theoretical guarantees, albeit with a larger hypothesis class.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 9.5, + "bbox_fs": [ + 104, + 191, + 506, + 260 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 272, + 357, + 282 + ], + "lines": [ + { + "bbox": [ + 106, + 271, + 358, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 271, + 358, + 284 + ], + "score": 1.0, + "content": "4.4.1 LEARNERS INVARIANT TO CONSISTENT ADDITIONS", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 290, + 504, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 291, + 506, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 506, + 303 + ], + "score": 1.0, + "content": "In this section, we first define a general condition on a learner: if a learner trained on a dataset", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "spans": [ + { + "bbox": [ + 106, + 302, + 505, + 314 + ], + "score": 1.0, + "content": "correctly predicts a point, then additionally including that point in the dataset does not change the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 313, + 208, + 325 + ], + "spans": [ + { + "bbox": [ + 106, + 313, + 208, + 325 + ], + "score": 1.0, + "content": "the learner’s predictions.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15, + "bbox_fs": [ + 105, + 291, + 506, + 325 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 327, + 504, + 351 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 340 + ], + "score": 1.0, + "content": "Definition 2 (Invariant to consistent additions). We say a learner is invariant to consistent additions", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 338, + 446, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 186, + 351 + ], + "score": 0.84, + "content": "i f \\forall D \\subset \\mathcal { P } ( \\mathcal { X } \\times \\mathcal { Y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 338, + 190, + 352 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 190, + 339, + 219, + 350 + ], + "score": 0.64, + "content": "x \\subset \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 338, + 222, + 352 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 223, + 339, + 250, + 351 + ], + "score": 0.73, + "content": "y \\subset \\mathcal { V }", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 338, + 254, + 352 + ], + "score": 1.0, + "content": ":", + "type": "text" + }, + { + "bbox": [ + 255, + 339, + 442, + 351 + ], + "score": 0.88, + "content": "L ( D ) ( x ) = y \\implies L ( D ) = L ( D \\cup \\{ ( x , y ) \\} )", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 338, + 446, + 352 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 327, + 505, + 352 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 359, + 503, + 382 + ], + "lines": [ + { + "bbox": [ + 105, + 359, + 504, + 372 + ], + "spans": [ + { + "bbox": [ + 105, + 359, + 504, + 372 + ], + "score": 1.0, + "content": "Intuitively, for models that minimize error, adding a point with zero loss will not change the model.", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 370, + 301, + 384 + ], + "spans": [ + { + "bbox": [ + 105, + 370, + 301, + 384 + ], + "score": 1.0, + "content": "In particular, we have the following proposition:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5, + "bbox_fs": [ + 105, + 359, + 504, + 384 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 386, + 440, + 397 + ], + "lines": [ + { + "bbox": [ + 106, + 385, + 442, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 442, + 399 + ], + "score": 1.0, + "content": "Proposition 1. A ranked minimal error learner is invariant to consistent additions.", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21, + "bbox_fs": [ + 106, + 385, + 442, + 399 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 406, + 505, + 429 + ], + "lines": [ + { + "bbox": [ + 106, + 406, + 505, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 505, + 419 + ], + "score": 1.0, + "content": "The proof of Proposition 1 can be found in Appendix F. The invariance to consistent additions is", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 418, + 445, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 445, + 430 + ], + "score": 1.0, + "content": "more general than ranked minimal error learners: see an example in Appendix F.7.1.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5, + "bbox_fs": [ + 106, + 406, + 505, + 430 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 442, + 289, + 452 + ], + "lines": [ + { + "bbox": [ + 106, + 442, + 290, + 454 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 290, + 454 + ], + "score": 1.0, + "content": "4.4.2 ERROR INCLUSIVE TEACHING SETS", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 107, + 461, + 505, + 551 + ], + "lines": [ + { + "bbox": [ + 105, + 461, + 504, + 473 + ], + "spans": [ + { + "bbox": [ + 105, + 461, + 493, + 473 + ], + "score": 1.0, + "content": "Recall that error squashing with machine teaching means that when the learner is passed a subset", + "type": "text" + }, + { + "bbox": [ + 493, + 462, + 504, + 472 + ], + "score": 0.86, + "content": "S _ { t }", + "type": "inline_equation" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 471, + 504, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 207, + 484 + ], + "score": 1.0, + "content": "and returns a hypothesis", + "type": "text" + }, + { + "bbox": [ + 207, + 473, + 217, + 483 + ], + "score": 0.87, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 471, + 490, + 484 + ], + "score": 1.0, + "content": ", the teacher acts as if the hypothesis makes no errors on the subset", + "type": "text" + }, + { + "bbox": [ + 491, + 473, + 501, + 483 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 471, + 504, + 484 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 482, + 505, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 482, + 505, + 495 + ], + "score": 1.0, + "content": "Machine teaching algorithms only terminate when the returned hypothesis makes no errors on the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 493, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 493, + 267, + 506 + ], + "score": 1.0, + "content": "pool, which means that all the errors of", + "type": "text" + }, + { + "bbox": [ + 267, + 494, + 278, + 505 + ], + "score": 0.88, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 493, + 395, + 506 + ], + "score": 1.0, + "content": "are squashed with respect to", + "type": "text" + }, + { + "bbox": [ + 396, + 494, + 406, + 505 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 406, + 493, + 506, + 506 + ], + "score": 1.0, + "content": ". For a fixed dataset and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 505, + 505, + 517 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 191, + 516 + ], + "score": 1.0, + "content": "learner, we say a set", + "type": "text" + }, + { + "bbox": [ + 192, + 505, + 200, + 515 + ], + "score": 0.83, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 505, + 340, + 516 + ], + "score": 1.0, + "content": "is “error inclusive” if all errors of", + "type": "text" + }, + { + "bbox": [ + 340, + 505, + 362, + 517 + ], + "score": 0.93, + "content": "L ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 505, + 406, + 516 + ], + "score": 1.0, + "content": "are inside", + "type": "text" + }, + { + "bbox": [ + 406, + 505, + 414, + 515 + ], + "score": 0.78, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 505, + 505, + 516 + ], + "score": 1.0, + "content": ". Formally, for a fixed", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 103, + 512, + 508, + 532 + ], + "spans": [ + { + "bbox": [ + 103, + 512, + 137, + 532 + ], + "score": 1.0, + "content": "dataset", + "type": "text" + }, + { + "bbox": [ + 137, + 516, + 195, + 528 + ], + "score": 0.92, + "content": "\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 512, + 226, + 532 + ], + "score": 1.0, + "content": ", define", + "type": "text" + }, + { + "bbox": [ + 227, + 515, + 331, + 528 + ], + "score": 0.91, + "content": "L ^ { ( \\mathrm { e r r } ) } : \\mathcal { P } ( [ m ] ) \\mathcal { P } ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 332, + 512, + 508, + 532 + ], + "score": 1.0, + "content": "as the set of indices of points where errors", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 104, + 526, + 506, + 541 + ], + "spans": [ + { + "bbox": [ + 104, + 526, + 274, + 541 + ], + "score": 1.0, + "content": "are made by a learner trained on a subset", + "type": "text" + }, + { + "bbox": [ + 274, + 529, + 282, + 538 + ], + "score": 0.63, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 526, + 285, + 541 + ], + "score": 1.0, + "content": ":", + "type": "text" + }, + { + "bbox": [ + 285, + 527, + 506, + 540 + ], + "score": 0.86, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = \\{ i \\in [ m ] : L ( \\{ ( x _ { i ^ { \\prime } } , y _ { i ^ { \\prime } } ) : i ^ { \\prime } \\in S \\} ) ( x _ { i } ) \\neq", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 538, + 126, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 120, + 551 + ], + "score": 0.88, + "content": "y _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 121, + 538, + 126, + 551 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 28.5, + "bbox_fs": [ + 103, + 461, + 508, + 551 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 553, + 449, + 565 + ], + "lines": [ + { + "bbox": [ + 106, + 552, + 447, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 293, + 567 + ], + "score": 1.0, + "content": "Definition 3. For a fixed dataset, we say a set", + "type": "text" + }, + { + "bbox": [ + 293, + 554, + 301, + 564 + ], + "score": 0.77, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 301, + 552, + 390, + 567 + ], + "score": 1.0, + "content": "is “error inclusive” if", + "type": "text" + }, + { + "bbox": [ + 391, + 553, + 447, + 566 + ], + "score": 0.85, + "content": "L ^ { ( e r r ) } ( S ) \\subset S", + "type": "inline_equation" + } + ], + "index": 33 + } + ], + "index": 33, + "bbox_fs": [ + 106, + 552, + 447, + 567 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 574, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 575, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 575, + 219, + 587 + ], + "score": 1.0, + "content": "Error inclusivity means that", + "type": "text" + }, + { + "bbox": [ + 220, + 576, + 228, + 585 + ], + "score": 0.79, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 575, + 437, + 587 + ], + "score": 1.0, + "content": "contains the points useful for generalization outside", + "type": "text" + }, + { + "bbox": [ + 437, + 576, + 445, + 585 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 575, + 505, + 587 + ], + "score": 1.0, + "content": ", as well as the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 586, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 505, + 599 + ], + "score": 1.0, + "content": "(presumably) nuisance points that are hard or impossible to classify correctly, such as incorrectly", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 597, + 505, + 610 + ], + "score": 1.0, + "content": "labeled ground truth. An error squashing machine teaching algorithm, if it returns successfully, must", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 608, + 506, + 620 + ], + "spans": [ + { + "bbox": [ + 105, + 608, + 506, + 620 + ], + "score": 1.0, + "content": "return an error inclusive set. An important consequence of error inclusivity is that, for a learner", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 617, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 617, + 505, + 632 + ], + "score": 1.0, + "content": "invariant to consistent additions, the learner trained on the set will yield the same result as training", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 106, + 631, + 191, + 641 + ], + "spans": [ + { + "bbox": [ + 106, + 631, + 191, + 641 + ], + "score": 1.0, + "content": "on the entire dataset.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 575, + 506, + 641 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 644, + 504, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 642, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 244, + 658 + ], + "score": 1.0, + "content": "Proposition 2. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 244, + 645, + 252, + 655 + ], + "score": 0.73, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 642, + 424, + 658 + ], + "score": 1.0, + "content": "is invariant to consistent additions. If a set", + "type": "text" + }, + { + "bbox": [ + 424, + 645, + 432, + 655 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 642, + 505, + 658 + ], + "score": 1.0, + "content": "is error inclusive,", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 651, + 203, + 670 + ], + "spans": [ + { + "bbox": [ + 107, + 655, + 198, + 668 + ], + "score": 0.91, + "content": "L ^ { ( e r ) } ( S ) = L ^ { ( e r r ) } ( \\dot { [ } \\dot { m } ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 651, + 203, + 670 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 642, + 505, + 670 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 676, + 506, + 690 + ], + "spans": [ + { + "bbox": [ + 106, + 676, + 506, + 690 + ], + "score": 1.0, + "content": "The proof of Proposition 5 is in Appendix F.6. Interpreted further, error inclusivity implies that the", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 244, + 701 + ], + "score": 1.0, + "content": "number of errors from training on", + "type": "text" + }, + { + "bbox": [ + 245, + 688, + 252, + 698 + ], + "score": 0.83, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "is the same as the number of errors from training on the entire", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 104, + 694, + 506, + 714 + ], + "spans": [ + { + "bbox": [ + 104, + 694, + 140, + 714 + ], + "score": 1.0, + "content": "dataset,", + "type": "text" + }, + { + "bbox": [ + 140, + 698, + 241, + 711 + ], + "score": 0.92, + "content": "| L ^ { ( \\mathrm { e r r } ) } ( S ) | = | L ^ { ( \\mathrm { e r r } ) } ( [ \\stackrel { } { m } ] ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 694, + 400, + 714 + ], + "score": 1.0, + "content": ". Furthermore, error inclusivity implies", + "type": "text" + }, + { + "bbox": [ + 401, + 698, + 464, + 711 + ], + "score": 0.93, + "content": "L ^ { \\mathrm { ( e r r ) } } ( [ m ] ) \\stackrel { \\textstyle } { \\subset } S", + "type": "inline_equation" + }, + { + "bbox": [ + 464, + 694, + 506, + 714 + ], + "score": 1.0, + "content": ", meaning", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 709, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 124, + 723 + ], + "score": 1.0, + "content": "that", + "type": "text" + }, + { + "bbox": [ + 124, + 710, + 132, + 720 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 709, + 506, + 723 + ], + "score": 1.0, + "content": "contains the errors of training on the full dataset. Error inclusivity is a condition on a set that", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 105, + 720, + 392, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 720, + 392, + 734 + ], + "score": 1.0, + "content": "we will use as the teaching set condition for non-interpolating learners.", + "type": "text" + } + ], + "index": 46 + } + ], + "index": 44, + "bbox_fs": [ + 104, + 676, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 505, + 149 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 505, + 95 + ], + "score": 1.0, + "content": "Note that Cicalese et al. (2020) introduce another teaching set condition for non-interpolating learn-", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 123, + 106 + ], + "score": 1.0, + "content": "ers,", + "type": "text" + }, + { + "bbox": [ + 123, + 94, + 130, + 104 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 94, + 340, + 106 + ], + "score": 1.0, + "content": "-extended teaching sets. In Appendix F, we compare", + "type": "text" + }, + { + "bbox": [ + 340, + 94, + 347, + 104 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 94, + 505, + 106 + ], + "score": 1.0, + "content": "-extended teaching sets and error inclu-", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 104, + 505, + 117 + ], + "score": 1.0, + "content": "sive teaching sets for ranked minimal errors. We find they are remarkably similar, though neither is", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 116, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 367, + 127 + ], + "score": 1.0, + "content": "stronger than the other: there exist examples where the smallest", + "type": "text" + }, + { + "bbox": [ + 368, + 116, + 375, + 125 + ], + "score": 0.83, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 116, + 505, + 127 + ], + "score": 1.0, + "content": "-extended teaching set is of size", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 125, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 107, + 126, + 132, + 138 + ], + "score": 0.92, + "content": "\\Theta ( m )", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 125, + 313, + 139 + ], + "score": 1.0, + "content": "but there exists an error inclusive set of size", + "type": "text" + }, + { + "bbox": [ + 314, + 126, + 335, + 138 + ], + "score": 0.89, + "content": "\\Theta ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 125, + 506, + 139 + ], + "score": 1.0, + "content": ", and vice versa. However, we show error", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 326, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 326, + 149 + ], + "score": 1.0, + "content": "inclusive sets are much easier to design algorithms for.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5 + }, + { + "type": "title", + "bbox": [ + 107, + 160, + 242, + 172 + ], + "lines": [ + { + "bbox": [ + 106, + 160, + 243, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 243, + 172 + ], + "score": 1.0, + "content": "4.4.3 EXTENDED ERROR SETS", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 179, + 505, + 257 + ], + "lines": [ + { + "bbox": [ + 106, + 180, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 506, + 192 + ], + "score": 1.0, + "content": "Recall that in the context of machine teaching with interpolating learners, we define the errors of a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 190, + 505, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 162, + 203 + ], + "score": 1.0, + "content": "hypothesis as", + "type": "text" + }, + { + "bbox": [ + 162, + 191, + 281, + 203 + ], + "score": 0.93, + "content": "E _ { h } = \\left\\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 191, + 311, + 203 + ], + "score": 1.0, + "content": "and let", + "type": "text" + }, + { + "bbox": [ + 311, + 190, + 413, + 203 + ], + "score": 0.92, + "content": "\\mathcal { E } = \\dot { \\{ E _ { h } : h \\in \\overline { { \\mathcal { H } } } \\} } - \\{ \\varnothing \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 191, + 505, + 203 + ], + "score": 1.0, + "content": "be the error sets. Then", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 201, + 505, + 215 + ], + "spans": [ + { + "bbox": [ + 104, + 201, + 127, + 215 + ], + "score": 1.0, + "content": "a set", + "type": "text" + }, + { + "bbox": [ + 127, + 202, + 162, + 214 + ], + "score": 0.91, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 201, + 260, + 215 + ], + "score": 1.0, + "content": "is a valid teaching set if", + "type": "text" + }, + { + "bbox": [ + 261, + 203, + 268, + 212 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 201, + 331, + 215 + ], + "score": 1.0, + "content": "fully intersects", + "type": "text" + }, + { + "bbox": [ + 331, + 203, + 338, + 212 + ], + "score": 0.78, + "content": "\\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 201, + 448, + 215 + ], + "score": 1.0, + "content": "(intersects each element of", + "type": "text" + }, + { + "bbox": [ + 449, + 202, + 456, + 212 + ], + "score": 0.76, + "content": "\\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 201, + 505, + 215 + ], + "score": 1.0, + "content": "). Similarly,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 212, + 505, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 355, + 226 + ], + "score": 1.0, + "content": "black-box machine teaching is like a game where elements of", + "type": "text" + }, + { + "bbox": [ + 355, + 213, + 362, + 223 + ], + "score": 0.79, + "content": "\\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 212, + 505, + 226 + ], + "score": 1.0, + "content": "are revealed by learner queries and", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 223, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 148, + 236 + ], + "score": 1.0, + "content": "a solution", + "type": "text" + }, + { + "bbox": [ + 148, + 223, + 183, + 235 + ], + "score": 0.92, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 224, + 506, + 236 + ], + "score": 1.0, + "content": "must intersect every element. In fact, there is an equivalence between these two", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 235, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 106, + 235, + 505, + 247 + ], + "score": 1.0, + "content": "views, observed in Goldman & Kearns (1995) as the relationship between set cover and machine", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 246, + 345, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 345, + 258 + ], + "score": 1.0, + "content": "teaching. For a more complete exposition, see Appendix F.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 107, + 261, + 505, + 307 + ], + "lines": [ + { + "bbox": [ + 104, + 260, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 104, + 260, + 239, + 276 + ], + "score": 1.0, + "content": "Define the extended error sets as", + "type": "text" + }, + { + "bbox": [ + 240, + 262, + 397, + 275 + ], + "score": 0.92, + "content": "{ \\mathcal { E } } ^ { + } = \\{ L ^ { \\mathrm { ( e r r ) } } ( S ) \\setminus S : S \\subset [ m ] \\} - \\{ \\emptyset \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 260, + 506, + 276 + ], + "score": 1.0, + "content": ". For interpolating models,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 272, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 141, + 284 + ], + "score": 0.91, + "content": "{ \\mathcal { E } } ^ { + } = { \\mathcal { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 272, + 208, + 287 + ], + "score": 1.0, + "content": ". If we find a set", + "type": "text" + }, + { + "bbox": [ + 208, + 273, + 244, + 286 + ], + "score": 0.92, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 272, + 325, + 287 + ], + "score": 1.0, + "content": "that fully intersects", + "type": "text" + }, + { + "bbox": [ + 325, + 274, + 338, + 284 + ], + "score": 0.87, + "content": "{ \\mathcal { E } } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 272, + 506, + 287 + ], + "score": 1.0, + "content": ", we are guaranteed that when the learner", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 285, + 504, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 160, + 297 + ], + "score": 1.0, + "content": "is trained on", + "type": "text" + }, + { + "bbox": [ + 160, + 285, + 168, + 295 + ], + "score": 0.8, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 285, + 309, + 297 + ], + "score": 1.0, + "content": ", there will be no errors outside of", + "type": "text" + }, + { + "bbox": [ + 309, + 285, + 317, + 294 + ], + "score": 0.72, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 285, + 323, + 297 + ], + "score": 1.0, + "content": ":", + "type": "text" + }, + { + "bbox": [ + 323, + 285, + 331, + 294 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 285, + 504, + 297 + ], + "score": 1.0, + "content": "is error inclusive. Not only this, we show", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 294, + 373, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 227, + 309 + ], + "score": 1.0, + "content": "that, in fact, fully intersecting", + "type": "text" + }, + { + "bbox": [ + 227, + 295, + 241, + 306 + ], + "score": 0.88, + "content": "{ \\mathcal { E } } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 294, + 373, + 309 + ], + "score": 1.0, + "content": "is equivalent to error inclusivity.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 107, + 309, + 502, + 332 + ], + "lines": [ + { + "bbox": [ + 105, + 308, + 504, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 420, + 322 + ], + "score": 1.0, + "content": "Proposition 3. Fix a dataset. If a learner is invariant to consistent additions,", + "type": "text" + }, + { + "bbox": [ + 420, + 310, + 428, + 320 + ], + "score": 0.63, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 308, + 489, + 322 + ], + "score": 1.0, + "content": "fully intersects", + "type": "text" + }, + { + "bbox": [ + 490, + 309, + 504, + 320 + ], + "score": 0.84, + "content": "{ \\mathcal { E } } ^ { + }", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 321, + 241, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 321, + 159, + 333 + ], + "score": 1.0, + "content": "if and only if", + "type": "text" + }, + { + "bbox": [ + 160, + 321, + 168, + 331 + ], + "score": 0.63, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 321, + 241, + 333 + ], + "score": 1.0, + "content": "is error inclusive.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 107, + 340, + 505, + 407 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "score": 1.0, + "content": "Thus, we show that (for learners invariant to consistent additions) the error squashing technique", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 352, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 365 + ], + "score": 1.0, + "content": "converts machine teaching with non-interpolating learners to set cover, though of an expanded set.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 363, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 505, + 375 + ], + "score": 1.0, + "content": "Then, black-box machine teaching algorithms (which are online set cover algorithms in disguise)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 374, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 387, + 387 + ], + "score": 1.0, + "content": "can be run with the same theoretical guarantees, though with a larger", + "type": "text" + }, + { + "bbox": [ + 387, + 374, + 397, + 384 + ], + "score": 0.68, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 374, + 506, + 387 + ], + "score": 1.0, + "content": ". Note that the same is not", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 384, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 135, + 398 + ], + "score": 1.0, + "content": "true of", + "type": "text" + }, + { + "bbox": [ + 135, + 385, + 141, + 395 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 384, + 506, + 398 + ], + "score": 1.0, + "content": "-extended teaching sets (Cicalese et al., 2020) which require solving “generalized set cover”", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 396, + 471, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 471, + 408 + ], + "score": 1.0, + "content": "that is harder to design algorithms for (e.g. Cicalese et al. (2020) does not implement any).", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5 + }, + { + "type": "title", + "bbox": [ + 108, + 423, + 200, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 422, + 201, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 201, + 438 + ], + "score": 1.0, + "content": "5 EXPERIMENTS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 106, + 447, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 505, + 461 + ], + "score": 1.0, + "content": "We evaluate 7 subset selection methods: Random sampling, Entropy sampling (Lewis & Gale,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 458, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 505, + 472 + ], + "score": 1.0, + "content": "1994), Forgetting events (Toneva et al., 2018), GraNd (Paul et al., 2021), DHPZ (Dasgupta et al.,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "2019), CFLM (Cicalese et al., 2020), and our introduced algorithm. Although there are many core-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "set selection techniques, we focused on the methods that achieve the highest accuracy regardless of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "computation cost. We compare to Entropy, Forgetting, and GraNd as the coreset selection methods", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "because they perform the best in the evaluation on CIFAR10 by Guo et al. (2022) in our dataset", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 466, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 185, + 526 + ], + "score": 1.0, + "content": "subset size regime", + "type": "text" + }, + { + "bbox": [ + 185, + 514, + 205, + 524 + ], + "score": 0.83, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 514, + 216, + 526 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 216, + 514, + 236, + 524 + ], + "score": 0.86, + "content": "60 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 514, + 466, + 526 + ], + "score": 1.0, + "content": "of CIFAR10). More details can be found in Appendix B.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 575 + ], + "lines": [ + { + "bbox": [ + 105, + 528, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 544 + ], + "score": 1.0, + "content": "We compare results on 6 common image datasets (all but CINIC101 retrieved using", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "torchvision) and use the predefined train/test splits. The six datasets are: CIFAR10", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 552, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 564 + ], + "score": 1.0, + "content": "(Krizhevsky, 2009), CIFAR100 (Krizhevsky, 2009), CINIC10 (Darlow et al., 2018), FashionMNIST", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 563, + 459, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 459, + 576 + ], + "score": 1.0, + "content": "(FMNIST) (Xiao et al., 2017), MNIST (LeCun, 1998), and SVHN (Netzer et al., 2011).", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 35.5 + }, + { + "type": "text", + "bbox": [ + 107, + 580, + 505, + 647 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 594 + ], + "score": 1.0, + "content": "We evaluate using three architectures: Myrtle, VGG, and ResNet10. Myrtle was created by Page", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 590, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 506, + 605 + ], + "score": 1.0, + "content": "(2018) by stripping away parts of ResNet and modifying the training procedure while balancing", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 602, + 504, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 484, + 615 + ], + "score": 1.0, + "content": "between training speed and accuracy on CIFAR-10. The end result is a network that achieves", + "type": "text" + }, + { + "bbox": [ + 484, + 603, + 504, + 613 + ], + "score": 0.83, + "content": "96 \\%", + "type": "inline_equation" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "on CIFAR-10 in three minutes of training time. VGG (Simonyan & Zisserman, 2015) and ResNet10", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 623, + 506, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 638 + ], + "score": 1.0, + "content": "(He et al., 2016) are created according to a common pytorch library for the CIFAR datasets2. More", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 635, + 395, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 395, + 648 + ], + "score": 1.0, + "content": "details including training hyperparameters can be found in Appendix B.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5 + }, + { + "type": "title", + "bbox": [ + 107, + 660, + 170, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 659, + 171, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 171, + 673 + ], + "score": 1.0, + "content": "5.1 RESULTS", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 108, + 680, + 504, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 680, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 505, + 693 + ], + "score": 1.0, + "content": "We first show results (see Figure 1) for the seven methods on all six datasets with one of the architec-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 691, + 505, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 691, + 505, + 704 + ], + "score": 1.0, + "content": "tures, ResNet10. 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We find they are remarkably similar, though neither is", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 116, + 505, + 127 + ], + "spans": [ + { + "bbox": [ + 106, + 116, + 367, + 127 + ], + "score": 1.0, + "content": "stronger than the other: there exist examples where the smallest", + "type": "text" + }, + { + "bbox": [ + 368, + 116, + 375, + 125 + ], + "score": 0.83, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 116, + 505, + 127 + ], + "score": 1.0, + "content": "-extended teaching set is of size", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 107, + 125, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 107, + 126, + 132, + 138 + ], + "score": 0.92, + "content": "\\Theta ( m )", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 125, + 313, + 139 + ], + "score": 1.0, + "content": "but there exists an error inclusive set of size", + "type": "text" + }, + { + "bbox": [ + 314, + 126, + 335, + 138 + ], + "score": 0.89, + "content": "\\Theta ( 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 125, + 506, + 139 + ], + "score": 1.0, + "content": ", and vice versa. However, we show error", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 138, + 326, + 149 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 326, + 149 + ], + "score": 1.0, + "content": "inclusive sets are much easier to design algorithms for.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 81, + 506, + 149 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 160, + 242, + 172 + ], + "lines": [ + { + "bbox": [ + 106, + 160, + 243, + 172 + ], + "spans": [ + { + "bbox": [ + 106, + 160, + 243, + 172 + ], + "score": 1.0, + "content": "4.4.3 EXTENDED ERROR SETS", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 179, + 505, + 257 + ], + "lines": [ + { + "bbox": [ + 106, + 180, + 506, + 192 + ], + "spans": [ + { + "bbox": [ + 106, + 180, + 506, + 192 + ], + "score": 1.0, + "content": "Recall that in the context of machine teaching with interpolating learners, we define the errors of a", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 190, + 505, + 203 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 162, + 203 + ], + "score": 1.0, + "content": "hypothesis as", + "type": "text" + }, + { + "bbox": [ + 162, + 191, + 281, + 203 + ], + "score": 0.93, + "content": "E _ { h } = \\left\\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 191, + 311, + 203 + ], + "score": 1.0, + "content": "and let", + "type": "text" + }, + { + "bbox": [ + 311, + 190, + 413, + 203 + ], + "score": 0.92, + "content": "\\mathcal { E } = \\dot { \\{ E _ { h } : h \\in \\overline { { \\mathcal { H } } } \\} } - \\{ \\varnothing \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 191, + 505, + 203 + ], + "score": 1.0, + "content": "be the error sets. Then", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 104, + 201, + 505, + 215 + ], + "spans": [ + { + "bbox": [ + 104, + 201, + 127, + 215 + ], + "score": 1.0, + "content": "a set", + "type": "text" + }, + { + "bbox": [ + 127, + 202, + 162, + 214 + ], + "score": 0.91, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 163, + 201, + 260, + 215 + ], + "score": 1.0, + "content": "is a valid teaching set if", + "type": "text" + }, + { + "bbox": [ + 261, + 203, + 268, + 212 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 201, + 331, + 215 + ], + "score": 1.0, + "content": "fully intersects", + "type": "text" + }, + { + "bbox": [ + 331, + 203, + 338, + 212 + ], + "score": 0.78, + "content": "\\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 201, + 448, + 215 + ], + "score": 1.0, + "content": "(intersects each element of", + "type": "text" + }, + { + "bbox": [ + 449, + 202, + 456, + 212 + ], + "score": 0.76, + "content": "\\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 201, + 505, + 215 + ], + "score": 1.0, + "content": "). 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In fact, there is an equivalence between these two", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 235, + 505, + 247 + ], + "spans": [ + { + "bbox": [ + 106, + 235, + 505, + 247 + ], + "score": 1.0, + "content": "views, observed in Goldman & Kearns (1995) as the relationship between set cover and machine", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 246, + 345, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 345, + 258 + ], + "score": 1.0, + "content": "teaching. For a more complete exposition, see Appendix F.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 10, + "bbox_fs": [ + 104, + 180, + 506, + 258 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 261, + 505, + 307 + ], + "lines": [ + { + "bbox": [ + 104, + 260, + 506, + 276 + ], + "spans": [ + { + "bbox": [ + 104, + 260, + 239, + 276 + ], + "score": 1.0, + "content": "Define the extended error sets as", + "type": "text" + }, + { + "bbox": [ + 240, + 262, + 397, + 275 + ], + "score": 0.92, + "content": "{ \\mathcal { E } } ^ { + } = \\{ L ^ { \\mathrm { ( e r r ) } } ( S ) \\setminus S : S \\subset [ m ] \\} - \\{ \\emptyset \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 260, + 506, + 276 + ], + "score": 1.0, + "content": ". For interpolating models,", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 272, + 506, + 287 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 141, + 284 + ], + "score": 0.91, + "content": "{ \\mathcal { E } } ^ { + } = { \\mathcal { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 272, + 208, + 287 + ], + "score": 1.0, + "content": ". If we find a set", + "type": "text" + }, + { + "bbox": [ + 208, + 273, + 244, + 286 + ], + "score": 0.92, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 272, + 325, + 287 + ], + "score": 1.0, + "content": "that fully intersects", + "type": "text" + }, + { + "bbox": [ + 325, + 274, + 338, + 284 + ], + "score": 0.87, + "content": "{ \\mathcal { E } } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 339, + 272, + 506, + 287 + ], + "score": 1.0, + "content": ", we are guaranteed that when the learner", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 285, + 504, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 160, + 297 + ], + "score": 1.0, + "content": "is trained on", + "type": "text" + }, + { + "bbox": [ + 160, + 285, + 168, + 295 + ], + "score": 0.8, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 285, + 309, + 297 + ], + "score": 1.0, + "content": ", there will be no errors outside of", + "type": "text" + }, + { + "bbox": [ + 309, + 285, + 317, + 294 + ], + "score": 0.72, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 285, + 323, + 297 + ], + "score": 1.0, + "content": ":", + "type": "text" + }, + { + "bbox": [ + 323, + 285, + 331, + 294 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 285, + 504, + 297 + ], + "score": 1.0, + "content": "is error inclusive. Not only this, we show", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 294, + 373, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 294, + 227, + 309 + ], + "score": 1.0, + "content": "that, in fact, fully intersecting", + "type": "text" + }, + { + "bbox": [ + 227, + 295, + 241, + 306 + ], + "score": 0.88, + "content": "{ \\mathcal { E } } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 294, + 373, + 309 + ], + "score": 1.0, + "content": "is equivalent to error inclusivity.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5, + "bbox_fs": [ + 104, + 260, + 506, + 309 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 309, + 502, + 332 + ], + "lines": [ + { + "bbox": [ + 105, + 308, + 504, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 308, + 420, + 322 + ], + "score": 1.0, + "content": "Proposition 3. Fix a dataset. If a learner is invariant to consistent additions,", + "type": "text" + }, + { + "bbox": [ + 420, + 310, + 428, + 320 + ], + "score": 0.63, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 428, + 308, + 489, + 322 + ], + "score": 1.0, + "content": "fully intersects", + "type": "text" + }, + { + "bbox": [ + 490, + 309, + 504, + 320 + ], + "score": 0.84, + "content": "{ \\mathcal { E } } ^ { + }", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 321, + 241, + 333 + ], + "spans": [ + { + "bbox": [ + 106, + 321, + 159, + 333 + ], + "score": 1.0, + "content": "if and only if", + "type": "text" + }, + { + "bbox": [ + 160, + 321, + 168, + 331 + ], + "score": 0.63, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 321, + 241, + 333 + ], + "score": 1.0, + "content": "is error inclusive.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 308, + 504, + 333 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 340, + 505, + 407 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 505, + 354 + ], + "score": 1.0, + "content": "Thus, we show that (for learners invariant to consistent additions) the error squashing technique", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 352, + 505, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 352, + 505, + 365 + ], + "score": 1.0, + "content": "converts machine teaching with non-interpolating learners to set cover, though of an expanded set.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 363, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 505, + 375 + ], + "score": 1.0, + "content": "Then, black-box machine teaching algorithms (which are online set cover algorithms in disguise)", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 374, + 506, + 387 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 387, + 387 + ], + "score": 1.0, + "content": "can be run with the same theoretical guarantees, though with a larger", + "type": "text" + }, + { + "bbox": [ + 387, + 374, + 397, + 384 + ], + "score": 0.68, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 397, + 374, + 506, + 387 + ], + "score": 1.0, + "content": ". Note that the same is not", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 384, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 384, + 135, + 398 + ], + "score": 1.0, + "content": "true of", + "type": "text" + }, + { + "bbox": [ + 135, + 385, + 141, + 395 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 384, + 506, + 398 + ], + "score": 1.0, + "content": "-extended teaching sets (Cicalese et al., 2020) which require solving “generalized set cover”", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 396, + 471, + 408 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 471, + 408 + ], + "score": 1.0, + "content": "that is harder to design algorithms for (e.g. Cicalese et al. (2020) does not implement any).", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 340, + 506, + 408 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 423, + 200, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 422, + 201, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 201, + 438 + ], + "score": 1.0, + "content": "5 EXPERIMENTS", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 107, + 448, + 505, + 524 + ], + "lines": [ + { + "bbox": [ + 106, + 447, + 505, + 461 + ], + "spans": [ + { + "bbox": [ + 106, + 447, + 505, + 461 + ], + "score": 1.0, + "content": "We evaluate 7 subset selection methods: Random sampling, Entropy sampling (Lewis & Gale,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 458, + 505, + 472 + ], + "spans": [ + { + "bbox": [ + 105, + 458, + 505, + 472 + ], + "score": 1.0, + "content": "1994), Forgetting events (Toneva et al., 2018), GraNd (Paul et al., 2021), DHPZ (Dasgupta et al.,", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 469, + 506, + 483 + ], + "score": 1.0, + "content": "2019), CFLM (Cicalese et al., 2020), and our introduced algorithm. Although there are many core-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 481, + 506, + 493 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 493 + ], + "score": 1.0, + "content": "set selection techniques, we focused on the methods that achieve the highest accuracy regardless of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 505, + 504 + ], + "score": 1.0, + "content": "computation cost. We compare to Entropy, Forgetting, and GraNd as the coreset selection methods", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "spans": [ + { + "bbox": [ + 106, + 503, + 506, + 515 + ], + "score": 1.0, + "content": "because they perform the best in the evaluation on CIFAR10 by Guo et al. (2022) in our dataset", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 466, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 185, + 526 + ], + "score": 1.0, + "content": "subset size regime", + "type": "text" + }, + { + "bbox": [ + 185, + 514, + 205, + 524 + ], + "score": 0.83, + "content": "20 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 514, + 216, + 526 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 216, + 514, + 236, + 524 + ], + "score": 0.86, + "content": "60 \\%", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 514, + 466, + 526 + ], + "score": 1.0, + "content": "of CIFAR10). More details can be found in Appendix B.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 447, + 506, + 526 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 531, + 505, + 575 + ], + "lines": [ + { + "bbox": [ + 105, + 528, + 506, + 544 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 506, + 544 + ], + "score": 1.0, + "content": "We compare results on 6 common image datasets (all but CINIC101 retrieved using", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 506, + 554 + ], + "score": 1.0, + "content": "torchvision) and use the predefined train/test splits. The six datasets are: CIFAR10", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 552, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 506, + 564 + ], + "score": 1.0, + "content": "(Krizhevsky, 2009), CIFAR100 (Krizhevsky, 2009), CINIC10 (Darlow et al., 2018), FashionMNIST", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 563, + 459, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 563, + 459, + 576 + ], + "score": 1.0, + "content": "(FMNIST) (Xiao et al., 2017), MNIST (LeCun, 1998), and SVHN (Netzer et al., 2011).", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 35.5, + "bbox_fs": [ + 105, + 528, + 506, + 576 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 580, + 505, + 647 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 506, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 506, + 594 + ], + "score": 1.0, + "content": "We evaluate using three architectures: Myrtle, VGG, and ResNet10. Myrtle was created by Page", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 590, + 506, + 605 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 506, + 605 + ], + "score": 1.0, + "content": "(2018) by stripping away parts of ResNet and modifying the training procedure while balancing", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 602, + 504, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 602, + 484, + 615 + ], + "score": 1.0, + "content": "between training speed and accuracy on CIFAR-10. The end result is a network that achieves", + "type": "text" + }, + { + "bbox": [ + 484, + 603, + 504, + 613 + ], + "score": 0.83, + "content": "96 \\%", + "type": "inline_equation" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "spans": [ + { + "bbox": [ + 105, + 613, + 506, + 626 + ], + "score": 1.0, + "content": "on CIFAR-10 in three minutes of training time. VGG (Simonyan & Zisserman, 2015) and ResNet10", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 623, + 506, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 506, + 638 + ], + "score": 1.0, + "content": "(He et al., 2016) are created according to a common pytorch library for the CIFAR datasets2. More", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 635, + 395, + 648 + ], + "spans": [ + { + "bbox": [ + 105, + 635, + 395, + 648 + ], + "score": 1.0, + "content": "details including training hyperparameters can be found in Appendix B.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 578, + 506, + 648 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 660, + 170, + 671 + ], + "lines": [ + { + "bbox": [ + 105, + 659, + 171, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 171, + 673 + ], + "score": 1.0, + "content": "5.1 RESULTS", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 44 + }, + { + "type": "text", + "bbox": [ + 108, + 680, + 504, + 703 + ], + "lines": [ + { + "bbox": [ + 106, + 680, + 505, + 693 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 505, + 693 + ], + "score": 1.0, + "content": "We first show results (see Figure 1) for the seven methods on all six datasets with one of the architec-", + "type": "text" + } + ], + "index": 45 + }, + { + "bbox": [ + 106, + 691, + 505, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 691, + 505, + 704 + ], + "score": 1.0, + "content": "tures, ResNet10. We note that there is a variety of performances from the coreset methods though the", + "type": "text" + } + ], + "index": 46 + }, + { + "bbox": [ + 105, + 487, + 505, + 502 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 505, + 502 + ], + "score": 1.0, + "content": "forgetting events technique consistently performs the best (lower test error). The machine teaching", + "type": "text", + "cross_page": true + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 500, + 425, + 511 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 425, + 511 + ], + "score": 1.0, + "content": "approaches behave similarly to each other, and outperform all coreset methods.", + "type": "text", + "cross_page": true + } + ], + "index": 11 + } + ], + "index": 45.5, + "bbox_fs": [ + 106, + 680, + 505, + 704 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 112, + 82, + 498, + 285 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 112, + 82, + 498, + 285 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 112, + 82, + 498, + 285 + ], + "spans": [ + { + "bbox": [ + 112, + 82, + 498, + 285 + ], + "score": 0.974, + "type": "image", + "image_path": "3c55e01ab7c125ce9945c1ab9804b2116a1636a7244cbc0adfff79bdf2f8143e.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 112, + 82, + 498, + 149.66666666666669 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 112, + 149.66666666666669, + 498, + 217.33333333333337 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 112, + 217.33333333333337, + 498, + 285.00000000000006 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 105, + 295, + 505, + 317 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 293, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 505, + 308 + ], + "score": 1.0, + "content": "Figure 1: Plots for ResNet10 across six datasets. 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A key challenge in", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "that formulation is creating a data selection algorithm that is computationally fast enough to avoid", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 410 + ], + "score": 1.0, + "content": "negating the computational gain of training on less data. 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Dataset入 (DHPZ)Sampling Repeats (CFLM)m(Ours)
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CIFAR1008000160004000
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Dataset入 (DHPZ)Sampling Repeats (CFLM)m(Ours)
CIFAR10100020001000
CIFAR1008000160004000
CINIC108000160008000
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FMNIST10002000500
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DatasetDHPZCFLMOurs
CIFAR10128108125
CIFAR100126150146
CINIC10144197201
SVHN768987
FMNIST10573102
MNIST473942
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The number of gradient steps was set to be", + "type": "text" + }, + { + "bbox": [ + 305, + 484, + 337, + 494 + ], + "score": 0.89, + "content": "5 0 \\times m", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 483, + 506, + 497 + ], + "score": 1.0, + "content": "(i.e. 50 epochs for the full training, more", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 494, + 158, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 158, + 507 + ], + "score": 1.0, + "content": "for subsets).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26 + }, + { + "type": "title", + "bbox": [ + 108, + 522, + 271, + 535 + ], + "lines": [ + { + "bbox": [ + 105, + 520, + 273, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 273, + 537 + ], + "score": 1.0, + "content": "C ADDITIONAL EXPERIMENTS", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 546, + 504, + 569 + ], + "lines": [ + { + "bbox": [ + 106, + 545, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 505, + 560 + ], + "score": 1.0, + "content": "We first present the number of iterations for the machine teaching methods with Myrtle and VGG in", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 558, + 190, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 190, + 569 + ], + "score": 1.0, + "content": "Table 3 and Table 4.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 107, + 575, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "This appendix includes the full experimental plots. In the first figure (Figure 4), all three architec-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "tures are run with all six datasets. The following three figures are cross-architecture experiments and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "are grouped by the evaluation architecture. 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DatasetDHPZCFLMOurs
CIFAR10128108125
CIFAR100126150146
CINIC10144197201
SVHN768987
FMNIST10573102
MNIST473942
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Cross entropy loss and a gradient scaler were also", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 483, + 506, + 497 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 304, + 497 + ], + "score": 1.0, + "content": "used. The number of gradient steps was set to be", + "type": "text" + }, + { + "bbox": [ + 305, + 484, + 337, + 494 + ], + "score": 0.89, + "content": "5 0 \\times m", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 483, + 506, + 497 + ], + "score": 1.0, + "content": "(i.e. 50 epochs for the full training, more", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 494, + 158, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 158, + 507 + ], + "score": 1.0, + "content": "for subsets).", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 428, + 506, + 507 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 522, + 271, + 535 + ], + "lines": [ + { + "bbox": [ + 105, + 520, + 273, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 273, + 537 + ], + "score": 1.0, + "content": "C ADDITIONAL EXPERIMENTS", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 106, + 546, + 504, + 569 + ], + "lines": [ + { + "bbox": [ + 106, + 545, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 545, + 505, + 560 + ], + "score": 1.0, + "content": "We first present the number of iterations for the machine teaching methods with Myrtle and VGG in", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 558, + 190, + 569 + ], + "spans": [ + { + "bbox": [ + 106, + 558, + 190, + 569 + ], + "score": 1.0, + "content": "Table 3 and Table 4.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5, + "bbox_fs": [ + 106, + 545, + 505, + 569 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 575, + 505, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 505, + 587 + ], + "score": 1.0, + "content": "This appendix includes the full experimental plots. In the first figure (Figure 4), all three architec-", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 598 + ], + "score": 1.0, + "content": "tures are run with all six datasets. The following three figures are cross-architecture experiments and", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 506, + 609 + ], + "score": 1.0, + "content": "are grouped by the evaluation architecture. 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DatasetDHPZCFLMOurs
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CIFAR100123123143
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DatasetDHPZCFLMOurs
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CIFAR100123123143
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SVHN9079113
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\\delta ) } } \\right) ^ { P _ { h , t } } } \\\\ { \\displaystyle \\operatorname* { P r } ( | S _ { t } \\cap E _ { h } | = 0 ) \\leq \\exp ( - P _ { h , t } ) } \\end{array}", + "type": "interline_equation", + "image_path": "1f6fc5ce661c7091241c70eb113fa10eb22346efba4fb90c1275018166adb90a.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 198, + 617, + 412, + 632.6666666666666 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 198, + 632.6666666666666, + 412, + 648.3333333333333 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 198, + 648.3333333333333, + 412, + 663.9999999999999 + ], + "spans": [], + "index": 27 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 678, + 150, + 690 + ], + "lines": [ + { + "bbox": [ + 105, + 676, + 152, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 152, + 691 + ], + "score": 1.0, + "content": "Therefore,", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 676, + 152, + 691 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 259, + 717, + 353, + 730 + ], + "lines": [ + { + "bbox": [ + 259, + 717, + 353, + 730 + ], + "spans": [ + { + "bbox": [ + 259, + 717, + 353, + 730 + ], + "score": 0.9, + "content": "\\mathrm { P r } ( \\lnot G _ { h , t } ) \\le \\exp ( - \\xi )", + "type": "interline_equation", + "image_path": "a745ce228a77e9dd8ad6dd4badade028722dcd867754d957f46424980d4e1c55.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 259, + 717, + 353, + 730 + ], + "spans": [], + "index": 29 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 205, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 206, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 206, + 96 + ], + "score": 1.0, + "content": "Then, by a union bound,", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "interline_equation", + "bbox": [ + 222, + 99, + 388, + 249 + ], + "lines": [ + { + "bbox": [ + 222, + 99, + 388, + 249 + ], + "spans": [ + { + "bbox": [ + 222, + 99, + 388, + 249 + ], + "score": 0.94, + "content": "\\begin{array} { l } { \\displaystyle \\operatorname* { P r } ( - G ) = \\operatorname* { P r } \\left( \\bigcup _ { \\lfloor - 1 \\lambda _ { \\hbar \\in \\widetilde { \\mathbb { H } } } } ^ { \\mathcal { T } } \\bigcup _ { - \\left. h , t \\right. } - \\bigcup _ { \\substack { \\widetilde { \\mathbb { H } } \\le \\widetilde { \\mathbb { H } } _ { \\widetilde { \\mathbb { H } } } } } \\right) } \\\\ { \\displaystyle \\quad \\le \\sum _ { \\ell = 1 } ^ { \\overline { { T } } } \\sum _ { k \\in \\widetilde { \\mathbb { H } } } \\operatorname* { P r } ( - G _ { h , t } ) } \\\\ { \\displaystyle \\quad \\le \\frac { T N \\cot ( - \\xi ) } { \\alpha } } \\\\ { \\displaystyle \\le 2 \\hat { N } \\log _ { 2 } ( m ) N \\frac { \\delta } { 4 \\hat { N } ^ { 2 } \\log _ { 2 } ( m ) } } \\\\ { \\displaystyle \\le \\frac { \\delta } { 2 } } \\end{array}", + "type": "interline_equation", + "image_path": "289f0ea4cba25596f08f28d82632270e81c9f5b07a0bc6ae44b277d39f9ec383.jpg" + } + ] + } + ], + "index": 5.5, + "virtual_lines": [ + { + "bbox": [ + 222, + 99, + 388, + 114.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 222, + 114.0, + 388, + 129.0 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 222, + 129.0, + 388, + 144.0 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 222, + 144.0, + 388, + 159.0 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 222, + 159.0, + 388, + 174.0 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 222, + 174.0, + 388, + 189.0 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 222, + 189.0, + 388, + 204.0 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 222, + 204.0, + 388, + 219.0 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 222, + 219.0, + 388, + 234.0 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 222, + 234.0, + 388, + 249.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 271, + 329, + 286 + ], + "lines": [ + { + "bbox": [ + 104, + 268, + 330, + 289 + ], + "spans": [ + { + "bbox": [ + 104, + 268, + 233, + 289 + ], + "score": 1.0, + "content": "Lemma 2. If G holds, then for", + "type": "text" + }, + { + "bbox": [ + 234, + 271, + 326, + 286 + ], + "score": 0.82, + "content": "\\begin{array} { r } { t \\leq \\overline { { T } } , \\sum _ { i \\in E _ { t } } p _ { t , i } < \\xi } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 268, + 330, + 289 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 104, + 299, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 317, + 313 + ], + "score": 1.0, + "content": "Proof. By definition of the interpolating model,", + "type": "text" + }, + { + "bbox": [ + 317, + 300, + 388, + 312 + ], + "score": 0.91, + "content": "\\vert S _ { t } \\cap E _ { t } \\vert = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 299, + 465, + 313 + ], + "score": 1.0, + "content": ", therefore, since", + "type": "text" + }, + { + "bbox": [ + 465, + 300, + 475, + 311 + ], + "score": 0.78, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 299, + 506, + 313 + ], + "score": 1.0, + "content": "holds,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 107, + 310, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 107, + 311, + 170, + 325 + ], + "score": 0.91, + "content": "\\textstyle \\sum _ { i \\in E _ { t } } p _ { t , i } < \\xi", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 310, + 175, + 327 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 495, + 312, + 505, + 322 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12.5 + }, + { + "type": "text", + "bbox": [ + 105, + 339, + 505, + 363 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 217, + 353 + ], + "score": 1.0, + "content": "Note this implies that if", + "type": "text" + }, + { + "bbox": [ + 218, + 341, + 227, + 350 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 338, + 417, + 353 + ], + "score": 1.0, + "content": "holds and the algorithm terminates before", + "type": "text" + }, + { + "bbox": [ + 417, + 339, + 426, + 350 + ], + "score": 0.83, + "content": "\\overline { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 338, + 505, + 353 + ], + "score": 1.0, + "content": ", we won’t return", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 351, + 189, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 189, + 362 + ], + "score": 1.0, + "content": "FAILURE TYPE 1", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 107, + 376, + 288, + 388 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 289, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 289, + 389 + ], + "score": 1.0, + "content": "D.2 BOUND ON NUMBER OF ITERATIONS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 396, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 105, + 396, + 504, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 164, + 411 + ], + "score": 1.0, + "content": "Lemma 3. If", + "type": "text" + }, + { + "bbox": [ + 165, + 398, + 174, + 408 + ], + "score": 0.72, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 396, + 218, + 411 + ], + "score": 1.0, + "content": "holds and", + "type": "text" + }, + { + "bbox": [ + 219, + 396, + 259, + 408 + ], + "score": 0.91, + "content": "\\hat { N } < 2 d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 396, + 453, + 411 + ], + "score": 1.0, + "content": ", then the algorithm returns successfully within", + "type": "text" + }, + { + "bbox": [ + 453, + 396, + 504, + 409 + ], + "score": 0.91, + "content": "\\hat { N } \\leq 2 d ^ { * } k _ { 0 }", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 408, + 150, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 150, + 422 + ], + "score": 1.0, + "content": "iterations.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 108, + 433, + 290, + 447 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 288, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 194, + 448 + ], + "score": 1.0, + "content": "Proof. First note that", + "type": "text" + }, + { + "bbox": [ + 194, + 433, + 288, + 447 + ], + "score": 0.93, + "content": "\\overline { { T } } = 2 \\hat { N } \\log _ { 2 } ( m ) \\geq \\hat { N }", + "type": "inline_equation" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 451, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 106, + 452, + 504, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 174, + 464 + ], + "score": 1.0, + "content": "Note that, under", + "type": "text" + }, + { + "bbox": [ + 174, + 452, + 183, + 462 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 452, + 504, + 464 + ], + "score": 1.0, + "content": "and if the probabilities are not halved, a hypothesis cannot be returned twice by", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 463, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 312, + 474 + ], + "score": 1.0, + "content": "the learner. This is because when a learner returns", + "type": "text" + }, + { + "bbox": [ + 313, + 464, + 323, + 474 + ], + "score": 0.88, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 463, + 505, + 474 + ], + "score": 1.0, + "content": ", for the next iterations, the weight will be at", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 474, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 127, + 488 + ], + "score": 1.0, + "content": "least", + "type": "text" + }, + { + "bbox": [ + 127, + 476, + 134, + 487 + ], + "score": 0.84, + "content": "\\xi", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 475, + 177, + 488 + ], + "score": 1.0, + "content": "and under", + "type": "text" + }, + { + "bbox": [ + 178, + 476, + 187, + 486 + ], + "score": 0.76, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 475, + 246, + 488 + ], + "score": 1.0, + "content": ", by Lemma 2,", + "type": "text" + }, + { + "bbox": [ + 246, + 476, + 257, + 487 + ], + "score": 0.86, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 475, + 398, + 488 + ], + "score": 1.0, + "content": "cannot be returned again. Thus, if", + "type": "text" + }, + { + "bbox": [ + 398, + 474, + 456, + 487 + ], + "score": 0.93, + "content": "N \\leq \\hat { N } < 2 \\bar { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 475, + 506, + 488 + ], + "score": 1.0, + "content": ", the learner", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 485, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 273, + 501 + ], + "score": 1.0, + "content": "will return all hypotheses before halving.", + "type": "text" + }, + { + "bbox": [ + 493, + 486, + 505, + 498 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 104, + 507, + 502, + 521 + ], + "lines": [ + { + "bbox": [ + 106, + 506, + 502, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 163, + 522 + ], + "score": 1.0, + "content": "Lemma 4. If", + "type": "text" + }, + { + "bbox": [ + 163, + 509, + 172, + 519 + ], + "score": 0.36, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 507, + 214, + 522 + ], + "score": 1.0, + "content": "holds and", + "type": "text" + }, + { + "bbox": [ + 215, + 506, + 252, + 519 + ], + "score": 0.92, + "content": "\\hat { N } \\geq 2 d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 507, + 299, + 522 + ], + "score": 1.0, + "content": ", Algorithm", + "type": "text" + }, + { + "bbox": [ + 300, + 509, + 306, + 518 + ], + "score": 0.3, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 507, + 415, + 522 + ], + "score": 1.0, + "content": "returns successfully within", + "type": "text" + }, + { + "bbox": [ + 415, + 509, + 458, + 519 + ], + "score": 0.92, + "content": "2 d ^ { * } k _ { 0 } + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 507, + 502, + 522 + ], + "score": 1.0, + "content": "iterations.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 534, + 347, + 546 + ], + "lines": [ + { + "bbox": [ + 105, + 532, + 348, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 221, + 549 + ], + "score": 1.0, + "content": "Proof. Fix a subset solution", + "type": "text" + }, + { + "bbox": [ + 221, + 535, + 233, + 545 + ], + "score": 0.88, + "content": "S ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 532, + 333, + 549 + ], + "score": 1.0, + "content": "that has the optimal size", + "type": "text" + }, + { + "bbox": [ + 334, + 535, + 344, + 545 + ], + "score": 0.87, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 532, + 348, + 549 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 105, + 568, + 315, + 583 + ], + "lines": [ + { + "bbox": [ + 105, + 567, + 308, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 145, + 583 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + }, + { + "bbox": [ + 146, + 567, + 308, + 582 + ], + "score": 0.92, + "content": "T \\leq 2 \\hat { d } \\lfloor \\log _ { 2 } ( m ) \\rfloor \\leq \\hat { N } \\lfloor \\log _ { 2 } ( m ) \\rfloor \\leq \\overline { { T } } .", + "type": "inline_equation" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 108, + 586, + 448, + 599 + ], + "lines": [ + { + "bbox": [ + 105, + 585, + 446, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 276, + 600 + ], + "score": 1.0, + "content": "Suppose we have not returned by iteration", + "type": "text" + }, + { + "bbox": [ + 277, + 587, + 285, + 596 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 585, + 371, + 600 + ], + "score": 1.0, + "content": "; then, by assumption", + "type": "text" + }, + { + "bbox": [ + 372, + 586, + 446, + 599 + ], + "score": 0.92, + "content": "\\forall t \\leq T : | E _ { t } | \\geq 1", + "type": "inline_equation" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 252, + 615 + ], + "lines": [ + { + "bbox": [ + 105, + 601, + 249, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 146, + 617 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + }, + { + "bbox": [ + 146, + 604, + 176, + 614 + ], + "score": 0.91, + "content": "E _ { t } \\in \\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 601, + 191, + 617 + ], + "score": 1.0, + "content": ", so", + "type": "text" + }, + { + "bbox": [ + 192, + 603, + 249, + 615 + ], + "score": 0.93, + "content": "| S ^ { * } \\cap E _ { t } | \\geq 1", + "type": "inline_equation" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "interline_equation", + "bbox": [ + 257, + 635, + 353, + 699 + ], + "lines": [ + { + "bbox": [ + 257, + 635, + 353, + 699 + ], + "spans": [ + { + "bbox": [ + 257, + 635, + 353, + 699 + ], + "score": 0.92, + "content": "\\begin{array} { c } { { \\displaystyle \\sum _ { i \\in S ^ { * } } \\mathbf { 1 } [ i \\in E _ { t } ] \\geq 1 } } \\\\ { { \\displaystyle \\sum _ { i \\in S ^ { * } } \\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ i \\in E _ { t } ] \\geq T } } \\end{array}", + "type": "interline_equation", + "image_path": "e2ecb936720214ad2eee7901093dd72dba3d17e75ba19856a8bdd5d89bd1b634.jpg" + } + ] + } + ], + "index": 29.5, + "virtual_lines": [ + { + "bbox": [ + 257, + 635, + 353, + 667.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 257, + 667.0, + 353, + 699.0 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 709, + 505, + 733 + ], + "lines": [ + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 219, + 723 + ], + "score": 1.0, + "content": "Note that at every iteration,", + "type": "text" + }, + { + "bbox": [ + 219, + 710, + 235, + 721 + ], + "score": 0.89, + "content": "k _ { t , i }", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 708, + 250, + 723 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 251, + 711, + 255, + 720 + ], + "score": 0.8, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 708, + 267, + 723 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 267, + 710, + 279, + 721 + ], + "score": 0.87, + "content": "E _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 708, + 397, + 723 + ], + "score": 1.0, + "content": "decrease by at least one. By", + "type": "text" + }, + { + "bbox": [ + 397, + 710, + 406, + 720 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 407, + 708, + 443, + 723 + ], + "score": 1.0, + "content": "holding,", + "type": "text" + }, + { + "bbox": [ + 444, + 710, + 475, + 721 + ], + "score": 0.92, + "content": "E _ { t } \\leq \\xi", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 708, + 506, + 723 + ], + "score": 1.0, + "content": ". Thus,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 719, + 375, + 733 + ], + "spans": [ + { + "bbox": [ + 107, + 721, + 138, + 732 + ], + "score": 0.92, + "content": "\\Delta _ { t } \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 719, + 202, + 733 + ], + "score": 1.0, + "content": ". 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If G holds, then for", + "type": "text" + }, + { + "bbox": [ + 234, + 271, + 326, + 286 + ], + "score": 0.82, + "content": "\\begin{array} { r } { t \\leq \\overline { { T } } , \\sum _ { i \\in E _ { t } } p _ { t , i } < \\xi } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 268, + 330, + 289 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11, + "bbox_fs": [ + 104, + 268, + 330, + 289 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 299, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 299, + 506, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 317, + 313 + ], + "score": 1.0, + "content": "Proof. By definition of the interpolating model,", + "type": "text" + }, + { + "bbox": [ + 317, + 300, + 388, + 312 + ], + "score": 0.91, + "content": "\\vert S _ { t } \\cap E _ { t } \\vert = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 299, + 465, + 313 + ], + "score": 1.0, + "content": ", therefore, since", + "type": "text" + }, + { + "bbox": [ + 465, + 300, + 475, + 311 + ], + "score": 0.78, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 475, + 299, + 506, + 313 + ], + "score": 1.0, + "content": "holds,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 107, + 310, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 107, + 311, + 170, + 325 + ], + "score": 0.91, + "content": "\\textstyle \\sum _ { i \\in E _ { t } } p _ { t , i } < \\xi", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 310, + 175, + 327 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 495, + 312, + 505, + 322 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12.5, + "bbox_fs": [ + 105, + 299, + 506, + 327 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 339, + 505, + 363 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 505, + 353 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 217, + 353 + ], + "score": 1.0, + "content": "Note this implies that if", + "type": "text" + }, + { + "bbox": [ + 218, + 341, + 227, + 350 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 338, + 417, + 353 + ], + "score": 1.0, + "content": "holds and the algorithm terminates before", + "type": "text" + }, + { + "bbox": [ + 417, + 339, + 426, + 350 + ], + "score": 0.83, + "content": "\\overline { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 338, + 505, + 353 + ], + "score": 1.0, + "content": ", we won’t return", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 351, + 189, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 189, + 362 + ], + "score": 1.0, + "content": "FAILURE TYPE 1", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 338, + 505, + 362 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 376, + 288, + 388 + ], + "lines": [ + { + "bbox": [ + 106, + 376, + 289, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 376, + 289, + 389 + ], + "score": 1.0, + "content": "D.2 BOUND ON NUMBER OF ITERATIONS", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 396, + 505, + 421 + ], + "lines": [ + { + "bbox": [ + 105, + 396, + 504, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 164, + 411 + ], + "score": 1.0, + "content": "Lemma 3. If", + "type": "text" + }, + { + "bbox": [ + 165, + 398, + 174, + 408 + ], + "score": 0.72, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 396, + 218, + 411 + ], + "score": 1.0, + "content": "holds and", + "type": "text" + }, + { + "bbox": [ + 219, + 396, + 259, + 408 + ], + "score": 0.91, + "content": "\\hat { N } < 2 d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 396, + 453, + 411 + ], + "score": 1.0, + "content": ", then the algorithm returns successfully within", + "type": "text" + }, + { + "bbox": [ + 453, + 396, + 504, + 409 + ], + "score": 0.91, + "content": "\\hat { N } \\leq 2 d ^ { * } k _ { 0 }", + "type": "inline_equation" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 408, + 150, + 422 + ], + "spans": [ + { + "bbox": [ + 105, + 408, + 150, + 422 + ], + "score": 1.0, + "content": "iterations.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 396, + 504, + 422 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 433, + 290, + 447 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 288, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 194, + 448 + ], + "score": 1.0, + "content": "Proof. First note that", + "type": "text" + }, + { + "bbox": [ + 194, + 433, + 288, + 447 + ], + "score": 0.93, + "content": "\\overline { { T } } = 2 \\hat { N } \\log _ { 2 } ( m ) \\geq \\hat { N }", + "type": "inline_equation" + } + ], + "index": 19 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 432, + 288, + 448 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 451, + 505, + 499 + ], + "lines": [ + { + "bbox": [ + 106, + 452, + 504, + 464 + ], + "spans": [ + { + "bbox": [ + 106, + 452, + 174, + 464 + ], + "score": 1.0, + "content": "Note that, under", + "type": "text" + }, + { + "bbox": [ + 174, + 452, + 183, + 462 + ], + "score": 0.82, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 452, + 504, + 464 + ], + "score": 1.0, + "content": "and if the probabilities are not halved, a hypothesis cannot be returned twice by", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 463, + 505, + 474 + ], + "spans": [ + { + "bbox": [ + 106, + 463, + 312, + 474 + ], + "score": 1.0, + "content": "the learner. This is because when a learner returns", + "type": "text" + }, + { + "bbox": [ + 313, + 464, + 323, + 474 + ], + "score": 0.88, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 463, + 505, + 474 + ], + "score": 1.0, + "content": ", for the next iterations, the weight will be at", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 474, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 127, + 488 + ], + "score": 1.0, + "content": "least", + "type": "text" + }, + { + "bbox": [ + 127, + 476, + 134, + 487 + ], + "score": 0.84, + "content": "\\xi", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 475, + 177, + 488 + ], + "score": 1.0, + "content": "and under", + "type": "text" + }, + { + "bbox": [ + 178, + 476, + 187, + 486 + ], + "score": 0.76, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 475, + 246, + 488 + ], + "score": 1.0, + "content": ", by Lemma 2,", + "type": "text" + }, + { + "bbox": [ + 246, + 476, + 257, + 487 + ], + "score": 0.86, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 475, + 398, + 488 + ], + "score": 1.0, + "content": "cannot be returned again. Thus, if", + "type": "text" + }, + { + "bbox": [ + 398, + 474, + 456, + 487 + ], + "score": 0.93, + "content": "N \\leq \\hat { N } < 2 \\bar { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 475, + 506, + 488 + ], + "score": 1.0, + "content": ", the learner", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 485, + 505, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 485, + 273, + 501 + ], + "score": 1.0, + "content": "will return all hypotheses before halving.", + "type": "text" + }, + { + "bbox": [ + 493, + 486, + 505, + 498 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 452, + 506, + 501 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 507, + 502, + 521 + ], + "lines": [ + { + "bbox": [ + 106, + 506, + 502, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 507, + 163, + 522 + ], + "score": 1.0, + "content": "Lemma 4. If", + "type": "text" + }, + { + "bbox": [ + 163, + 509, + 172, + 519 + ], + "score": 0.36, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 172, + 507, + 214, + 522 + ], + "score": 1.0, + "content": "holds and", + "type": "text" + }, + { + "bbox": [ + 215, + 506, + 252, + 519 + ], + "score": 0.92, + "content": "\\hat { N } \\geq 2 d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 507, + 299, + 522 + ], + "score": 1.0, + "content": ", Algorithm", + "type": "text" + }, + { + "bbox": [ + 300, + 509, + 306, + 518 + ], + "score": 0.3, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 507, + 415, + 522 + ], + "score": 1.0, + "content": "returns successfully within", + "type": "text" + }, + { + "bbox": [ + 415, + 509, + 458, + 519 + ], + "score": 0.92, + "content": "2 d ^ { * } k _ { 0 } + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 507, + 502, + 522 + ], + "score": 1.0, + "content": "iterations.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 106, + 506, + 502, + 522 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 534, + 347, + 546 + ], + "lines": [ + { + "bbox": [ + 105, + 532, + 348, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 221, + 549 + ], + "score": 1.0, + "content": "Proof. Fix a subset solution", + "type": "text" + }, + { + "bbox": [ + 221, + 535, + 233, + 545 + ], + "score": 0.88, + "content": "S ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 532, + 333, + 549 + ], + "score": 1.0, + "content": "that has the optimal size", + "type": "text" + }, + { + "bbox": [ + 334, + 535, + 344, + 545 + ], + "score": 0.87, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 532, + 348, + 549 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 532, + 348, + 549 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 568, + 315, + 583 + ], + "lines": [ + { + "bbox": [ + 105, + 567, + 308, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 567, + 145, + 583 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + }, + { + "bbox": [ + 146, + 567, + 308, + 582 + ], + "score": 0.92, + "content": "T \\leq 2 \\hat { d } \\lfloor \\log _ { 2 } ( m ) \\rfloor \\leq \\hat { N } \\lfloor \\log _ { 2 } ( m ) \\rfloor \\leq \\overline { { T } } .", + "type": "inline_equation" + } + ], + "index": 26 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 567, + 308, + 583 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 586, + 448, + 599 + ], + "lines": [ + { + "bbox": [ + 105, + 585, + 446, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 276, + 600 + ], + "score": 1.0, + "content": "Suppose we have not returned by iteration", + "type": "text" + }, + { + "bbox": [ + 277, + 587, + 285, + 596 + ], + "score": 0.82, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 585, + 371, + 600 + ], + "score": 1.0, + "content": "; then, by assumption", + "type": "text" + }, + { + "bbox": [ + 372, + 586, + 446, + 599 + ], + "score": 0.92, + "content": "\\forall t \\leq T : | E _ { t } | \\geq 1", + "type": "inline_equation" + } + ], + "index": 27 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 585, + 446, + 600 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 252, + 615 + ], + "lines": [ + { + "bbox": [ + 105, + 601, + 249, + 617 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 146, + 617 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + }, + { + "bbox": [ + 146, + 604, + 176, + 614 + ], + "score": 0.91, + "content": "E _ { t } \\in \\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 601, + 191, + 617 + ], + "score": 1.0, + "content": ", so", + "type": "text" + }, + { + "bbox": [ + 192, + 603, + 249, + 615 + ], + "score": 0.93, + "content": "| S ^ { * } \\cap E _ { t } | \\geq 1", + "type": "inline_equation" + } + ], + "index": 28 + } + ], + "index": 28, + "bbox_fs": [ + 105, + 601, + 249, + 617 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 257, + 635, + 353, + 699 + ], + "lines": [ + { + "bbox": [ + 257, + 635, + 353, + 699 + ], + "spans": [ + { + "bbox": [ + 257, + 635, + 353, + 699 + ], + "score": 0.92, + "content": "\\begin{array} { c } { { \\displaystyle \\sum _ { i \\in S ^ { * } } \\mathbf { 1 } [ i \\in E _ { t } ] \\geq 1 } } \\\\ { { \\displaystyle \\sum _ { i \\in S ^ { * } } \\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ i \\in E _ { t } ] \\geq T } } \\end{array}", + "type": "interline_equation", + "image_path": "e2ecb936720214ad2eee7901093dd72dba3d17e75ba19856a8bdd5d89bd1b634.jpg" + } + ] + } + ], + "index": 29.5, + "virtual_lines": [ + { + "bbox": [ + 257, + 635, + 353, + 667.0 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 257, + 667.0, + 353, + 699.0 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 709, + 505, + 733 + ], + "lines": [ + { + "bbox": [ + 105, + 708, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 219, + 723 + ], + "score": 1.0, + "content": "Note that at every iteration,", + "type": "text" + }, + { + "bbox": [ + 219, + 710, + 235, + 721 + ], + "score": 0.89, + "content": "k _ { t , i }", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 708, + 250, + 723 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 251, + 711, + 255, + 720 + ], + "score": 0.8, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 708, + 267, + 723 + ], + "score": 1.0, + "content": "in", + "type": "text" + }, + { + "bbox": [ + 267, + 710, + 279, + 721 + ], + "score": 0.87, + "content": "E _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 708, + 397, + 723 + ], + "score": 1.0, + "content": "decrease by at least one. 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\\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ i \\in E _ { t } ] + \\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ t ( \\mathrm { m o d } ) 2 \\hat { d } = 0 ]", + "type": "interline_equation", + "image_path": "23399117bc7867ccb3b64255638712e7a940a9e475e74729aee3107158abe54f.jpg" + } + ] + } + ], + "index": 0.5, + "virtual_lines": [ + { + "bbox": [ + 196, + 101, + 415, + 118.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 196, + 118.0, + 415, + 135.0 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 150, + 196, + 162 + ], + "lines": [ + { + "bbox": [ + 105, + 149, + 197, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 146, + 164 + ], + "score": 1.0, + "content": "But since", + "type": "text" + }, + { + "bbox": [ + 146, + 150, + 192, + 163 + ], + "score": 0.92, + "content": "k _ { T + 1 , i } \\geq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 149, + 197, + 164 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "interline_equation", + "bbox": [ + 203, + 186, + 409, + 348 + ], + "lines": [ + { + "bbox": [ + 203, + 186, + 409, + 348 + ], + "spans": [ + { + "bbox": [ + 203, + 186, + 409, + 348 + ], + "score": 0.93, + "content": "\\begin{array} { c } { { { \\displaystyle { k _ { 0 } - \\sum _ { i = 1 } ^ { T } \\left[ i \\in E _ { i } \\right] + \\frac { T } { 2 \\hat { d } } \\geq 0 } } } } \\\\ { { { \\displaystyle { d ^ { * } k _ { 0 } - \\sum _ { i \\in S ^ { s } } \\sum _ { \\ell = 1 } ^ { T } \\left[ i \\in E _ { i } \\right] + \\frac { d ^ { * } T } { 2 \\hat { d } } \\geq 0 } } } } \\\\ { { { \\displaystyle d ^ { * } k _ { 0 } - T + \\frac { d ^ { * } T } { 2 \\hat { d } } \\geq 0 } } } \\\\ { { { \\displaystyle d ^ { * } k _ { 0 } \\geq \\left( 1 - \\frac { d ^ { * } } { 2 \\hat { d } } \\right) T } } } \\\\ { { { \\displaystyle d ^ { * } k _ { 0 } \\geq \\left( 1 - \\frac { d ^ { * } } { 2 \\hat { d } } \\right) T } } } \\\\ { { { \\displaystyle d ^ { * } k _ { 0 } \\geq \\frac { 1 } { 2 } T } } } \\\\ { { { \\displaystyle { d ^ { * } k _ { 0 } \\geq T } } } } \\end{array}", + "type": "interline_equation", + "image_path": "56d98c3afa669e890ac505bccbb52d9ec256ed74f799286caf3d9106fdebdff3.jpg" + } + ] + } + ], + "index": 7.5, + "virtual_lines": [ + { + "bbox": [ + 203, + 186, + 409, + 202.2 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 203, + 202.2, + 409, + 218.39999999999998 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 203, + 218.39999999999998, + 409, + 234.59999999999997 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 203, + 234.59999999999997, + 409, + 250.79999999999995 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 203, + 250.79999999999995, + 409, + 266.99999999999994 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 203, + 266.99999999999994, + 409, + 283.19999999999993 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 203, + 283.19999999999993, + 409, + 299.3999999999999 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 203, + 299.3999999999999, + 409, + 315.5999999999999 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 203, + 315.5999999999999, + 409, + 331.7999999999999 + ], + "spans": [], + "index": 11 + }, + { + "bbox": [ + 203, + 331.7999999999999, + 409, + 347.9999999999999 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 362, + 394, + 375 + ], + "lines": [ + { + "bbox": [ + 106, + 362, + 395, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 362, + 383, + 375 + ], + "score": 1.0, + "content": "which is a contradiction. So the algorithm must have returned before", + "type": "text" + }, + { + "bbox": [ + 383, + 363, + 391, + 372 + ], + "score": 0.83, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 362, + 395, + 375 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 414, + 505, + 439 + ], + "lines": [ + { + "bbox": [ + 105, + 413, + 505, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 191, + 429 + ], + "score": 1.0, + "content": "Thus, in either case (", + "type": "text" + }, + { + "bbox": [ + 191, + 414, + 226, + 427 + ], + "score": 0.9, + "content": "\\hat { N } < 2 \\hat { d }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 413, + 238, + 429 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 239, + 414, + 275, + 428 + ], + "score": 0.9, + "content": "\\hat { N } \\geq 2 \\hat { d } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 413, + 410, + 429 + ], + "score": 1.0, + "content": "), the algorithm terminates before", + "type": "text" + }, + { + "bbox": [ + 410, + 415, + 419, + 426 + ], + "score": 0.84, + "content": "\\overline { T }", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 413, + 505, + 429 + ], + "score": 1.0, + "content": "iterations and within", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 107, + 426, + 192, + 439 + ], + "spans": [ + { + "bbox": [ + 107, + 428, + 149, + 438 + ], + "score": 0.92, + "content": "2 d ^ { * } k _ { 0 } + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 426, + 192, + 439 + ], + "score": 1.0, + "content": "iterations.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "title", + "bbox": [ + 108, + 455, + 259, + 467 + ], + "lines": [ + { + "bbox": [ + 106, + 455, + 261, + 467 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 261, + 467 + ], + "score": 1.0, + "content": "D.2.1 SIZE OF RETURNED SUBSET", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 506, + 512 + ], + "lines": [ + { + "bbox": [ + 105, + 473, + 506, + 491 + ], + "spans": [ + { + "bbox": [ + 105, + 473, + 281, + 491 + ], + "score": 1.0, + "content": "We now analyze the size of the returned set", + "type": "text" + }, + { + "bbox": [ + 281, + 475, + 294, + 488 + ], + "score": 0.89, + "content": "| \\hat { S } |", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 473, + 430, + 491 + ], + "score": 1.0, + "content": ". First, note that at every iteration,", + "type": "text" + }, + { + "bbox": [ + 430, + 476, + 501, + 489 + ], + "score": 0.93, + "content": "\\mathbb { E } [ | S _ { t } | ] = \\sum _ { i } p _ { t , i }", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 473, + 506, + 491 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 487, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 487, + 255, + 503 + ], + "score": 1.0, + "content": "We can think of bounding the size of", + "type": "text" + }, + { + "bbox": [ + 256, + 488, + 269, + 502 + ], + "score": 0.91, + "content": "| \\hat { S } |", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 487, + 385, + 503 + ], + "score": 1.0, + "content": "as bounding the size of each", + "type": "text" + }, + { + "bbox": [ + 385, + 489, + 401, + 502 + ], + "score": 0.92, + "content": "| S _ { t } |", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 487, + 506, + 503 + ], + "score": 1.0, + "content": "which involves bounding", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 500, + 438, + 513 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 145, + 513 + ], + "score": 1.0, + "content": "the mean", + "type": "text" + }, + { + "bbox": [ + 145, + 500, + 182, + 513 + ], + "score": 0.92, + "content": "( \\sum _ { i } p _ { t , i } )", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 500, + 438, + 513 + ], + "score": 1.0, + "content": "and the deviation from the mean. First we bound the deviation.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 105, + 518, + 503, + 545 + ], + "lines": [ + { + "bbox": [ + 105, + 516, + 504, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 162, + 535 + ], + "score": 1.0, + "content": "Lemma 5. If", + "type": "text" + }, + { + "bbox": [ + 163, + 519, + 223, + 532 + ], + "score": 0.87, + "content": "\\textstyle \\sum _ { i = 1 } ^ { m } p _ { t , i } \\leq L", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 516, + 251, + 535 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 251, + 518, + 276, + 530 + ], + "score": 0.9, + "content": "t \\leq \\overline { { T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 516, + 321, + 535 + ], + "score": 1.0, + "content": ", then, with", + "type": "text" + }, + { + "bbox": [ + 322, + 519, + 344, + 530 + ], + "score": 0.77, + "content": "1 - \\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 516, + 393, + 535 + ], + "score": 1.0, + "content": "probability,", + "type": "text" + }, + { + "bbox": [ + 394, + 518, + 504, + 532 + ], + "score": 0.9, + "content": "| S _ { t } | \\le \\operatorname* { m a x } ( e ^ { 2 } L , \\ln ( 2 \\overline { { T } } / \\delta )", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 101, + 525, + 298, + 551 + ], + "spans": [ + { + "bbox": [ + 101, + 525, + 141, + 551 + ], + "score": 1.0, + "content": "for each", + "type": "text" + }, + { + "bbox": [ + 142, + 532, + 167, + 543 + ], + "score": 0.92, + "content": "t \\leq \\overline { { T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 525, + 266, + 551 + ], + "score": 1.0, + "content": "i=1 with probability at least", + "type": "text" + }, + { + "bbox": [ + 266, + 531, + 290, + 545 + ], + "score": 0.91, + "content": "\\textstyle 1 - { \\frac { \\delta } { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 525, + 298, + 551 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 569, + 293, + 583 + ], + "lines": [ + { + "bbox": [ + 104, + 565, + 289, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 565, + 176, + 587 + ], + "score": 1.0, + "content": "Proof. 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\\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ i \\in E _ { t } ] + \\sum _ { t = 1 } ^ { T } \\mathbf { 1 } [ t ( \\mathrm { m o d } ) 2 \\hat { d } = 0 ]", + "type": "interline_equation", + "image_path": "23399117bc7867ccb3b64255638712e7a940a9e475e74729aee3107158abe54f.jpg" + } + ] + } + ], + "index": 0.5, + "virtual_lines": [ + { + "bbox": [ + 196, + 101, + 415, + 118.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 196, + 118.0, + 415, + 135.0 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 150, + 196, + 162 + ], + "lines": [ + { + "bbox": [ + 105, + 149, + 197, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 149, + 146, + 164 + ], + "score": 1.0, + "content": "But since", + "type": "text" + }, + { + "bbox": [ + 146, + 150, + 192, + 163 + ], + "score": 0.92, + "content": "k _ { T + 1 , i } \\geq 0", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 149, + 197, + 164 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 149, + 197, + 164 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 203, + 186, + 409, + 348 + ], + "lines": [ + { + "bbox": [ + 203, + 186, + 409, + 348 + ], + "spans": [ + { + "bbox": [ + 203, + 186, + 409, + 348 + ], + "score": 0.93, + "content": "\\begin{array} { c } { { { \\displaystyle { k _ { 0 } - 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If", + "type": "text" + }, + { + "bbox": [ + 163, + 519, + 223, + 532 + ], + "score": 0.87, + "content": "\\textstyle \\sum _ { i = 1 } ^ { m } p _ { t , i } \\leq L", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 516, + 251, + 535 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 251, + 518, + 276, + 530 + ], + "score": 0.9, + "content": "t \\leq \\overline { { T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 516, + 321, + 535 + ], + "score": 1.0, + "content": ", then, with", + "type": "text" + }, + { + "bbox": [ + 322, + 519, + 344, + 530 + ], + "score": 0.77, + "content": "1 - \\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 516, + 393, + 535 + ], + "score": 1.0, + "content": "probability,", + "type": "text" + }, + { + "bbox": [ + 394, + 518, + 504, + 532 + ], + "score": 0.9, + "content": "| S _ { t } | \\le \\operatorname* { m a x } ( e ^ { 2 } L , \\ln ( 2 \\overline { { T } } / \\delta )", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 101, + 525, + 298, + 551 + ], + "spans": [ + { + "bbox": [ + 101, + 525, + 141, + 551 + ], + "score": 1.0, + "content": "for each", + "type": "text" + }, + { + "bbox": [ + 142, + 532, + 167, + 543 + ], + "score": 0.92, + "content": "t \\leq \\overline { { T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 167, + 525, + 266, + 551 + ], + "score": 1.0, + "content": "i=1 with probability at least", + "type": "text" + }, + { + "bbox": [ + 266, + 531, + 290, + 545 + ], + "score": 0.91, + "content": "\\textstyle 1 - { \\frac { \\delta } { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 525, + 298, + 551 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 101, + 516, + 504, + 551 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 569, + 293, + 583 + ], + "lines": [ + { + "bbox": [ + 104, + 565, + 289, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 565, + 176, + 587 + ], + "score": 1.0, + "content": "Proof. 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If event", + "type": "text" + }, + { + "bbox": [ + 186, + 326, + 195, + 336 + ], + "score": 0.41, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 324, + 237, + 338 + ], + "score": 1.0, + "content": "holds, for", + "type": "text" + }, + { + "bbox": [ + 237, + 325, + 262, + 336 + ], + "score": 0.91, + "content": "t \\leq \\overline { { T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 324, + 266, + 338 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "interline_equation", + "bbox": [ + 274, + 356, + 336, + 389 + ], + "lines": [ + { + "bbox": [ + 274, + 356, + 336, + 389 + ], + "spans": [ + { + "bbox": [ + 274, + 356, + 336, + 389 + ], + "score": 0.91, + "content": "\\sum _ { i = 1 } ^ { n } p _ { t , i } \\leq 8 { \\hat { d } } \\xi", + "type": "interline_equation", + "image_path": "dca5f611c00d19a03e2f652367f1674df71641e122f2527ba36dba0c926f00b2.jpg" + } + ] + } + ], + "index": 10.5, + "virtual_lines": [ + { + "bbox": [ + 274, + 356, + 336, + 372.5 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 274, + 372.5, + 336, + 389.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 447, + 350, + 461 + ], + "lines": [ + { + "bbox": [ + 105, + 446, + 351, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 321, + 462 + ], + "score": 1.0, + "content": "Proof. 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If event", + "type": "text" + }, + { + "bbox": [ + 186, + 326, + 195, + 336 + ], + "score": 0.41, + "content": "G", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 324, + 237, + 338 + ], + "score": 1.0, + "content": "holds, for", + "type": "text" + }, + { + "bbox": [ + 237, + 325, + 262, + 336 + ], + "score": 0.91, + "content": "t \\leq \\overline { { T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 324, + 266, + 338 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 324, + 266, + 338 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 274, + 356, + 336, + 389 + ], + "lines": [ + { + "bbox": [ + 274, + 356, + 336, + 389 + ], + "spans": [ + { + "bbox": [ + 274, + 356, + 336, + 389 + ], + "score": 0.91, + "content": "\\sum _ { i = 1 } ^ { n } p _ { t , i } \\leq 8 { \\hat { d } } \\xi", + "type": "interline_equation", + "image_path": "dca5f611c00d19a03e2f652367f1674df71641e122f2527ba36dba0c926f00b2.jpg" + } + ] + } + ], + "index": 10.5, + "virtual_lines": [ + { + "bbox": [ + 274, + 356, + 336, + 372.5 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 274, + 372.5, + 336, + 389.0 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 447, + 350, + 461 + ], + "lines": [ + { + "bbox": [ + 105, + 446, + 351, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 446, + 321, + 462 + ], + "score": 1.0, + "content": "Proof. 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Thus, the expected number of iterations is at least", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5 + }, + { + "type": "interline_equation", + "bbox": [ + 236, + 495, + 375, + 508 + ], + "lines": [ + { + "bbox": [ + 236, + 495, + 375, + 508 + ], + "spans": [ + { + "bbox": [ + 236, + 495, + 375, + 508 + ], + "score": 0.9, + "content": "2 ^ { | K | - 1 } = 2 ^ { \\lfloor m / ( 2 \\lambda ) \\rfloor - 1 } = 2 ^ { \\Omega ( m / \\lambda ) }", + "type": "interline_equation", + "image_path": "8842a87e129b266b5c49603f6b4df6f956ad33b729e947f89dd86ec915a5c8be.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 236, + 495, + 375, + 508 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "title", + "bbox": [ + 107, + 540, + 292, + 552 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 293, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 293, + 553 + ], + "score": 1.0, + "content": "E.2 QUERY LOWER BOUND FOR SMALL N", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 105, + 560, + 504, + 573 + ], + "lines": [ + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 215, + 574 + ], + "score": 1.0, + "content": "Just for this section, define", + "type": "text" + }, + { + "bbox": [ + 216, + 560, + 311, + 573 + ], + "score": 0.93, + "content": "[ n ] = \\{ 0 , 1 , \\ldots , n - 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 560, + 505, + 574 + ], + "score": 1.0, + "content": ". In other words, we start at zero rather than one.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 105, + 578, + 504, + 603 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 355, + 593 + ], + "score": 1.0, + "content": "Here we describe a ranked minimal error learner that requires", + "type": "text" + }, + { + "bbox": [ + 355, + 578, + 424, + 592 + ], + "score": 0.92, + "content": "\\widetilde \\Omega ( d ^ { * } \\log ( m / d ^ { * } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 579, + 505, + 593 + ], + "score": 1.0, + "content": "iterations (queries)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 591, + 373, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 373, + 604 + ], + "score": 1.0, + "content": "to even achieve even a rough approximation of the optimal subset.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 108, + 607, + 458, + 620 + ], + "lines": [ + { + "bbox": [ + 104, + 605, + 455, + 622 + ], + "spans": [ + { + "bbox": [ + 104, + 605, + 139, + 622 + ], + "score": 1.0, + "content": "Fix any", + "type": "text" + }, + { + "bbox": [ + 139, + 608, + 191, + 620 + ], + "score": 0.92, + "content": "C , \\ell , k \\in \\mathbb { Z } _ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 605, + 351, + 622 + ], + "score": 1.0, + "content": ". 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Fix any", + "type": "text" + }, + { + "bbox": [ + 193, + 103, + 222, + 114 + ], + "score": 0.9, + "content": "\\lambda \\geq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 102, + 243, + 115 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 243, + 103, + 281, + 114 + ], + "score": 0.9, + "content": "m \\geq 2 \\lambda", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 102, + 506, + 115 + ], + "score": 1.0, + "content": ". 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Let the dataset include", + "type": "text" + }, + { + "bbox": [ + 228, + 151, + 239, + 159 + ], + "score": 0.75, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 148, + 352, + 161 + ], + "score": 1.0, + "content": "points that are all labeled 0.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4, + "bbox_fs": [ + 106, + 148, + 352, + 161 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 164, + 505, + 189 + ], + "lines": [ + { + "bbox": [ + 105, + 164, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 164, + 122, + 178 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 165, + 161, + 177 + ], + "score": 0.91, + "content": "K \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 164, + 284, + 178 + ], + "score": 1.0, + "content": "be randomly chosen such that", + "type": "text" + }, + { + "bbox": [ + 285, + 165, + 323, + 178 + ], + "score": 0.92, + "content": "K \\subset [ m ]", + 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This is not sufficient, but is necessary.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 393, + 505, + 429 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 433, + 451, + 446 + ], + "lines": [ + { + "bbox": [ + 104, + 431, + 452, + 448 + ], + "spans": [ + { + "bbox": [ + 104, + 431, + 219, + 448 + ], + "score": 1.0, + "content": "Furthermore, for any subset", + "type": "text" + }, + { + "bbox": [ + 220, + 434, + 265, + 446 + ], + "score": 0.92, + "content": "| S | \\le m / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 431, + 347, + 448 + ], + "score": 1.0, + "content": ", the probability that", + "type": "text" + }, + { + "bbox": [ + 347, + 434, + 378, + 444 + ], + "score": 0.85, + "content": "K \\subset S", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 431, + 419, + 448 + ], + "score": 1.0, + "content": "is at most", + "type": "text" + }, + { + "bbox": [ + 420, + 432, + 447, + 446 + ], + "score": 0.9, + "content": "1 / 2 ^ { | K | }", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 431, + 452, + 448 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20, + "bbox_fs": [ + 104, + 431, + 452, + 448 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 451, + 507, + 475 + ], + "lines": [ + { + "bbox": [ + 105, + 450, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 219, + 465 + ], + "score": 1.0, + "content": "Thus, by a union bound, in", + "type": "text" + }, + { + "bbox": [ + 219, + 451, + 248, + 462 + ], + "score": 0.92, + "content": "2 ^ { | K | - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 450, + 332, + 465 + ], + "score": 1.0, + "content": "iterations, there is a", + "type": "text" + }, + { + "bbox": [ + 332, + 452, + 349, + 464 + ], + "score": 0.71, + "content": "1 / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 349, + 450, + 506, + 465 + ], + "score": 1.0, + "content": "chance that the algorithm has not met", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 462, + 489, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 489, + 475 + ], + "score": 1.0, + "content": "the necessary condition and thus is not done. Thus, the expected number of iterations is at least", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 450, + 506, + 475 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 236, + 495, + 375, + 508 + ], + "lines": [ + { + "bbox": [ + 236, + 495, + 375, + 508 + ], + "spans": [ + { + "bbox": [ + 236, + 495, + 375, + 508 + ], + "score": 0.9, + "content": "2 ^ { | K | - 1 } = 2 ^ { \\lfloor m / ( 2 \\lambda ) \\rfloor - 1 } = 2 ^ { \\Omega ( m / \\lambda ) }", + "type": "interline_equation", + "image_path": "8842a87e129b266b5c49603f6b4df6f956ad33b729e947f89dd86ec915a5c8be.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 236, + 495, + 375, + 508 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "title", + "bbox": [ + 107, + 540, + 292, + 552 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 293, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 293, + 553 + ], + "score": 1.0, + "content": "E.2 QUERY LOWER BOUND FOR SMALL N", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 105, + 560, + 504, + 573 + ], + "lines": [ + { + "bbox": [ + 105, + 560, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 560, + 215, + 574 + ], + "score": 1.0, + "content": "Just for this section, define", + "type": "text" + }, + { + "bbox": [ + 216, + 560, + 311, + 573 + ], + "score": 0.93, + "content": "[ n ] = \\{ 0 , 1 , \\ldots , n - 1 \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 560, + 505, + 574 + ], + "score": 1.0, + "content": ". In other words, we start at zero rather than one.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 560, + 505, + 574 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 578, + 504, + 603 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 505, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 355, + 593 + ], + "score": 1.0, + "content": "Here we describe a ranked minimal error learner that requires", + "type": "text" + }, + { + "bbox": [ + 355, + 578, + 424, + 592 + ], + "score": 0.92, + "content": "\\widetilde \\Omega ( d ^ { * } \\log ( m / d ^ { * } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 425, + 579, + 505, + 593 + ], + "score": 1.0, + "content": "iterations (queries)", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 591, + 373, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 373, + 604 + ], + "score": 1.0, + "content": "to even achieve even a rough approximation of the optimal subset.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 578, + 505, + 604 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 607, + 458, + 620 + ], + "lines": [ + { + "bbox": [ + 104, + 605, + 455, + 622 + ], + "spans": [ + { + "bbox": [ + 104, + 605, + 139, + 622 + ], + "score": 1.0, + "content": "Fix any", + "type": "text" + }, + { + "bbox": [ + 139, + 608, + 191, + 620 + ], + "score": 0.92, + "content": "C , \\ell , k \\in \\mathbb { Z } _ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 605, + 351, + 622 + ], + "score": 1.0, + "content": ". Let there be a randomly chosen vector", + "type": "text" + }, + { + "bbox": [ + 351, + 607, + 390, + 620 + ], + "score": 0.92, + "content": "{ \\vec { c } } \\in [ C ] ^ { k \\ell }", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 605, + 419, + 622 + ], + "score": 1.0, + "content": ". Index", + "type": "text" + }, + { + "bbox": [ + 420, + 608, + 426, + 618 + ], + "score": 0.75, + "content": "\\vec { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 605, + 439, + 622 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 439, + 608, + 455, + 620 + ], + "score": 0.84, + "content": "[ k \\ell ]", + "type": "inline_equation" + } + ], + "index": 28 + } + ], + "index": 28, + "bbox_fs": [ + 104, + 605, + 455, + 622 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 624, + 304, + 636 + ], + "lines": [ + { + "bbox": [ + 106, + 624, + 304, + 637 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 304, + 637 + ], + "score": 1.0, + "content": "For simplicity let the ground truth labels all be 0.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29, + "bbox_fs": [ + 106, + 624, + 304, + 637 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 640, + 185, + 655 + ], + "lines": [ + { + "bbox": [ + 105, + 639, + 186, + 656 + ], + "spans": [ + { + "bbox": [ + 105, + 639, + 122, + 656 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 640, + 182, + 654 + ], + "score": 0.93, + "content": "x \\in [ k ] \\times [ C ] ^ { \\ell }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 639, + 186, + 656 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 639, + 186, + 656 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 659, + 504, + 682 + ], + "lines": [ + { + "bbox": [ + 105, + 658, + 505, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 658, + 157, + 671 + ], + "score": 1.0, + "content": "Let there be", + "type": "text" + }, + { + "bbox": [ + 157, + 659, + 186, + 669 + ], + "score": 0.91, + "content": "k \\ell + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 658, + 481, + 671 + ], + "score": 1.0, + "content": "hypotheses where one hypothesis is a hypothesis that makes no mistakes", + "type": "text" + }, + { + "bbox": [ + 481, + 659, + 505, + 670 + ], + "score": 0.85, + "content": "h ^ { * } =", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 669, + 360, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 670, + 122, + 681 + ], + "score": 0.88, + "content": "h _ { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 669, + 180, + 682 + ], + "score": 1.0, + "content": ". 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So", + "type": "text" + }, + { + "bbox": [ + 253, + 100, + 265, + 111 + ], + "score": 0.86, + "content": "h _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 97, + 506, + 112 + ], + "score": 1.0, + "content": "is preferred, and we must rule out all but the last hypothesis", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 111, + 192, + 122 + ], + "spans": [ + { + "bbox": [ + 106, + 111, + 192, + 122 + ], + "score": 1.0, + "content": "to achieve zero error.", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 107, + 127, + 503, + 150 + ], + "lines": [ + { + "bbox": [ + 106, + 126, + 504, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 126, + 504, + 140 + ], + "score": 1.0, + "content": "We assume the teacher knows everything about the structure of the hypotheses except for the ran-", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 138, + 278, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 189, + 151 + ], + "score": 1.0, + "content": "domness in defining", + "type": "text" + }, + { + "bbox": [ + 189, + 139, + 196, + 149 + ], + "score": 0.77, + "content": "\\vec { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 138, + 278, + 151 + ], + "score": 1.0, + "content": "(the random “key”).", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 108, + 155, + 414, + 167 + ], + "lines": [ + { + "bbox": [ + 105, + 154, + 414, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 331, + 169 + ], + "score": 1.0, + "content": "Note that we can cover all non-optimal hypotheses with", + "type": "text" + }, + { + "bbox": [ + 331, + 156, + 338, + 165 + ], + "score": 0.8, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 154, + 380, + 169 + ], + "score": 1.0, + "content": "points, so", + "type": "text" + }, + { + "bbox": [ + 380, + 156, + 410, + 165 + ], + "score": 0.89, + "content": "d ^ { * } = k", + "type": "inline_equation" + }, + { + "bbox": [ + 410, + 154, + 414, + 169 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 106, + 171, + 505, + 243 + ], + "lines": [ + { + "bbox": [ + 106, + 172, + 506, + 185 + ], + "spans": [ + { + "bbox": [ + 106, + 172, + 388, + 185 + ], + "score": 1.0, + "content": "We now describe the dynamics of making queries. At every iteration", + "type": "text" + }, + { + "bbox": [ + 388, + 173, + 393, + 182 + ], + "score": 0.74, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 172, + 506, + 185 + ], + "score": 1.0, + "content": ", the teacher can keep track", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 182, + 506, + 196 + ], + "spans": [ + { + "bbox": [ + 105, + 182, + 275, + 196 + ], + "score": 1.0, + "content": "of an uncertainty set for each element of", + "type": "text" + }, + { + "bbox": [ + 276, + 184, + 282, + 193 + ], + "score": 0.69, + "content": "\\vec { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 182, + 356, + 196 + ], + "score": 1.0, + "content": ". In particular, let", + "type": "text" + }, + { + "bbox": [ + 357, + 183, + 416, + 195 + ], + "score": 0.94, + "content": "V _ { t , i } \\in \\mathcal { P } ( [ C ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 182, + 506, + 196 + ], + "score": 1.0, + "content": "be an uncertainty set", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 193, + 505, + 209 + ], + "spans": [ + { + "bbox": [ + 104, + 193, + 186, + 209 + ], + "score": 1.0, + "content": "such that we know", + "type": "text" + }, + { + "bbox": [ + 186, + 195, + 224, + 208 + ], + "score": 0.92, + "content": "\\vec { c } _ { i } \\in V _ { t , i }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 193, + 251, + 209 + ], + "score": 1.0, + "content": "at the", + "type": "text" + }, + { + "bbox": [ + 252, + 195, + 264, + 205 + ], + "score": 0.88, + "content": "t ^ { t h }", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 193, + 487, + 209 + ], + "score": 1.0, + "content": "iteration. 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If we know that we", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 218, + 506, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 141, + 232 + ], + "score": 1.0, + "content": "covered", + "type": "text" + }, + { + "bbox": [ + 141, + 219, + 151, + 230 + ], + "score": 0.86, + "content": "h _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 218, + 222, + 232 + ], + "score": 1.0, + "content": "with a query set", + "type": "text" + }, + { + "bbox": [ + 222, + 219, + 235, + 230 + ], + "score": 0.89, + "content": "X _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 218, + 506, + 232 + ], + "score": 1.0, + "content": "(by knowing the ranked order of hypotheses), then we know that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 230, + 215, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 215, + 244 + ], + "score": 0.84, + "content": "\\begin{array} { r } { \\vec { c } _ { i } \\in \\bigcup _ { x \\in X 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For an algorithm to", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 259, + 430, + 272 + ], + "spans": [ + { + "bbox": [ + 106, + 259, + 264, + 272 + ], + "score": 1.0, + "content": "achieve a final subset of size of at most", + "type": "text" + }, + { + "bbox": [ + 265, + 261, + 277, + 270 + ], + "score": 0.84, + "content": "\\lambda k", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 259, + 374, + 272 + ], + "score": 1.0, + "content": ", it must be the case that", + "type": "text" + }, + { + "bbox": [ + 375, + 260, + 426, + 272 + ], + "score": 0.93, + "content": "Q ( Z _ { t } ) \\leq \\lambda k", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 259, + 430, + 272 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "text", + "bbox": [ + 106, + 274, + 504, + 297 + ], + "lines": [ + { + "bbox": [ + 105, + 274, + 505, + 287 + ], + "spans": [ + { + "bbox": [ + 105, + 274, + 368, + 287 + ], + "score": 1.0, + "content": "Lemma 7. For an algorithm to achieve a final subset at iteration", + "type": "text" + }, + { + "bbox": [ + 369, + 276, + 373, + 285 + ], + "score": 0.41, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 274, + 433, + 287 + ], + "score": 1.0, + "content": "of size at most", + "type": "text" + }, + { + "bbox": [ + 433, + 275, + 446, + 285 + ], + "score": 0.75, + "content": "\\lambda k", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 274, + 505, + 287 + ], + "score": 1.0, + "content": ", it must be the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 285, + 146, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 146, + 298 + ], + "score": 1.0, + "content": "case that", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "interline_equation", + "bbox": [ + 261, + 299, + 349, + 327 + ], + "lines": [ + { + "bbox": [ + 261, + 299, + 349, + 327 + ], + "spans": [ + { + "bbox": [ + 261, + 299, + 349, + 327 + ], + "score": 0.94, + "content": "P ( Z _ { t } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right)", + "type": "interline_equation", + "image_path": "aec01d9e61821483dac6a4d8c080b9c4db6f285b400afb8217d04fef11bfa71f.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 261, + 299, + 349, + 327 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 336, + 505, + 360 + ], + "lines": [ + { + "bbox": [ + 104, + 334, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 104, + 334, + 404, + 352 + ], + "score": 1.0, + "content": "Proof. 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For an algorithm to achieve a final subset at iteration", + "type": "text" + }, + { + "bbox": [ + 369, + 276, + 373, + 285 + ], + "score": 0.41, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 274, + 433, + 287 + ], + "score": 1.0, + "content": "of size at most", + "type": "text" + }, + { + "bbox": [ + 433, + 275, + 446, + 285 + ], + "score": 0.75, + "content": "\\lambda k", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 274, + 505, + 287 + ], + "score": 1.0, + "content": ", it must be the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 285, + 146, + 298 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 146, + 298 + ], + "score": 1.0, + "content": "case that", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 274, + 505, + 298 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 261, + 299, + 349, + 327 + ], + "lines": [ + { + "bbox": [ + 261, + 299, + 349, + 327 + ], + "spans": [ + { + "bbox": [ + 261, + 299, + 349, + 327 + ], + "score": 0.94, + "content": "P ( Z _ { t } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right)", + "type": "interline_equation", + "image_path": "aec01d9e61821483dac6a4d8c080b9c4db6f285b400afb8217d04fef11bfa71f.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 261, + 299, + 349, + 327 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 336, + 505, + 360 + ], + "lines": [ + { + "bbox": [ + 104, + 334, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 104, + 334, + 404, + 352 + ], + "score": 1.0, + "content": "Proof. This follows from solving the relaxed optimization problem where", + "type": "text" + }, + { + "bbox": [ + 404, + 338, + 440, + 350 + ], + "score": 0.93, + "content": "Z _ { t , i } \\in \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 441, + 334, + 458, + 352 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 459, + 337, + 506, + 350 + ], + "score": 0.9, + "content": "1 \\leq Z _ { t , i } \\leq", + "type": "inline_equation" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 347, + 121, + 362 + ], + "spans": [ + { + "bbox": [ + 107, + 350, + 115, + 358 + ], + "score": 0.78, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 115, + 347, + 121, + 362 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 104, + 334, + 506, + 362 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 236, + 381, + 375, + 396 + ], + "lines": [ + { + "bbox": [ + 236, + 381, + 375, + 396 + ], + "spans": [ + { + "bbox": [ + 236, + 381, + 375, + 396 + ], + "score": 0.87, + "content": "\\operatorname* { m i n } P ( Z _ { t } ) { \\mathrm { ~ s u c h ~ t h a t ~ } } Q ( Z _ { t } ) \\leq \\lambda k", + "type": "interline_equation", + "image_path": "c756f87b4eac22cf48abe49890ba93111e26699c8ad774e8c79e67e771d0e895.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 236, + 381, + 375, + 396 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 405, + 398, + 418 + ], + "lines": [ + { + "bbox": [ + 105, + 403, + 397, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 306, + 420 + ], + "score": 1.0, + "content": "which has a global solution where all elements of", + "type": "text" + }, + { + "bbox": [ + 306, + 406, + 317, + 417 + ], + "score": 0.9, + "content": "Z _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 318, + 403, + 361, + 420 + ], + "score": 1.0, + "content": "are equal:", + "type": "text" + }, + { + "bbox": [ + 361, + 406, + 397, + 418 + ], + "score": 0.91, + "content": "Z _ { t , i } = \\lambda", + "type": "inline_equation" + } + ], + "index": 16 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 403, + 397, + 420 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 424, + 151, + 435 + ], + "lines": [ + { + "bbox": [ + 105, + 422, + 152, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 422, + 152, + 436 + ], + "score": 1.0, + "content": "Lemma 8.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "interline_equation", + "bbox": [ + 233, + 439, + 378, + 454 + ], + "lines": [ + { + "bbox": [ + 233, + 439, + 378, + 454 + ], + "spans": [ + { + "bbox": [ + 233, + 439, + 378, + 454 + ], + "score": 0.9, + "content": "\\mathbb { E } [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] \\leq 1 + \\ln ( C )", + "type": "interline_equation", + "image_path": "87f0c8da2ff1bf357d088c7d5ff78144f81e66b972732786ca858786277bbff3.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 233, + 439, + 378, + 454 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 465, + 133, + 476 + ], + "lines": [ + { + "bbox": [ + 104, + 463, + 135, + 480 + ], + "spans": [ + { + "bbox": [ + 104, + 463, + 135, + 480 + ], + "score": 1.0, + "content": "Proof.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19, + "bbox_fs": [ + 104, + 463, + 135, + 480 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 158, + 481, + 452, + 695 + ], + "lines": [ + { + "bbox": [ + 158, + 481, + 452, + 695 + ], + "spans": [ + { + "bbox": [ + 158, + 481, + 452, + 695 + ], + "score": 0.95, + "content": "\\begin{array} { r l } { \\sum [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] = \\mathbb { E } \\Bigg [ \\displaystyle \\sum _ { i = 1 } ^ { N } \\log \\left( \\frac { Z _ { t , i + 1 } } { Z _ { t + 1 } } \\right) \\Bigg ] } \\\\ & { = \\displaystyle \\sum _ { i = 1 } ^ { N } \\mathbb { P } ( \\bar { X } _ { t } - 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Then,", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "interline_equation", + "bbox": [ + 112, + 176, + 497, + 244 + ], + "lines": [ + { + "bbox": [ + 112, + 176, + 497, + 244 + ], + "spans": [ + { + "bbox": [ + 112, + 176, + 497, + 244 + ], + "score": 0.93, + "content": "\\begin{array} { l } { { \\displaystyle \\sum _ { i = 0 } ^ { k \\ell - 1 } \\left( \\prod _ { j = 0 } ^ { i } \\pi _ { j } \\right) \\ln \\left( \\frac { 1 } { \\pi _ { i } } \\right) = \\pi _ { 0 } \\ln \\left( \\frac { 1 } { \\pi _ { 0 } } \\right) + \\pi _ { 0 } \\pi _ { 1 } \\ln \\left( \\frac { 1 } { \\pi _ { 1 } } \\right) + \\dots + \\pi _ { 0 } \\pi _ { 1 } \\dots \\pi _ { k \\ell - 1 } \\ln \\left( \\frac { 1 } { \\pi _ { k \\ell - 1 } } \\right) } } \\\\ { { \\displaystyle \\qquad ( 7 \\pi _ { 0 } ( f _ { \\pi _ { 1 } } ( \\dots f _ { \\pi _ { k \\ell - 2 } } ( f _ { \\pi _ { k \\ell - 1 } } ( 0 ) ) \\dots ) ) } } \\\\ { { \\displaystyle \\qquad ( 7 \\pi _ { 0 } ( f _ { \\pi _ { 1 } } ( \\dots f _ { \\pi _ { k \\ell - 2 } } ( f _ { \\pi _ { k \\ell - 1 } } ( 0 ) ) \\dots ) ) } } \\end{array} ( 7 ) ~ ,", + "type": "interline_equation", + "image_path": "6337034f674c6261f038dd37e203eaf6df9569e319390af5da3326f5e9922212.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 112, + 176, + 497, + 198.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 112, + 198.66666666666666, + 497, + 221.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 112, + 221.33333333333331, + 497, + 243.99999999999997 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 251, + 397, + 265 + ], + "lines": [ + { + "bbox": [ + 105, + 250, + 398, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 154, + 266 + ], + "score": 1.0, + "content": "Note that if", + "type": "text" + }, + { + "bbox": [ + 154, + 253, + 180, + 263 + ], + "score": 0.9, + "content": "\\sigma \\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 250, + 203, + 266 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 203, + 252, + 247, + 264 + ], + "score": 0.93, + "content": "f _ { \\pi } ( \\sigma ) \\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 250, + 279, + 266 + ], + "score": 1.0, + "content": "for any", + "type": "text" + }, + { + "bbox": [ + 279, + 252, + 322, + 263 + ], + "score": 0.88, + "content": "0 \\leq \\pi \\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 250, + 398, + 266 + ], + "score": 1.0, + "content": ". So, by induction,", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "interline_equation", + "bbox": [ + 244, + 281, + 366, + 322 + ], + "lines": [ + { + "bbox": [ + 244, + 281, + 366, + 322 + ], + "spans": [ + { + "bbox": [ + 244, + 281, + 366, + 322 + ], + "score": 0.94, + "content": "\\sum _ { i = 0 } ^ { k \\ell - 1 } \\left( \\prod _ { j = 0 } ^ { i } \\pi _ { j } \\right) \\ln \\left( { \\frac { 1 } { \\pi _ { i } } } \\right) \\leq 1", + "type": "interline_equation", + "image_path": "b9c29b256a102cdb3b055c254daf2c5cc7540b117d769a939334fa307854fa49.jpg" + } + ] + } + ], + "index": 7.5, + "virtual_lines": [ + { + "bbox": [ + 244, + 281, + 366, + 301.5 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 244, + 301.5, + 366, + 322.0 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 331, + 193, + 343 + ], + "lines": [ + { + "bbox": [ + 106, + 331, + 194, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 194, + 344 + ], + "score": 1.0, + "content": "and we get the result.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 354, + 506, + 380 + ], + "lines": [ + { + "bbox": [ + 106, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 284, + 368 + ], + "score": 1.0, + "content": "Intuitively, if an algorithm can only increase", + "type": "text" + }, + { + "bbox": [ + 284, + 355, + 311, + 367 + ], + "score": 0.91, + "content": "P ( Z _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 354, + 389, + 368 + ], + "score": 1.0, + "content": "(in expectation) by", + "type": "text" + }, + { + "bbox": [ + 389, + 355, + 430, + 367 + ], + "score": 0.93, + "content": "1 + \\ln ( C )", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "for every iteration", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 366, + 421, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 241, + 379 + ], + "score": 1.0, + "content": "and the algorithm isn’t done until", + "type": "text" + }, + { + "bbox": [ + 242, + 367, + 321, + 380 + ], + "score": 0.92, + "content": "\\begin{array} { r } { P ( Z _ { t } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 366, + 421, + 379 + ], + "score": 1.0, + "content": ", we have a lower bound.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 104, + 381, + 476, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 381, + 478, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 372, + 394 + ], + "score": 1.0, + "content": "Lemma 9. For any algorithm that returns a subset of size at most", + "type": "text" + }, + { + "bbox": [ + 372, + 382, + 385, + 392 + ], + "score": 0.64, + "content": "\\lambda k", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 381, + 466, + 394 + ], + "score": 1.0, + "content": "at random iteration", + "type": "text" + }, + { + "bbox": [ + 466, + 384, + 473, + 392 + ], + "score": 0.73, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 381, + 478, + 394 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "interline_equation", + "bbox": [ + 239, + 397, + 372, + 425 + ], + "lines": [ + { + "bbox": [ + 239, + 397, + 372, + 425 + ], + "spans": [ + { + "bbox": [ + 239, + 397, + 372, + 425 + ], + "score": 0.94, + "content": "\\operatorname* { P r } \\left[ \\tau \\leq \\left\\lfloor \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\right\\rfloor \\right] \\leq \\frac { 1 } { 2 }", + "type": "interline_equation", + "image_path": "61322e448d9ed22fac06bbce1510c4f7a4882129f87a11cbbdef29fc7901108b.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 239, + 397, + 372, + 425 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 435, + 276, + 448 + ], + "lines": [ + { + "bbox": [ + 105, + 433, + 277, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 184, + 450 + ], + "score": 1.0, + "content": "Proof. Noting that", + "type": "text" + }, + { + "bbox": [ + 184, + 435, + 230, + 448 + ], + "score": 0.96, + "content": "P ( Z _ { 1 } ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 433, + 264, + 450 + ], + "score": 1.0, + "content": ", for any", + "type": "text" + }, + { + "bbox": [ + 265, + 436, + 273, + 446 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 433, + 277, + 450 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "interline_equation", + "bbox": [ + 223, + 466, + 388, + 516 + ], + "lines": [ + { + "bbox": [ + 223, + 466, + 388, + 516 + ], + "spans": [ + { + "bbox": [ + 223, + 466, + 388, + 516 + ], + "score": 0.94, + "content": "\\begin{array} { r l r } { { \\mathbb { E } [ P ( Z _ { T + 1 } ) ] = \\sum _ { t = 1 } ^ { T } \\mathbb { E } [ P ( Z _ { t + 1 } - P ( Z _ { t } ) ] } } \\\\ & { } & { \\leq T ( 1 + \\ln ( C ) ) } \\end{array}", + "type": "interline_equation", + "image_path": "e26bb4f081eaecdb64e38f589ad9ee28e0b80f1775670a0395fb5a54507d5ef0.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 223, + 466, + 388, + 482.6666666666667 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 223, + 482.6666666666667, + 388, + 499.33333333333337 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 223, + 499.33333333333337, + 388, + 516.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 524, + 205, + 536 + ], + "lines": [ + { + "bbox": [ + 105, + 522, + 206, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 206, + 540 + ], + "score": 1.0, + "content": "By Markov’s inequality,", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "interline_equation", + "bbox": [ + 212, + 555, + 398, + 642 + ], + "lines": [ + { + "bbox": [ + 212, + 555, + 398, + 642 + ], + "spans": [ + { + "bbox": [ + 212, + 555, + 398, + 642 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\operatorname* { P r } ( \\tau \\leq T ) \\leq \\operatorname* { P r } \\left( P ( Z _ { T + 1 } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) \\right) } \\\\ & { \\qquad \\leq \\frac { \\operatorname { \\mathbb { E } } [ P ( Z _ { T + 1 } ) ] } { k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } } \\\\ & { \\qquad \\leq \\frac { T ( 1 + \\ln ( C ) ) } { k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } } \\end{array}", + "type": "interline_equation", + "image_path": "e7290cbb9361ed7e4f4e432b1c42a21bde703c5f8cacf1b926e4bdb76c4ff83c.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 212, + 555, + 398, + 572.4 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 212, + 572.4, + 398, + 589.8 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 212, + 589.8, + 398, + 607.1999999999999 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 212, + 607.1999999999999, + 398, + 624.5999999999999 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 212, + 624.5999999999999, + 398, + 641.9999999999999 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 650, + 374, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 643, + 381, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 143, + 675 + ], + "score": 1.0, + "content": "If we set", + "type": "text" + }, + { + "bbox": [ + 144, + 651, + 215, + 669 + ], + "score": 0.94, + "content": "\\begin{array} { r } { T = \\lfloor \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\rfloor } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 643, + 239, + 675 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 239, + 652, + 304, + 667 + ], + "score": 0.94, + "content": "\\textstyle \\operatorname* { P r } ( \\tau \\leq T ) \\leq { \\frac { 1 } { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 643, + 381, + 675 + ], + "score": 1.0, + "content": ". Or equivalently,", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "interline_equation", + "bbox": [ + 243, + 683, + 369, + 711 + ], + "lines": [ + { + "bbox": [ + 243, + 683, + 369, + 711 + ], + "spans": [ + { + "bbox": [ + 243, + 683, + 369, + 711 + ], + "score": 0.93, + "content": "\\operatorname* { P r } \\left( \\tau \\geq \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\right) \\geq \\frac { 1 } { 2 }", + "type": "interline_equation", + "image_path": "7b19b8dbfb3195956e877177176b102134b0ffb6636b0ab0ac2af59926b825a7.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 243, + 683, + 369, + 711 + ], + "spans": [], + "index": 25 + } + ] + } + ], + "page_idx": 25, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 308, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 721, + 505, + 731 + ], + "lines": [ + { + "bbox": [ + 496, + 722, + 505, + 731 + ], + "spans": [ + { + "bbox": [ + 496, + 722, + 505, + 731 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 331, + 505, + 342 + ], + "lines": [ + { + "bbox": [ + 495, + 333, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 495, + 333, + 505, + 343 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 761 + ], + "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": "interline_equation", + "bbox": [ + 186, + 95, + 424, + 136 + ], + "lines": [ + { + "bbox": [ + 186, + 95, + 424, + 136 + ], + "spans": [ + { + "bbox": [ + 186, + 95, + 424, + 136 + ], + "score": 0.95, + "content": "\\mathbb { E } [ P ( Z _ { t + 1 } ) - P ( Z _ { t } ) ] \\leq \\ln ( C ) + \\sum _ { i = 0 } ^ { k \\ell - 1 } \\left( \\prod _ { j = 0 } ^ { i } \\pi _ { j } \\right) \\ln \\left( \\frac { 1 } { \\pi _ { i } } \\right)", + "type": "interline_equation", + "image_path": "3a9c5fe58ec57b6bbf914b3a9c310d89786a3893e7c4e8c1524b0bb3ea387e22.jpg" + } + ] + } + ], + "index": 0.5, + "virtual_lines": [ + { + "bbox": [ + 186, + 95, + 424, + 115.5 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 186, + 115.5, + 424, + 136.0 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 145, + 265, + 159 + ], + "lines": [ + { + "bbox": [ + 105, + 144, + 266, + 161 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 136, + 161 + ], + "score": 1.0, + "content": "Define", + "type": "text" + }, + { + "bbox": [ + 136, + 145, + 235, + 160 + ], + "score": 0.92, + "content": "\\begin{array} { r } { f _ { \\pi } ( \\sigma ) = \\pi \\left( \\ln \\left( \\frac { 1 } { \\pi } \\right) + \\sigma \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 144, + 266, + 161 + ], + "score": 1.0, + "content": ". Then,", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 144, + 266, + 161 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 112, + 176, + 497, + 244 + ], + "lines": [ + { + "bbox": [ + 112, + 176, + 497, + 244 + ], + "spans": [ + { + "bbox": [ + 112, + 176, + 497, + 244 + ], + "score": 0.93, + "content": "\\begin{array} { l } { { \\displaystyle \\sum _ { i = 0 } ^ { k \\ell - 1 } \\left( \\prod _ { j = 0 } ^ { i } \\pi _ { j } \\right) \\ln \\left( \\frac { 1 } { \\pi _ { i } } \\right) = \\pi _ { 0 } \\ln \\left( \\frac { 1 } { \\pi _ { 0 } } \\right) + \\pi _ { 0 } \\pi _ { 1 } \\ln \\left( \\frac { 1 } { \\pi _ { 1 } } \\right) + \\dots + \\pi _ { 0 } \\pi _ { 1 } \\dots \\pi _ { k \\ell - 1 } \\ln \\left( \\frac { 1 } { \\pi _ { k \\ell - 1 } } \\right) } } \\\\ { { \\displaystyle \\qquad ( 7 \\pi _ { 0 } ( f _ { \\pi _ { 1 } } ( \\dots f _ { \\pi _ { k \\ell - 2 } } ( f _ { \\pi _ { k \\ell - 1 } } ( 0 ) ) \\dots ) ) } } \\\\ { { \\displaystyle \\qquad ( 7 \\pi _ { 0 } ( f _ { \\pi _ { 1 } } ( \\dots f _ { \\pi _ { k \\ell - 2 } } ( f _ { \\pi _ { k \\ell - 1 } } ( 0 ) ) \\dots ) ) } } \\end{array} ( 7 ) ~ ,", + "type": "interline_equation", + "image_path": "6337034f674c6261f038dd37e203eaf6df9569e319390af5da3326f5e9922212.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 112, + 176, + 497, + 198.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 112, + 198.66666666666666, + 497, + 221.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 112, + 221.33333333333331, + 497, + 243.99999999999997 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 251, + 397, + 265 + ], + "lines": [ + { + "bbox": [ + 105, + 250, + 398, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 250, + 154, + 266 + ], + "score": 1.0, + "content": "Note that if", + "type": "text" + }, + { + "bbox": [ + 154, + 253, + 180, + 263 + ], + "score": 0.9, + "content": "\\sigma \\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 250, + 203, + 266 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 203, + 252, + 247, + 264 + ], + "score": 0.93, + "content": "f _ { \\pi } ( \\sigma ) \\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 247, + 250, + 279, + 266 + ], + "score": 1.0, + "content": "for any", + "type": "text" + }, + { + "bbox": [ + 279, + 252, + 322, + 263 + ], + "score": 0.88, + "content": "0 \\leq \\pi \\leq 1", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 250, + 398, + 266 + ], + "score": 1.0, + "content": ". So, by induction,", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 105, + 250, + 398, + 266 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 244, + 281, + 366, + 322 + ], + "lines": [ + { + "bbox": [ + 244, + 281, + 366, + 322 + ], + "spans": [ + { + "bbox": [ + 244, + 281, + 366, + 322 + ], + "score": 0.94, + "content": "\\sum _ { i = 0 } ^ { k \\ell - 1 } \\left( \\prod _ { j = 0 } ^ { i } \\pi _ { j } \\right) \\ln \\left( { \\frac { 1 } { \\pi _ { i } } } \\right) \\leq 1", + "type": "interline_equation", + "image_path": "b9c29b256a102cdb3b055c254daf2c5cc7540b117d769a939334fa307854fa49.jpg" + } + ] + } + ], + "index": 7.5, + "virtual_lines": [ + { + "bbox": [ + 244, + 281, + 366, + 301.5 + ], + "spans": [], + "index": 7 + }, + { + "bbox": [ + 244, + 301.5, + 366, + 322.0 + ], + "spans": [], + "index": 8 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 331, + 193, + 343 + ], + "lines": [ + { + "bbox": [ + 106, + 331, + 194, + 344 + ], + "spans": [ + { + "bbox": [ + 106, + 331, + 194, + 344 + ], + "score": 1.0, + "content": "and we get the result.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9, + "bbox_fs": [ + 106, + 331, + 194, + 344 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 354, + 506, + 380 + ], + "lines": [ + { + "bbox": [ + 106, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 284, + 368 + ], + "score": 1.0, + "content": "Intuitively, if an algorithm can only increase", + "type": "text" + }, + { + "bbox": [ + 284, + 355, + 311, + 367 + ], + "score": 0.91, + "content": "P ( Z _ { t } )", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 354, + 389, + 368 + ], + "score": 1.0, + "content": "(in expectation) by", + "type": "text" + }, + { + "bbox": [ + 389, + 355, + 430, + 367 + ], + "score": 0.93, + "content": "1 + \\ln ( C )", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "for every iteration", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 366, + 421, + 380 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 241, + 379 + ], + "score": 1.0, + "content": "and the algorithm isn’t done until", + "type": "text" + }, + { + "bbox": [ + 242, + 367, + 321, + 380 + ], + "score": 0.92, + "content": "\\begin{array} { r } { P ( Z _ { t } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 366, + 421, + 379 + ], + "score": 1.0, + "content": ", we have a lower bound.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5, + "bbox_fs": [ + 106, + 354, + 505, + 380 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 381, + 476, + 393 + ], + "lines": [ + { + "bbox": [ + 105, + 381, + 478, + 394 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 372, + 394 + ], + "score": 1.0, + "content": "Lemma 9. For any algorithm that returns a subset of size at most", + "type": "text" + }, + { + "bbox": [ + 372, + 382, + 385, + 392 + ], + "score": 0.64, + "content": "\\lambda k", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 381, + 466, + 394 + ], + "score": 1.0, + "content": "at random iteration", + "type": "text" + }, + { + "bbox": [ + 466, + 384, + 473, + 392 + ], + "score": 0.73, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 381, + 478, + 394 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 381, + 478, + 394 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 239, + 397, + 372, + 425 + ], + "lines": [ + { + "bbox": [ + 239, + 397, + 372, + 425 + ], + "spans": [ + { + "bbox": [ + 239, + 397, + 372, + 425 + ], + "score": 0.94, + "content": "\\operatorname* { P r } \\left[ \\tau \\leq \\left\\lfloor \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\right\\rfloor \\right] \\leq \\frac { 1 } { 2 }", + "type": "interline_equation", + "image_path": "61322e448d9ed22fac06bbce1510c4f7a4882129f87a11cbbdef29fc7901108b.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 239, + 397, + 372, + 425 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 435, + 276, + 448 + ], + "lines": [ + { + "bbox": [ + 105, + 433, + 277, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 433, + 184, + 450 + ], + "score": 1.0, + "content": "Proof. Noting that", + "type": "text" + }, + { + "bbox": [ + 184, + 435, + 230, + 448 + ], + "score": 0.96, + "content": "P ( Z _ { 1 } ) = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 433, + 264, + 450 + ], + "score": 1.0, + "content": ", for any", + "type": "text" + }, + { + "bbox": [ + 265, + 436, + 273, + 446 + ], + "score": 0.8, + "content": "T", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 433, + 277, + 450 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 433, + 277, + 450 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 223, + 466, + 388, + 516 + ], + "lines": [ + { + "bbox": [ + 223, + 466, + 388, + 516 + ], + "spans": [ + { + "bbox": [ + 223, + 466, + 388, + 516 + ], + "score": 0.94, + "content": "\\begin{array} { r l r } { { \\mathbb { E } [ P ( Z _ { T + 1 } ) ] = \\sum _ { t = 1 } ^ { T } \\mathbb { E } [ P ( Z _ { t + 1 } - P ( Z _ { t } ) ] } } \\\\ & { } & { \\leq T ( 1 + \\ln ( C ) ) } \\end{array}", + "type": "interline_equation", + "image_path": "e26bb4f081eaecdb64e38f589ad9ee28e0b80f1775670a0395fb5a54507d5ef0.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 223, + 466, + 388, + 482.6666666666667 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 223, + 482.6666666666667, + 388, + 499.33333333333337 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 223, + 499.33333333333337, + 388, + 516.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 524, + 205, + 536 + ], + "lines": [ + { + "bbox": [ + 105, + 522, + 206, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 206, + 540 + ], + "score": 1.0, + "content": "By Markov’s inequality,", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 522, + 206, + 540 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 212, + 555, + 398, + 642 + ], + "lines": [ + { + "bbox": [ + 212, + 555, + 398, + 642 + ], + "spans": [ + { + "bbox": [ + 212, + 555, + 398, + 642 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\operatorname* { P r } ( \\tau \\leq T ) \\leq \\operatorname* { P r } \\left( P ( Z _ { T + 1 } ) \\geq k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) \\right) } \\\\ & { \\qquad \\leq \\frac { \\operatorname { \\mathbb { E } } [ P ( Z _ { T + 1 } ) ] } { k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } } \\\\ & { \\qquad \\leq \\frac { T ( 1 + \\ln ( C ) ) } { k \\ell \\ln \\left( \\frac { C } { \\lambda } \\right) } } \\end{array}", + "type": "interline_equation", + "image_path": "e7290cbb9361ed7e4f4e432b1c42a21bde703c5f8cacf1b926e4bdb76c4ff83c.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 212, + 555, + 398, + 572.4 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 212, + 572.4, + 398, + 589.8 + ], + "spans": [], + "index": 20 + }, + { + "bbox": [ + 212, + 589.8, + 398, + 607.1999999999999 + ], + "spans": [], + "index": 21 + }, + { + "bbox": [ + 212, + 607.1999999999999, + 398, + 624.5999999999999 + ], + "spans": [], + "index": 22 + }, + { + "bbox": [ + 212, + 624.5999999999999, + 398, + 641.9999999999999 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 650, + 374, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 643, + 381, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 643, + 143, + 675 + ], + "score": 1.0, + "content": "If we set", + "type": "text" + }, + { + "bbox": [ + 144, + 651, + 215, + 669 + ], + "score": 0.94, + "content": "\\begin{array} { r } { T = \\lfloor \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\rfloor } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 643, + 239, + 675 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 239, + 652, + 304, + 667 + ], + "score": 0.94, + "content": "\\textstyle \\operatorname* { P r } ( \\tau \\leq T ) \\leq { \\frac { 1 } { 2 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 304, + 643, + 381, + 675 + ], + "score": 1.0, + "content": ". Or equivalently,", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 643, + 381, + 675 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 243, + 683, + 369, + 711 + ], + "lines": [ + { + "bbox": [ + 243, + 683, + 369, + 711 + ], + "spans": [ + { + "bbox": [ + 243, + 683, + 369, + 711 + ], + "score": 0.93, + "content": "\\operatorname* { P r } \\left( \\tau \\geq \\frac { k \\ell \\ln ( C / \\lambda ) } { 2 ( 1 + \\ln ( C ) ) } \\right) \\geq \\frac { 1 } { 2 }", + "type": "interline_equation", + "image_path": "7b19b8dbfb3195956e877177176b102134b0ffb6636b0ab0ac2af59926b825a7.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 243, + 683, + 369, + 711 + ], + "spans": [], + "index": 25 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 345, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 79, + 345, + 98 + ], + "spans": [ + { + "bbox": [ + 105, + 79, + 345, + 98 + ], + "score": 1.0, + "content": "Finally, we convert this bound into something more usable.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 99, + 370, + 116 + ], + "lines": [ + { + "bbox": [ + 103, + 97, + 373, + 115 + ], + "spans": [ + { + "bbox": [ + 103, + 97, + 373, + 115 + ], + "score": 1.0, + "content": "Note that d∗ = k, m = kCℓ and N = kℓ + 1. 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While there are many similar and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 428, + 444 + ], + "score": 1.0, + "content": "equivalent formulations, for this work, we formulate the problem in terms of", + "type": "text" + }, + { + "bbox": [ + 428, + 433, + 438, + 442 + ], + "score": 0.74, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 430, + 506, + 444 + ], + "score": 1.0, + "content": "binary decision", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 162, + 455 + ], + "score": 1.0, + "content": "variables and", + "type": "text" + }, + { + "bbox": [ + 163, + 443, + 173, + 452 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "elements, where each element is represented by the decision variables that would", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 197, + 465 + ], + "score": 1.0, + "content": "“cover” the element:", + "type": "text" + }, + { + "bbox": [ + 198, + 453, + 241, + 465 + ], + "score": 0.91, + "content": "Z _ { i } ~ \\subset ~ [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 452, + 281, + 465 + ], + "score": 1.0, + "content": "for each", + "type": "text" + }, + { + "bbox": [ + 282, + 453, + 318, + 465 + ], + "score": 0.92, + "content": "i \\in [ N ]", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 452, + 422, + 465 + ], + "score": 1.0, + "content": ". 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In other words, we choose a subset", + "type": "text" + }, + { + "bbox": [ + 368, + 464, + 403, + 476 + ], + "score": 0.92, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 463, + 505, + 477 + ], + "score": 1.0, + "content": "of the decision variables", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 475, + 435, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 185, + 488 + ], + "score": 1.0, + "content": "so that all elements", + "type": "text" + }, + { + "bbox": [ + 186, + 476, + 197, + 486 + ], + "score": 0.88, + "content": "Z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 475, + 234, + 488 + ], + "score": 1.0, + "content": "intersect", + "type": "text" + }, + { + "bbox": [ + 235, + 476, + 243, + 485 + ], + "score": 0.75, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 475, + 417, + 488 + ], + "score": 1.0, + "content": ". We wish to find a solution of smallest size", + "type": "text" + }, + { + "bbox": [ + 417, + 475, + 430, + 487 + ], + "score": 0.88, + "content": "| S |", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 475, + 435, + 488 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 106, + 492, + 505, + 624 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "In the standard non-interactive version of setcover, all elements and sets are known, and there exist", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 275, + 516 + ], + "score": 1.0, + "content": "algorithms that return a solution of size", + "type": "text" + }, + { + "bbox": [ + 276, + 503, + 342, + 515 + ], + "score": 0.92, + "content": "O ( \\log ( N ) C _ { 0 \\mathrm { { P T } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 502, + 373, + 516 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 373, + 503, + 396, + 514 + ], + "score": 0.88, + "content": "C _ { \\mathrm { O P T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 502, + 505, + 516 + ], + "score": 1.0, + "content": "is the size of the optimal", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "solution set. In an interactive variant known as online set cover (Alon et al., 2009), the elements are", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 525, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 377, + 537 + ], + "score": 1.0, + "content": "not known at the beginning, only the number of decision variables", + "type": "text" + }, + { + "bbox": [ + 378, + 527, + 387, + 535 + ], + "score": 0.69, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 525, + 505, + 537 + ], + "score": 1.0, + "content": ". The algorithm is initialized", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 126, + 549 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 536, + 157, + 547 + ], + "score": 0.92, + "content": "S _ { 0 } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 536, + 256, + 549 + ], + "score": 1.0, + "content": ". Then, for each iteration", + "type": "text" + }, + { + "bbox": [ + 257, + 537, + 307, + 547 + ], + "score": 0.9, + "content": "t = 1 , 2 , \\ldots", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 536, + 442, + 549 + ], + "score": 1.0, + "content": ", an adversary chooses an element", + "type": "text" + }, + { + "bbox": [ + 442, + 536, + 477, + 548 + ], + "score": 0.92, + "content": "i _ { t } \\in [ N ]", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "that is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 180, + 560 + ], + "score": 1.0, + "content": "not intersected by", + "type": "text" + }, + { + "bbox": [ + 180, + 547, + 191, + 558 + ], + "score": 0.88, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 547, + 212, + 560 + ], + "score": 1.0, + "content": "(i.e.", + "type": "text" + }, + { + "bbox": [ + 212, + 547, + 267, + 559 + ], + "score": 0.92, + "content": "S _ { t } \\cap Z _ { i _ { t } } = \\emptyset ", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 547, + 477, + 560 + ], + "score": 1.0, + "content": ") and reveals the decision variables that would cover", + "type": "text" + }, + { + "bbox": [ + 477, + 548, + 486, + 558 + ], + "score": 0.86, + "content": "i _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "(i.e.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 558, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 107, + 558, + 122, + 569 + ], + "score": 0.82, + "content": "Z _ { i _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 558, + 265, + 570 + ], + "score": 1.0, + "content": "). The algorithm then chooses a set", + "type": "text" + }, + { + "bbox": [ + 265, + 560, + 275, + 569 + ], + "score": 0.84, + "content": "s _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 558, + 315, + 570 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 315, + 558, + 351, + 570 + ], + "score": 0.92, + "content": "s _ { t } \\in Z _ { i _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 558, + 505, + 570 + ], + "score": 1.0, + "content": "is permanently added to the solution:", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 568, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 107, + 569, + 185, + 581 + ], + "score": 0.92, + "content": "\\boldsymbol { S _ { t } } ^ { \\prime } = \\boldsymbol { S _ { t - 1 } } \\bar { \\cup } \\{ \\boldsymbol { s _ { t } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 568, + 506, + 582 + ], + "score": 1.0, + "content": ". This process continues until all elements are covered and the adversary has", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "no possible elements to choose. Note that the online set cover problem is harder than the standard", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "set cover problem: if we were given all elements, we can simulate an adversary. Furthermore, the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 601, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 191, + 614 + ], + "score": 1.0, + "content": "number of iterations", + "type": "text" + }, + { + "bbox": [ + 191, + 603, + 197, + 612 + ], + "score": 0.73, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 601, + 505, + 614 + ], + "score": 1.0, + "content": "is exactly the size of the final set. Alon et al. (2009) provides an algorithm", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 613, + 502, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 225, + 625 + ], + "score": 1.0, + "content": "that returns a solution of size", + "type": "text" + }, + { + "bbox": [ + 225, + 613, + 322, + 625 + ], + "score": 0.93, + "content": "O ( \\log ( N ) \\log ( m ) C _ { \\mathrm { O P T } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 613, + 351, + 625 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 351, + 613, + 373, + 624 + ], + "score": 0.89, + "content": "C _ { \\mathrm { O P T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 613, + 502, + 625 + ], + "score": 1.0, + "content": "is the optimal (offline) solution.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 106, + 629, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "In this work, we examine another interactive set cover variant that is harder than standard set cover", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "but is a relaxed version of online set cover. We call this exploratory set cover. Like online set cover,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 651, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 505, + 664 + ], + "score": 1.0, + "content": "the elements are not known at the beginning; the algorithm is only given the number of decision", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 662, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 146, + 675 + ], + "score": 1.0, + "content": "variables", + "type": "text" + }, + { + "bbox": [ + 146, + 664, + 156, + 672 + ], + "score": 0.72, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 662, + 505, + 675 + ], + "score": 1.0, + "content": ". The algorithm has access to an adversarial oracle which takes a potential solution", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 673, + 506, + 687 + ], + "spans": [ + { + "bbox": [ + 107, + 673, + 147, + 686 + ], + "score": 0.92, + "content": "S _ { t } \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 673, + 240, + 687 + ], + "score": 1.0, + "content": "and reveals either that", + "type": "text" + }, + { + "bbox": [ + 241, + 674, + 251, + 685 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 673, + 423, + 687 + ], + "score": 1.0, + "content": "is a valid solution, or chooses an element", + "type": "text" + }, + { + "bbox": [ + 423, + 674, + 432, + 685 + ], + "score": 0.86, + "content": "i _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 673, + 473, + 687 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 473, + 674, + 487, + 685 + ], + "score": 0.9, + "content": "Z _ { i _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 673, + 506, + 687 + ], + "score": 1.0, + "content": "has", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 684, + 506, + 698 + ], + "spans": [ + { + "bbox": [ + 105, + 684, + 214, + 698 + ], + "score": 1.0, + "content": "an empty intersection with", + "type": "text" + }, + { + "bbox": [ + 214, + 685, + 225, + 695 + ], + "score": 0.88, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 684, + 273, + 698 + ], + "score": 1.0, + "content": "and reveals", + "type": "text" + }, + { + "bbox": [ + 273, + 685, + 288, + 696 + ], + "score": 0.88, + "content": "Z _ { i _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 684, + 506, + 698 + ], + "score": 1.0, + "content": ". 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"bbox": [ + 105, + 345, + 194, + 359 + ], + "score": 1.0, + "content": "F.1 BACKGROUND", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 108, + 367, + 504, + 390 + ], + "lines": [ + { + "bbox": [ + 105, + 366, + 505, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 366, + 505, + 380 + ], + "score": 1.0, + "content": "In this subsection, we review related theoretical work in more detail as background to our framework", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 379, + 171, + 390 + ], + "spans": [ + { + "bbox": [ + 106, + 379, + 171, + 390 + ], + "score": 1.0, + "content": "and algorithms.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16.5, + "bbox_fs": [ + 105, + 366, + 505, + 390 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 401, + 314, + 412 + ], + "lines": [ + { + "bbox": [ + 105, + 401, + 315, + 413 + ], + "spans": [ + { + "bbox": [ + 105, + 401, + 315, + 413 + ], + "score": 1.0, + "content": "F.1.1 SETCOVER AND INTERACTIVE VARIANTS", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 107, + 420, + 505, + 487 + ], + "lines": [ + { + "bbox": [ + 105, + 420, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 505, + 433 + ], + "score": 1.0, + "content": "Setcover is a classic computer science problem (Karp, 1972). While there are many similar and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 430, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 428, + 444 + ], + "score": 1.0, + "content": "equivalent formulations, for this work, we formulate the problem in terms of", + "type": "text" + }, + { + "bbox": [ + 428, + 433, + 438, + 442 + ], + "score": 0.74, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 430, + 506, + 444 + ], + "score": 1.0, + "content": "binary decision", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 442, + 162, + 455 + ], + "score": 1.0, + "content": "variables and", + "type": "text" + }, + { + "bbox": [ + 163, + 443, + 173, + 452 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 173, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "elements, where each element is represented by the decision variables that would", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 452, + 505, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 452, + 197, + 465 + ], + "score": 1.0, + "content": "“cover” the element:", + "type": "text" + }, + { + "bbox": [ + 198, + 453, + 241, + 465 + ], + "score": 0.91, + "content": "Z _ { i } ~ \\subset ~ [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 242, + 452, + 281, + 465 + ], + "score": 1.0, + "content": "for each", + "type": "text" + }, + { + "bbox": [ + 282, + 453, + 318, + 465 + ], + "score": 0.92, + "content": "i \\in [ N ]", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 452, + 422, + 465 + ], + "score": 1.0, + "content": ". A solution is a subset", + "type": "text" + }, + { + "bbox": [ + 422, + 453, + 463, + 465 + ], + "score": 0.92, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 452, + 505, + 465 + ], + "score": 1.0, + "content": "such that", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 463, + 505, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 219, + 476 + ], + "score": 0.9, + "content": "\\forall i \\in [ N ] : \\exists s \\in S : s \\in Z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 463, + 367, + 477 + ], + "score": 1.0, + "content": ". In other words, we choose a subset", + "type": "text" + }, + { + "bbox": [ + 368, + 464, + 403, + 476 + ], + "score": 0.92, + "content": "S \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 463, + 505, + 477 + ], + "score": 1.0, + "content": "of the decision variables", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 475, + 435, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 185, + 488 + ], + "score": 1.0, + "content": "so that all elements", + "type": "text" + }, + { + "bbox": [ + 186, + 476, + 197, + 486 + ], + "score": 0.88, + "content": "Z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 475, + 234, + 488 + ], + "score": 1.0, + "content": "intersect", + "type": "text" + }, + { + "bbox": [ + 235, + 476, + 243, + 485 + ], + "score": 0.75, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 243, + 475, + 417, + 488 + ], + "score": 1.0, + "content": ". We wish to find a solution of smallest size", + "type": "text" + }, + { + "bbox": [ + 417, + 475, + 430, + 487 + ], + "score": 0.88, + "content": "| S |", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 475, + 435, + 488 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 420, + 506, + 488 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 492, + 505, + 624 + ], + "lines": [ + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 504 + ], + "score": 1.0, + "content": "In the standard non-interactive version of setcover, all elements and sets are known, and there exist", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 502, + 505, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 275, + 516 + ], + "score": 1.0, + "content": "algorithms that return a solution of size", + "type": "text" + }, + { + "bbox": [ + 276, + 503, + 342, + 515 + ], + "score": 0.92, + "content": "O ( \\log ( N ) C _ { 0 \\mathrm { { P T } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 502, + 373, + 516 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 373, + 503, + 396, + 514 + ], + "score": 0.88, + "content": "C _ { \\mathrm { O P T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 502, + 505, + 516 + ], + "score": 1.0, + "content": "is the size of the optimal", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 505, + 527 + ], + "score": 1.0, + "content": "solution set. In an interactive variant known as online set cover (Alon et al., 2009), the elements are", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 525, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 377, + 537 + ], + "score": 1.0, + "content": "not known at the beginning, only the number of decision variables", + "type": "text" + }, + { + "bbox": [ + 378, + 527, + 387, + 535 + ], + "score": 0.69, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 525, + 505, + 537 + ], + "score": 1.0, + "content": ". The algorithm is initialized", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 536, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 126, + 549 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 536, + 157, + 547 + ], + "score": 0.92, + "content": "S _ { 0 } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 536, + 256, + 549 + ], + "score": 1.0, + "content": ". Then, for each iteration", + "type": "text" + }, + { + "bbox": [ + 257, + 537, + 307, + 547 + ], + "score": 0.9, + "content": "t = 1 , 2 , \\ldots", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 536, + 442, + 549 + ], + "score": 1.0, + "content": ", an adversary chooses an element", + "type": "text" + }, + { + "bbox": [ + 442, + 536, + 477, + 548 + ], + "score": 0.92, + "content": "i _ { t } \\in [ N ]", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 536, + 506, + 549 + ], + "score": 1.0, + "content": "that is", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 547, + 505, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 180, + 560 + ], + "score": 1.0, + "content": "not intersected by", + "type": "text" + }, + { + "bbox": [ + 180, + 547, + 191, + 558 + ], + "score": 0.88, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 547, + 212, + 560 + ], + "score": 1.0, + "content": "(i.e.", + "type": "text" + }, + { + "bbox": [ + 212, + 547, + 267, + 559 + ], + "score": 0.92, + "content": "S _ { t } \\cap Z _ { i _ { t } } = \\emptyset ", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 547, + 477, + 560 + ], + "score": 1.0, + "content": ") and reveals the decision variables that would cover", + "type": "text" + }, + { + "bbox": [ + 477, + 548, + 486, + 558 + ], + "score": 0.86, + "content": "i _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 547, + 505, + 560 + ], + "score": 1.0, + "content": "(i.e.", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 558, + 505, + 570 + ], + "spans": [ + { + "bbox": [ + 107, + 558, + 122, + 569 + ], + "score": 0.82, + "content": "Z _ { i _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 122, + 558, + 265, + 570 + ], + "score": 1.0, + "content": "). The algorithm then chooses a set", + "type": "text" + }, + { + "bbox": [ + 265, + 560, + 275, + 569 + ], + "score": 0.84, + "content": "s _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 275, + 558, + 315, + 570 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 315, + 558, + 351, + 570 + ], + "score": 0.92, + "content": "s _ { t } \\in Z _ { i _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 352, + 558, + 505, + 570 + ], + "score": 1.0, + "content": "is permanently added to the solution:", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 568, + 506, + 582 + ], + "spans": [ + { + "bbox": [ + 107, + 569, + 185, + 581 + ], + "score": 0.92, + "content": "\\boldsymbol { S _ { t } } ^ { \\prime } = \\boldsymbol { S _ { t - 1 } } \\bar { \\cup } \\{ \\boldsymbol { s _ { t } } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 568, + 506, + 582 + ], + "score": 1.0, + "content": ". This process continues until all elements are covered and the adversary has", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 580, + 505, + 592 + ], + "score": 1.0, + "content": "no possible elements to choose. Note that the online set cover problem is harder than the standard", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 591, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 591, + 505, + 603 + ], + "score": 1.0, + "content": "set cover problem: if we were given all elements, we can simulate an adversary. Furthermore, the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 601, + 505, + 614 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 191, + 614 + ], + "score": 1.0, + "content": "number of iterations", + "type": "text" + }, + { + "bbox": [ + 191, + 603, + 197, + 612 + ], + "score": 0.73, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 601, + 505, + 614 + ], + "score": 1.0, + "content": "is exactly the size of the final set. Alon et al. (2009) provides an algorithm", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 613, + 502, + 625 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 225, + 625 + ], + "score": 1.0, + "content": "that returns a solution of size", + "type": "text" + }, + { + "bbox": [ + 225, + 613, + 322, + 625 + ], + "score": 0.93, + "content": "O ( \\log ( N ) \\log ( m ) C _ { \\mathrm { O P T } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 613, + 351, + 625 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 351, + 613, + 373, + 624 + ], + "score": 0.89, + "content": "C _ { \\mathrm { O P T } }", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 613, + 502, + 625 + ], + "score": 1.0, + "content": "is the optimal (offline) solution.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 30.5, + "bbox_fs": [ + 105, + 492, + 506, + 625 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 629, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 629, + 506, + 641 + ], + "score": 1.0, + "content": "In this work, we examine another interactive set cover variant that is harder than standard set cover", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "spans": [ + { + "bbox": [ + 105, + 640, + 506, + 653 + ], + "score": 1.0, + "content": "but is a relaxed version of online set cover. We call this exploratory set cover. Like online set cover,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 651, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 505, + 664 + ], + "score": 1.0, + "content": "the elements are not known at the beginning; the algorithm is only given the number of decision", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 662, + 505, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 146, + 675 + ], + "score": 1.0, + "content": "variables", + "type": "text" + }, + { + "bbox": [ + 146, + 664, + 156, + 672 + ], + "score": 0.72, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 662, + 505, + 675 + ], + "score": 1.0, + "content": ". The algorithm has access to an adversarial oracle which takes a potential solution", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 107, + 673, + 506, + 687 + ], + "spans": [ + { + "bbox": [ + 107, + 673, + 147, + 686 + ], + "score": 0.92, + "content": "S _ { t } \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 673, + 240, + 687 + ], + "score": 1.0, + "content": "and reveals either that", + "type": "text" + }, + { + "bbox": [ + 241, + 674, + 251, + 685 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 252, + 673, + 423, + 687 + ], + "score": 1.0, + "content": "is a valid solution, or chooses an element", + "type": "text" + }, + { + "bbox": [ + 423, + 674, + 432, + 685 + ], + "score": 0.86, + "content": "i _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 673, + 473, + 687 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 473, + 674, + 487, + 685 + ], + "score": 0.9, + "content": "Z _ { i _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 673, + 506, + 687 + ], + "score": 1.0, + "content": "has", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 684, + 506, + 698 + ], + "spans": [ + { + "bbox": [ + 105, + 684, + 214, + 698 + ], + "score": 1.0, + "content": "an empty intersection with", + "type": "text" + }, + { + "bbox": [ + 214, + 685, + 225, + 695 + ], + "score": 0.88, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 684, + 273, + 698 + ], + "score": 1.0, + "content": "and reveals", + "type": "text" + }, + { + "bbox": [ + 273, + 685, + 288, + 696 + ], + "score": 0.88, + "content": "Z _ { i _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 684, + 506, + 698 + ], + "score": 1.0, + "content": ". However, unlike the online set cover version, the sets", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 107, + 695, + 506, + 708 + ], + "spans": [ + { + "bbox": [ + 107, + 695, + 117, + 707 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 695, + 506, + 708 + ], + "score": 1.0, + "content": "are arbitrary; for example, they need not be nested. At any iteration, the algorithm can return a", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 706, + 505, + 720 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 162, + 720 + ], + "score": 1.0, + "content": "final solution", + "type": "text" + }, + { + "bbox": [ + 162, + 706, + 170, + 718 + ], + "score": 0.86, + "content": "\\hat { S }", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 707, + 260, + 720 + ], + "score": 1.0, + "content": "that must intersect all", + "type": "text" + }, + { + "bbox": [ + 261, + 708, + 271, + 719 + ], + "score": 0.88, + "content": "Z _ { i }", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 707, + 505, + 720 + ], + "score": 1.0, + "content": ". An algorithm is evaluated by two evaluation aspects, the", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 105, + 720, + 385, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 368, + 732 + ], + "score": 1.0, + "content": "number of exploratory iterations and the size of the final solution", + "type": "text" + }, + { + "bbox": [ + 369, + 720, + 381, + 732 + ], + "score": 0.91, + "content": "| \\hat { S } |", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 721, + 385, + 732 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 41, + "bbox_fs": [ + 105, + 629, + 506, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 82, + 237, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 237, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 237, + 95 + ], + "score": 1.0, + "content": "F.1.2 SET COVER HARDNESS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 101, + 505, + 194 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 506, + 114 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 506, + 114 + ], + "score": 1.0, + "content": "Set cover is one of Karp’s 21 NP-hard problems (Karp, 1972). Additionally, approximating set", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 113, + 505, + 125 + ], + "spans": [ + { + "bbox": [ + 105, + 113, + 263, + 125 + ], + "score": 1.0, + "content": "cover with an approximation factor of", + "type": "text" + }, + { + "bbox": [ + 263, + 113, + 297, + 124 + ], + "score": 0.94, + "content": "o ( \\log n )", + "type": "inline_equation" + }, + { + "bbox": [ + 297, + 113, + 505, + 125 + ], + "score": 1.0, + "content": "is computationally hard. 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A ranked minimal error learner is invariant to consistent additions.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3 + }, + { + "type": "text", + "bbox": [ + 106, + 168, + 505, + 191 + ], + "lines": [ + { + "bbox": [ + 107, + 169, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 107, + 169, + 505, + 180 + ], + "score": 1.0, + "content": "The proof of Proposition 1 can be found in Appendix F.6. 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Then, we", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 309, + 216, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 216, + 321 + ], + "score": 1.0, + "content": "can define the error sets as", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 339, + 385, + 354 + ], + "lines": [ + { + "bbox": [ + 225, + 339, + 385, + 354 + ], + "spans": [ + { + "bbox": [ + 225, + 339, + 385, + 354 + ], + "score": 0.91, + "content": "\\mathcal { E } = \\{ \\{ i : h ( x _ { i } ) \\neq y _ { i } \\} : h \\in \\overline { { \\mathcal { H } } } \\} - \\{ \\emptyset \\}", + "type": "interline_equation", + "image_path": "8968f1de35ebecb3f11ca6e48fa60448c2c40b59a1ae8f1636fd5e604e1dc6b1.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 225, + 339, + 385, + 354 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 375, + 377, + 387 + ], + "lines": [ + { + "bbox": [ + 106, + 374, + 378, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 133, + 389 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 376, + 165, + 387 + ], + "score": 0.92, + "content": "E _ { h } \\in \\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 374, + 367, + 389 + ], + "score": 1.0, + "content": "is the set of datapoints that eliminate a hypothesis", + "type": "text" + }, + { + "bbox": [ + 367, + 376, + 374, + 385 + ], + "score": 0.82, + "content": "h", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 374, + 378, + 389 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 504, + 415 + ], + "lines": [ + { + "bbox": [ + 104, + 390, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 104, + 390, + 246, + 406 + ], + "score": 1.0, + "content": "For notational convenience, define", + "type": "text" + }, + { + "bbox": [ + 247, + 392, + 353, + 405 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } : \\mathcal { P } ( [ m ] ) \\mathcal { P } ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 390, + 506, + 406 + ], + "score": 1.0, + "content": "as the set of errors when trained on a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 402, + 146, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 134, + 416 + ], + "score": 1.0, + "content": "subset", + "type": "text" + }, + { + "bbox": [ + 134, + 405, + 142, + 414 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 402, + 146, + 416 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5 + }, + { + "type": "interline_equation", + "bbox": [ + 204, + 433, + 407, + 448 + ], + "lines": [ + { + "bbox": [ + 204, + 433, + 407, + 448 + ], + "spans": [ + { + "bbox": [ + 204, + 433, + 407, + 448 + ], + "score": 0.89, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = \\{ i : L ( \\{ ( x _ { i ^ { \\prime } } , y _ { i ^ { \\prime } } ) : i ^ { \\prime } \\in S \\} ) ( x _ { i } ) \\neq y _ { i } \\}", + "type": "interline_equation", + "image_path": "d3ecf94210b9fc732603ec84778c89e334228d24cede17b17632bcffd4374294.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 204, + 433, + 407, + 448 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 456, + 177, + 468 + ], + "lines": [ + { + "bbox": [ + 105, + 453, + 178, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 128, + 470 + ], + "score": 1.0, + "content": "then,", + "type": "text" + }, + { + "bbox": [ + 129, + 456, + 136, + 466 + ], + "score": 0.81, + "content": "\\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 453, + 178, + 470 + ], + "score": 1.0, + "content": "is simply,", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "interline_equation", + "bbox": [ + 240, + 486, + 371, + 500 + ], + "lines": [ + { + "bbox": [ + 240, + 486, + 371, + 500 + ], + "spans": [ + { + "bbox": [ + 240, + 486, + 371, + 500 + ], + "score": 0.92, + "content": "\\mathcal { E } = \\{ L ^ { \\mathrm { e r r } } ( S ) : S \\subset [ m ] \\} - \\{ \\varnothing \\}", + "type": "interline_equation", + "image_path": "122aef1319c3b85887d05ea31f2ccc2ece5ac111e1893dc50e62285324c939a5.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 240, + 486, + 371, + 500 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "title", + "bbox": [ + 107, + 511, + 220, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 221, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 221, + 525 + ], + "score": 1.0, + "content": "F.4 ERROR INCLUSIVITY", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 532, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 203, + 544 + ], + "score": 1.0, + "content": "We wish to find a set", + "type": "text" + }, + { + "bbox": [ + 203, + 533, + 210, + 542 + ], + "score": 0.8, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "such that makes as few errors as if we trained on the entire dataset:", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 541, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 107, + 543, + 212, + 554 + ], + "score": 0.74, + "content": "\\vert L ^ { ( \\mathrm { e r r } ) } ( S ) \\vert = \\vert L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) \\vert", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 541, + 506, + 558 + ], + "score": 1.0, + "content": ". However, this condition is a bit general as we might happen to have", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 107, + 552, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 107, + 555, + 211, + 566 + ], + "score": 0.82, + "content": "| L ^ { \\mathrm { ( e r r ) } } ( \\emptyset ) | \\ = \\ | L ^ { \\mathrm { ( e r r ) } } ( [ m ] ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 552, + 276, + 568 + ], + "score": 1.0, + "content": ", in which case", + "type": "text" + }, + { + "bbox": [ + 276, + 554, + 307, + 565 + ], + "score": 0.92, + "content": "S \\ = \\ \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 552, + 506, + 568 + ], + "score": 1.0, + "content": "is perhaps unlikely to generalize to test points.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 565, + 467, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 250, + 577 + ], + "score": 1.0, + "content": "Instead, we might wish to find a set", + "type": "text" + }, + { + "bbox": [ + 250, + 566, + 258, + 575 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 565, + 455, + 577 + ], + "score": 1.0, + "content": "that, when trained on, yields no errors outside of", + "type": "text" + }, + { + "bbox": [ + 455, + 566, + 463, + 575 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 565, + 467, + 577 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 104, + 578, + 464, + 591 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 464, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 464, + 592 + ], + "score": 1.0, + "content": "Definition 5. For a fixed dataset, we say a set is “error inclusive” if the following holds:", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "interline_equation", + "bbox": [ + 277, + 608, + 335, + 623 + ], + "lines": [ + { + "bbox": [ + 277, + 608, + 335, + 623 + ], + "spans": [ + { + "bbox": [ + 277, + 608, + 335, + 623 + ], + "score": 0.92, + "content": "L ^ { ( e r r ) } ( S ) \\subset S", + "type": "interline_equation", + "image_path": "7af2416b44c7166c28fc920edfaefe13da103b28e1b22794f988be54ea4fe34e.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 277, + 608, + 335, + 623 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 631, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 630, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 146, + 644 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + }, + { + "bbox": [ + 146, + 631, + 161, + 642 + ], + "score": 0.83, + "content": "[ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 630, + 506, + 644 + ], + "score": 1.0, + "content": "is always error inclusive. Furthermore, if a learner is invariant to consistent additions,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 639, + 201, + 656 + ], + "spans": [ + { + "bbox": [ + 107, + 642, + 196, + 654 + ], + "score": 0.88, + "content": "{ \\cal L } ^ { ( \\mathrm { e r r } ) } ( S ) \\bar { = } \\bar { \\cal L } ^ { ( \\mathrm { e r r } ) } ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 639, + 201, + 656 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5 + }, + { + "type": "text", + "bbox": [ + 108, + 655, + 502, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 244, + 669 + ], + "score": 1.0, + "content": "Proposition 5. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 244, + 657, + 252, + 665 + ], + "score": 0.75, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 654, + 424, + 669 + ], + "score": 1.0, + "content": "is invariant to consistent additions. If a set", + "type": "text" + }, + { + "bbox": [ + 424, + 656, + 432, + 666 + ], + "score": 0.78, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 654, + 505, + 669 + ], + "score": 1.0, + "content": "is error inclusive,", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "interline_equation", + "bbox": [ + 259, + 685, + 352, + 700 + ], + "lines": [ + { + "bbox": [ + 259, + 685, + 352, + 700 + ], + "spans": [ + { + "bbox": [ + 259, + 685, + 352, + 700 + ], + "score": 0.92, + "content": "L ^ { ( e r r ) } ( S ) = L ^ { ( e r r ) } ( [ m ] )", + "type": "interline_equation", + "image_path": "2786b837588eaeb09f5a7512d5efc7df1f4d71fa57700cd89d4147202719487c.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 259, + 685, + 352, + 700 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 708, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 382, + 722 + ], + "score": 1.0, + "content": "The proof of Proposition 5 is in Appendix F.6. Interpreted further,", + "type": "text" + }, + { + "bbox": [ + 382, + 709, + 487, + 722 + ], + "score": 0.93, + "content": "| L ^ { ( \\mathrm { e r r } ) } ( S ) | = | L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 708, + 506, + 722 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 718, + 434, + 734 + ], + "spans": [ + { + "bbox": [ + 107, + 720, + 169, + 732 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) \\subset S", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 718, + 227, + 734 + ], + "score": 1.0, + "content": ", meaning that", + "type": "text" + }, + { + "bbox": [ + 228, + 722, + 235, + 730 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 718, + 434, + 734 + ], + "score": 1.0, + "content": "contains the errors of training on the full dataset.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5 + } + ], + "page_idx": 28, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 308, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 38 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 765 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 15 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 81, + 505, + 106 + ], + "lines": [ + { + "bbox": [ + 106, + 80, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 80, + 130, + 95 + ], + "score": 1.0, + "content": "(note", + "type": "text" + }, + { + "bbox": [ + 130, + 81, + 187, + 95 + ], + "score": 0.92, + "content": "| \\mathcal { H } | \\leq | \\mathcal { V } | ^ { | \\mathcal { X } | } )", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 80, + 282, + 95 + ], + "score": 1.0, + "content": "and a bijective ranking", + "type": "text" + }, + { + "bbox": [ + 282, + 82, + 342, + 95 + ], + "score": 0.93, + "content": "\\sigma : { \\mathcal { H } } [ | { \\mathcal { H } } | ]", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 80, + 505, + 95 + ], + "score": 1.0, + "content": ". A ranked minimal error learner returns", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 498, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 328, + 106 + ], + "score": 1.0, + "content": "the highest ranked hypothesis among the hypotheses in", + "type": "text" + }, + { + "bbox": [ + 328, + 95, + 338, + 104 + ], + "score": 0.81, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 338, + 94, + 498, + 106 + ], + "score": 1.0, + "content": "achieving minimal error on the dataset:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 106, + 80, + 505, + 106 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 180, + 123, + 431, + 147 + ], + "lines": [ + { + "bbox": [ + 180, + 123, + 431, + 147 + ], + "spans": [ + { + "bbox": [ + 180, + 123, + 431, + 147 + ], + "score": 0.9, + "content": "L ( D ) = \\underset { \\substack { h : | \\{ ( x , y ) \\in D : h ( x ) \\neq y \\} | = \\operatorname* { m i n } _ { h ^ { \\prime } \\in \\mathcal { H } } | \\{ ( x , y ) \\in D : h ^ { \\prime } ( x ) \\neq y \\} | } } { \\arg \\operatorname* { m i n } } \\sigma ( h )", + "type": "interline_equation", + "image_path": "4883dd62c2df4ede8979ec7a5794f6a6cf8410fd1d4c40cd1a7854186fa53851.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 180, + 123, + 431, + 147 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 149, + 437, + 160 + ], + "lines": [ + { + "bbox": [ + 105, + 147, + 438, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 147, + 438, + 162 + ], + "score": 1.0, + "content": "Proposition 1. A ranked minimal error learner is invariant to consistent additions.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 3, + "bbox_fs": [ + 105, + 147, + 438, + 162 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 168, + 505, + 191 + ], + "lines": [ + { + "bbox": [ + 107, + 169, + 505, + 180 + ], + "spans": [ + { + "bbox": [ + 107, + 169, + 505, + 180 + ], + "score": 1.0, + "content": "The proof of Proposition 1 can be found in Appendix F.6. The invariance to consistent additions is", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 180, + 445, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 180, + 445, + 191 + ], + "score": 1.0, + "content": "more general than ranked minimal error learners: see an example in Appendix F.7.1.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 169, + 505, + 191 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 204, + 267, + 215 + ], + "lines": [ + { + "bbox": [ + 105, + 204, + 268, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 204, + 268, + 216 + ], + "score": 1.0, + "content": "F.3 INDUCED HYPOTHESIS CLASSES", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 223, + 505, + 258 + ], + "lines": [ + { + "bbox": [ + 104, + 222, + 507, + 240 + ], + "spans": [ + { + "bbox": [ + 104, + 222, + 154, + 240 + ], + "score": 1.0, + "content": "Fix an size", + "type": "text" + }, + { + "bbox": [ + 154, + 226, + 165, + 235 + ], + "score": 0.69, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 222, + 198, + 240 + ], + "score": 1.0, + "content": "dataset", + "type": "text" + }, + { + "bbox": [ + 198, + 224, + 312, + 236 + ], + "score": 0.93, + "content": "\\{ ( x _ { i } , y _ { i } ) \\} _ { i = 1 } ^ { m } \\subset ( \\mathcal { X } \\times \\mathcal { Y } ) ^ { m }", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 222, + 507, + 240 + ], + "score": 1.0, + "content": ". Note that the learner might have a very large", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 104, + 234, + 506, + 249 + ], + "spans": [ + { + "bbox": [ + 104, + 234, + 381, + 249 + ], + "score": 1.0, + "content": "hypothesis class, maybe even large enough to fit arbitrary labels for a", + "type": "text" + }, + { + "bbox": [ + 381, + 237, + 391, + 245 + ], + "score": 0.8, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 234, + 448, + 249 + ], + "score": 1.0, + "content": "-sized dataset", + "type": "text" + }, + { + "bbox": [ + 448, + 235, + 501, + 247 + ], + "score": 0.91, + "content": "\\langle | \\mathcal { H } | = | \\mathcal { V } | ^ { m } )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 234, + 506, + 249 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 245, + 331, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 331, + 259 + ], + "score": 1.0, + "content": "However, we can define the induced hypothesis class as", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8, + "bbox_fs": [ + 104, + 222, + 507, + 259 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 224, + 276, + 387, + 291 + ], + "lines": [ + { + "bbox": [ + 224, + 276, + 387, + 291 + ], + "spans": [ + { + "bbox": [ + 224, + 276, + 387, + 291 + ], + "score": 0.92, + "content": "\\overline { { \\mathcal { H } } } = \\{ L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\} ) : S \\subset [ m ] \\}", + "type": "interline_equation", + "image_path": "66a0cab2c4df9aa7f3d7468298060c98dd2ac1cd81321ce87ec1efac85e68078.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 224, + 276, + 387, + 291 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 298, + 504, + 321 + ], + "lines": [ + { + "bbox": [ + 105, + 297, + 506, + 312 + ], + "spans": [ + { + "bbox": [ + 105, + 297, + 506, + 312 + ], + "score": 1.0, + "content": "which could be significantly smaller, depending on the structure of the model and data. Then, we", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 309, + 216, + 321 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 216, + 321 + ], + "score": 1.0, + "content": "can define the error sets as", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 297, + 506, + 321 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 339, + 385, + 354 + ], + "lines": [ + { + "bbox": [ + 225, + 339, + 385, + 354 + ], + "spans": [ + { + "bbox": [ + 225, + 339, + 385, + 354 + ], + "score": 0.91, + "content": "\\mathcal { E } = \\{ \\{ i : h ( x _ { i } ) \\neq y _ { i } \\} : h \\in \\overline { { \\mathcal { H } } } \\} - \\{ \\emptyset \\}", + "type": "interline_equation", + "image_path": "8968f1de35ebecb3f11ca6e48fa60448c2c40b59a1ae8f1636fd5e604e1dc6b1.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 225, + 339, + 385, + 354 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 375, + 377, + 387 + ], + "lines": [ + { + "bbox": [ + 106, + 374, + 378, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 374, + 133, + 389 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 376, + 165, + 387 + ], + "score": 0.92, + "content": "E _ { h } \\in \\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 165, + 374, + 367, + 389 + ], + "score": 1.0, + "content": "is the set of datapoints that eliminate a hypothesis", + "type": "text" + }, + { + "bbox": [ + 367, + 376, + 374, + 385 + ], + "score": 0.82, + "content": "h", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 374, + 378, + 389 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 14, + "bbox_fs": [ + 106, + 374, + 378, + 389 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 391, + 504, + 415 + ], + "lines": [ + { + "bbox": [ + 104, + 390, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 104, + 390, + 246, + 406 + ], + "score": 1.0, + "content": "For notational convenience, define", + "type": "text" + }, + { + "bbox": [ + 247, + 392, + 353, + 405 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } : \\mathcal { P } ( [ m ] ) \\mathcal { P } ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 390, + 506, + 406 + ], + "score": 1.0, + "content": "as the set of errors when trained on a", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 402, + 146, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 134, + 416 + ], + "score": 1.0, + "content": "subset", + "type": "text" + }, + { + "bbox": [ + 134, + 405, + 142, + 414 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 142, + 402, + 146, + 416 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15.5, + "bbox_fs": [ + 104, + 390, + 506, + 416 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 204, + 433, + 407, + 448 + ], + "lines": [ + { + "bbox": [ + 204, + 433, + 407, + 448 + ], + "spans": [ + { + "bbox": [ + 204, + 433, + 407, + 448 + ], + "score": 0.89, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = \\{ i : L ( \\{ ( x _ { i ^ { \\prime } } , y _ { i ^ { \\prime } } ) : i ^ { \\prime } \\in S \\} ) ( x _ { i } ) \\neq y _ { i } \\}", + "type": "interline_equation", + "image_path": "d3ecf94210b9fc732603ec84778c89e334228d24cede17b17632bcffd4374294.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 204, + 433, + 407, + 448 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 456, + 177, + 468 + ], + "lines": [ + { + "bbox": [ + 105, + 453, + 178, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 128, + 470 + ], + "score": 1.0, + "content": "then,", + "type": "text" + }, + { + "bbox": [ + 129, + 456, + 136, + 466 + ], + "score": 0.81, + "content": "\\mathcal { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 136, + 453, + 178, + 470 + ], + "score": 1.0, + "content": "is simply,", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 453, + 178, + 470 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 240, + 486, + 371, + 500 + ], + "lines": [ + { + "bbox": [ + 240, + 486, + 371, + 500 + ], + "spans": [ + { + "bbox": [ + 240, + 486, + 371, + 500 + ], + "score": 0.92, + "content": "\\mathcal { E } = \\{ L ^ { \\mathrm { e r r } } ( S ) : S \\subset [ m ] \\} - \\{ \\varnothing \\}", + "type": "interline_equation", + "image_path": "122aef1319c3b85887d05ea31f2ccc2ece5ac111e1893dc50e62285324c939a5.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 240, + 486, + 371, + 500 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "title", + "bbox": [ + 107, + 511, + 220, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 221, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 221, + 525 + ], + "score": 1.0, + "content": "F.4 ERROR INCLUSIVITY", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 532, + 505, + 577 + ], + "lines": [ + { + "bbox": [ + 106, + 531, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 531, + 203, + 544 + ], + "score": 1.0, + "content": "We wish to find a set", + "type": "text" + }, + { + "bbox": [ + 203, + 533, + 210, + 542 + ], + "score": 0.8, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 531, + 505, + 544 + ], + "score": 1.0, + "content": "such that makes as few errors as if we trained on the entire dataset:", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 541, + 506, + 558 + ], + "spans": [ + { + "bbox": [ + 107, + 543, + 212, + 554 + ], + "score": 0.74, + "content": "\\vert L ^ { ( \\mathrm { e r r } ) } ( S ) \\vert = \\vert L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) \\vert", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 541, + 506, + 558 + ], + "score": 1.0, + "content": ". However, this condition is a bit general as we might happen to have", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 107, + 552, + 506, + 568 + ], + "spans": [ + { + "bbox": [ + 107, + 555, + 211, + 566 + ], + "score": 0.82, + "content": "| L ^ { \\mathrm { ( e r r ) } } ( \\emptyset ) | \\ = \\ | L ^ { \\mathrm { ( e r r ) } } ( [ m ] ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 552, + 276, + 568 + ], + "score": 1.0, + "content": ", in which case", + "type": "text" + }, + { + "bbox": [ + 276, + 554, + 307, + 565 + ], + "score": 0.92, + "content": "S \\ = \\ \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 552, + 506, + 568 + ], + "score": 1.0, + "content": "is perhaps unlikely to generalize to test points.", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 565, + 467, + 577 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 250, + 577 + ], + "score": 1.0, + "content": "Instead, we might wish to find a set", + "type": "text" + }, + { + "bbox": [ + 250, + 566, + 258, + 575 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 565, + 455, + 577 + ], + "score": 1.0, + "content": "that, when trained on, yields no errors outside of", + "type": "text" + }, + { + "bbox": [ + 455, + 566, + 463, + 575 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 463, + 565, + 467, + 577 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5, + "bbox_fs": [ + 106, + 531, + 506, + 577 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 578, + 464, + 591 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 464, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 464, + 592 + ], + "score": 1.0, + "content": "Definition 5. For a fixed dataset, we say a set is “error inclusive” if the following holds:", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 577, + 464, + 592 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 277, + 608, + 335, + 623 + ], + "lines": [ + { + "bbox": [ + 277, + 608, + 335, + 623 + ], + "spans": [ + { + "bbox": [ + 277, + 608, + 335, + 623 + ], + "score": 0.92, + "content": "L ^ { ( e r r ) } ( S ) \\subset S", + "type": "interline_equation", + "image_path": "7af2416b44c7166c28fc920edfaefe13da103b28e1b22794f988be54ea4fe34e.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 277, + 608, + 335, + 623 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 631, + 505, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 630, + 506, + 644 + ], + "spans": [ + { + "bbox": [ + 105, + 630, + 146, + 644 + ], + "score": 1.0, + "content": "Note that", + "type": "text" + }, + { + "bbox": [ + 146, + 631, + 161, + 642 + ], + "score": 0.83, + "content": "[ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 630, + 506, + 644 + ], + "score": 1.0, + "content": "is always error inclusive. Furthermore, if a learner is invariant to consistent additions,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 107, + 639, + 201, + 656 + ], + "spans": [ + { + "bbox": [ + 107, + 642, + 196, + 654 + ], + "score": 0.88, + "content": "{ \\cal L } ^ { ( \\mathrm { e r r } ) } ( S ) \\bar { = } \\bar { \\cal L } ^ { ( \\mathrm { e r r } ) } ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 639, + 201, + 656 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27.5, + "bbox_fs": [ + 105, + 630, + 506, + 656 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 655, + 502, + 668 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 505, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 244, + 669 + ], + "score": 1.0, + "content": "Proposition 5. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 244, + 657, + 252, + 665 + ], + "score": 0.75, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 253, + 654, + 424, + 669 + ], + "score": 1.0, + "content": "is invariant to consistent additions. If a set", + "type": "text" + }, + { + "bbox": [ + 424, + 656, + 432, + 666 + ], + "score": 0.78, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 654, + 505, + 669 + ], + "score": 1.0, + "content": "is error inclusive,", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29, + "bbox_fs": [ + 105, + 654, + 505, + 669 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 259, + 685, + 352, + 700 + ], + "lines": [ + { + "bbox": [ + 259, + 685, + 352, + 700 + ], + "spans": [ + { + "bbox": [ + 259, + 685, + 352, + 700 + ], + "score": 0.92, + "content": "L ^ { ( e r r ) } ( S ) = L ^ { ( e r r ) } ( [ m ] )", + "type": "interline_equation", + "image_path": "2786b837588eaeb09f5a7512d5efc7df1f4d71fa57700cd89d4147202719487c.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 259, + 685, + 352, + 700 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 709, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 708, + 506, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 708, + 382, + 722 + ], + "score": 1.0, + "content": "The proof of Proposition 5 is in Appendix F.6. Interpreted further,", + "type": "text" + }, + { + "bbox": [ + 382, + 709, + 487, + 722 + ], + "score": 0.93, + "content": "| L ^ { ( \\mathrm { e r r } ) } ( S ) | = | L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) |", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 708, + 506, + 722 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 107, + 718, + 434, + 734 + ], + "spans": [ + { + "bbox": [ + 107, + 720, + 169, + 732 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( [ m ] ) \\subset S", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 718, + 227, + 734 + ], + "score": 1.0, + "content": ", meaning that", + "type": "text" + }, + { + "bbox": [ + 228, + 722, + 235, + 730 + ], + "score": 0.81, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 718, + 434, + 734 + ], + "score": 1.0, + "content": "contains the errors of training on the full dataset.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5, + "bbox_fs": [ + 105, + 708, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 82, + 257, + 94 + ], + "lines": [ + { + "bbox": [ + 106, + 83, + 258, + 94 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 258, + 94 + ], + "score": 1.0, + "content": "F.4.1 INTERPOLATING LEARNERS", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 101, + 505, + 135 + ], + "lines": [ + { + "bbox": [ + 105, + 99, + 506, + 115 + ], + "spans": [ + { + "bbox": [ + 105, + 99, + 373, + 115 + ], + "score": 1.0, + "content": "We say a learner is “interpolating” if it makes no training errors:", + "type": "text" + }, + { + "bbox": [ + 374, + 101, + 447, + 114 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 99, + 506, + 115 + ], + "score": 1.0, + "content": ". In this case,", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 114, + 505, + 124 + ], + "spans": [ + { + "bbox": [ + 106, + 114, + 505, + 124 + ], + "score": 1.0, + "content": "we can achieve 0 errors on the entire dataset. Furthermore, note that for interpolating learners, error", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 124, + 460, + 135 + ], + "spans": [ + { + "bbox": [ + 106, + 124, + 182, + 135 + ], + "score": 1.0, + "content": "inclusivity of a set", + "type": "text" + }, + { + "bbox": [ + 182, + 124, + 190, + 133 + ], + "score": 0.83, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 124, + 286, + 135 + ], + "score": 1.0, + "content": "implies that training on", + "type": "text" + }, + { + "bbox": [ + 286, + 124, + 294, + 133 + ], + "score": 0.82, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 295, + 124, + 460, + 135 + ], + "score": 1.0, + "content": "results in zero error on the entire dataset.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 107, + 146, + 179, + 158 + ], + "lines": [ + { + "bbox": [ + 105, + 146, + 180, + 159 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 180, + 159 + ], + "score": 1.0, + "content": "F.4.2 RESULTS", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 107, + 166, + 239, + 177 + ], + "lines": [ + { + "bbox": [ + 106, + 164, + 239, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 164, + 239, + 179 + ], + "score": 1.0, + "content": "Define the extended error sets as", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "interline_equation", + "bbox": [ + 226, + 197, + 385, + 211 + ], + "lines": [ + { + "bbox": [ + 226, + 197, + 385, + 211 + ], + "spans": [ + { + "bbox": [ + 226, + 197, + 385, + 211 + ], + "score": 0.94, + "content": "{ \\mathcal { E } } ^ { + } = \\{ L ^ { \\mathrm { ( e r r ) } } ( S ) \\setminus S : S \\subset [ m ] \\} - \\{ \\emptyset \\}", + "type": "interline_equation", + "image_path": "3f633d9e3b9e5c583185e7c92c5c1c2a71c2a71246370f7677b603f38b0fd355.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 226, + 197, + 385, + 211 + ], + "spans": [], + "index": 6 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 215, + 414, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 214, + 415, + 228 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 415, + 228 + ], + "score": 1.0, + "content": "Proposition 3. Fix a dataset. If a learner is invariant to consistent additions,", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 252, + 271, + 264 + ], + "lines": [ + { + "bbox": [ + 106, + 252, + 271, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 271, + 265 + ], + "score": 1.0, + "content": "The proof can be found in Appendix F.6.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 270, + 135, + 281 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 136, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 136, + 283 + ], + "score": 1.0, + "content": "Define", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "interline_equation", + "bbox": [ + 255, + 301, + 356, + 321 + ], + "lines": [ + { + "bbox": [ + 255, + 301, + 356, + 321 + ], + "spans": [ + { + "bbox": [ + 255, + 301, + 356, + 321 + ], + "score": 0.89, + "content": "d ^ { * } = \\operatorname* { m i n } _ { \\substack { s \\mathrm { f u l l y i n t e r s e c t s } \\varepsilon + } } | S |", + "type": "interline_equation", + "image_path": "c0806b7f7f8c2571b5aedfd5938cbe567eb1b5516e56fcb85c430883ee3e4357.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 255, + 301, + 356, + 321 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 331, + 504, + 354 + ], + "lines": [ + { + "bbox": [ + 104, + 328, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 104, + 328, + 295, + 347 + ], + "score": 1.0, + "content": "Note that in the case of interpolating learners,", + "type": "text" + }, + { + "bbox": [ + 295, + 331, + 331, + 342 + ], + "score": 0.91, + "content": "{ \\mathcal { E } } ^ { + } = { \\mathcal { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 328, + 352, + 347 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 353, + 333, + 363, + 342 + ], + "score": 0.87, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 328, + 506, + 347 + ], + "score": 1.0, + "content": "is the size of the optimal teaching", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 343, + 123, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 123, + 355 + ], + "score": 1.0, + "content": "set.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "text", + "bbox": [ + 106, + 359, + 504, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 373 + ], + "score": 1.0, + "content": "Thus, as in the machine teaching case, we have reduced the problem of finding a good subset to", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 370, + 326, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 326, + 383 + ], + "score": 1.0, + "content": "finding a minimal setcover, though of an expanded set.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 106, + 387, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 105, + 387, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 401 + ], + "score": 1.0, + "content": "Note that we can convert a data subset selection algorithm with interpolating learners (online or", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "exploratory set cover algorithm) into a subset selection algorithm without assuming an interpolating", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 476, + 422 + ], + "score": 1.0, + "content": "learner, simply by acting as if training errors don’t exist. 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Put another way, when using a realizable algorithm on a non-interpolating learner,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "we can “squash” the training errors and pretend they don’t exist. In fact, this technique is used as", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "score": 1.0, + "content": "a heuristic in Cicalese et al. (2020) to make the algorithm work in practice. Thus, we provide a", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 465, + 415, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 415, + 477 + ], + "score": 1.0, + "content": "framework justifying the use of this technique previously used as a heuristic.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 108, + 489, + 361, + 500 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 362, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 362, + 501 + ], + "score": 1.0, + "content": "F.5 COMPARISON TO K-EXTENDED TEACHING DIMENSION", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 509, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 106, + 509, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 294, + 522 + ], + "score": 1.0, + "content": "Cicalese et al. 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In particular, let", + "type": "text" + }, + { + "bbox": [ + 331, + 520, + 491, + 533 + ], + "score": 0.92, + "content": "\\begin{array} { r } { k = \\operatorname* { m i n } _ { h \\in { \\mathcal { H } } } | \\{ i \\in [ m ] : h ( x _ { i } ) \\neq y _ { i } \\} | } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 518, + 506, + 535 + ], + "score": 1.0, + "content": "be", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 104, + 530, + 505, + 545 + ], + "spans": [ + { + "bbox": [ + 104, + 530, + 301, + 545 + ], + "score": 1.0, + "content": "the minimal number of errors of a hypothesis in", + "type": "text" + }, + { + "bbox": [ + 301, + 532, + 311, + 541 + ], + "score": 0.78, + "content": "\\mathcal { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 530, + 339, + 545 + ], + "score": 1.0, + "content": ". 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A comparison", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 649, + 269, + 661 + ], + "spans": [ + { + "bbox": [ + 106, + 649, + 269, + 661 + ], + "score": 1.0, + "content": "of the two concepts is shown in Table 5.", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 106, + 665, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 666, + 505, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 666, + 339, + 678 + ], + "score": 1.0, + "content": "Note that error inclusivity requires one less error on Type", + "type": "text" + }, + { + "bbox": [ + 339, + 666, + 348, + 676 + ], + "score": 0.3, + "content": "\\mathrm { I I }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 666, + 412, + 678 + ], + "score": 1.0, + "content": "hypotheses and", + "type": "text" + }, + { + "bbox": [ + 413, + 666, + 420, + 676 + ], + "score": 0.81, + "content": "k", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 666, + 505, + 678 + ], + "score": 1.0, + "content": "more errors on Type", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 689 + ], + "score": 1.0, + "content": "III (error optimal) hypotheses. 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Fix a dataset. If a learner is invariant to consistent additions,", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 214, + 415, + 228 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 252, + 271, + 264 + ], + "lines": [ + { + "bbox": [ + 106, + 252, + 271, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 252, + 271, + 265 + ], + "score": 1.0, + "content": "The proof can be found in Appendix F.6.", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 106, + 252, + 271, + 265 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 270, + 135, + 281 + ], + "lines": [ + { + "bbox": [ + 105, + 268, + 136, + 283 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 136, + 283 + ], + "score": 1.0, + "content": "Define", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9, + "bbox_fs": [ + 105, + 268, + 136, + 283 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 255, + 301, + 356, + 321 + ], + "lines": [ + { + "bbox": [ + 255, + 301, + 356, + 321 + ], + "spans": [ + { + "bbox": [ + 255, + 301, + 356, + 321 + ], + "score": 0.89, + "content": "d ^ { * } = \\operatorname* { m i n } _ { \\substack { s \\mathrm { f u l l y i n t e r s e c t s } \\varepsilon + } } | S |", + "type": "interline_equation", + "image_path": "c0806b7f7f8c2571b5aedfd5938cbe567eb1b5516e56fcb85c430883ee3e4357.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 255, + 301, + 356, + 321 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 331, + 504, + 354 + ], + "lines": [ + { + "bbox": [ + 104, + 328, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 104, + 328, + 295, + 347 + ], + "score": 1.0, + "content": "Note that in the case of interpolating learners,", + "type": "text" + }, + { + "bbox": [ + 295, + 331, + 331, + 342 + ], + "score": 0.91, + "content": "{ \\mathcal { E } } ^ { + } = { \\mathcal { E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 328, + 352, + 347 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 353, + 333, + 363, + 342 + ], + "score": 0.87, + "content": "d ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 328, + 506, + 347 + ], + "score": 1.0, + "content": "is the size of the optimal teaching", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 343, + 123, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 343, + 123, + 355 + ], + "score": 1.0, + "content": "set.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 104, + 328, + 506, + 355 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 359, + 504, + 383 + ], + "lines": [ + { + "bbox": [ + 105, + 358, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 505, + 373 + ], + "score": 1.0, + "content": "Thus, as in the machine teaching case, we have reduced the problem of finding a good subset to", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 370, + 326, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 370, + 326, + 383 + ], + "score": 1.0, + "content": "finding a minimal setcover, though of an expanded set.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 358, + 505, + 383 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 387, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 105, + 387, + 505, + 401 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 401 + ], + "score": 1.0, + "content": "Note that we can convert a data subset selection algorithm with interpolating learners (online or", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "exploratory set cover algorithm) into a subset selection algorithm without assuming an interpolating", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 410, + 505, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 476, + 422 + ], + "score": 1.0, + "content": "learner, simply by acting as if training errors don’t exist. In particular, if we train on a subset", + "type": "text" + }, + { + "bbox": [ + 476, + 410, + 487, + 420 + ], + "score": 0.87, + "content": "S _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 410, + 505, + 422 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 420, + 505, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 190, + 433 + ], + "score": 1.0, + "content": "receive a hypothesis", + "type": "text" + }, + { + "bbox": [ + 190, + 421, + 201, + 432 + ], + "score": 0.88, + "content": "h _ { t }", + "type": "inline_equation" + }, + { + "bbox": [ + 201, + 421, + 301, + 433 + ], + "score": 1.0, + "content": ", rather than intersecting", + "type": "text" + }, + { + "bbox": [ + 302, + 420, + 374, + 433 + ], + "score": 0.92, + "content": "\\{ i : h _ { t } ( x _ { i } ) \\neq y _ { i } \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 421, + 447, + 433 + ], + "score": 1.0, + "content": ", we can intersect", + "type": "text" + }, + { + "bbox": [ + 447, + 420, + 505, + 433 + ], + "score": 0.91, + "content": "\\{ i : h _ { t } ( x _ { i } ) \\neq", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 431, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 106, + 431, + 160, + 443 + ], + "score": 0.92, + "content": "y _ { i } \\wedge i \\notin { \\dot { S _ { t } } } \\bar { \\} }", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 431, + 506, + 445 + ], + "score": 1.0, + "content": ". Put another way, when using a realizable algorithm on a non-interpolating learner,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 505, + 455 + ], + "score": 1.0, + "content": "we can “squash” the training errors and pretend they don’t exist. In fact, this technique is used as", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "score": 1.0, + "content": "a heuristic in Cicalese et al. (2020) to make the algorithm work in practice. Thus, we provide a", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 465, + 415, + 477 + ], + "spans": [ + { + "bbox": [ + 106, + 465, + 415, + 477 + ], + "score": 1.0, + "content": "framework justifying the use of this technique previously used as a heuristic.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 387, + 506, + 477 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 489, + 361, + 500 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 362, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 362, + 501 + ], + "score": 1.0, + "content": "F.5 COMPARISON TO K-EXTENDED TEACHING DIMENSION", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 509, + 505, + 576 + ], + "lines": [ + { + "bbox": [ + 106, + 509, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 294, + 522 + ], + "score": 1.0, + "content": "Cicalese et al. 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Hypothesis typeType IType IIType III
o(h) Total errors<*>g*>g*
Errors for k-extended≥k+1≥k+1=k
≥k+1≥k+1≥0
Errors for error inclusive≥k+1≥k≥k
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A ranked minimal error learner is invariant to consistent additions.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 266, + 505, + 300 + ], + "lines": [ + { + "bbox": [ + 106, + 266, + 506, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 173, + 279 + ], + "score": 1.0, + "content": "Proof. 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Hypothesis typeType IType IIType III
o(h) Total errors<*>g*>g*
Errors for k-extended≥k+1≥k+1=k
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A ranked minimal error learner is invariant to consistent additions.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 266, + 505, + 300 + ], + "lines": [ + { + "bbox": [ + 106, + 266, + 506, + 279 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 173, + 279 + ], + "score": 1.0, + "content": "Proof. 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Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 240, + 118, + 248, + 127 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 116, + 506, + 130 + ], + "score": 1.0, + "content": "is invariant to consistent additions. Then, for a fixed dataset", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 107, + 127, + 321, + 141 + ], + "spans": [ + { + "bbox": [ + 107, + 128, + 185, + 140 + ], + "score": 0.92, + "content": "\\{ ( x _ { i } , y _ { i } ) : i \\in [ \\bar { m } ] \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 127, + 268, + 141 + ], + "score": 1.0, + "content": ", and for any subsets", + "type": "text" + }, + { + "bbox": [ + 269, + 128, + 317, + 140 + ], + "score": 0.92, + "content": "S , S ^ { \\prime } \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 127, + 321, + 141 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 160, + 409, + 175 + ], + "lines": [ + { + "bbox": [ + 201, + 160, + 409, + 175 + ], + "spans": [ + { + "bbox": [ + 201, + 160, + 409, + 175 + ], + "score": 0.88, + "content": "L ^ { ( e r r ) } ( S ) \\cap S ^ { \\prime } = \\varnothing \\implies L ^ { ( e r r ) } ( S \\cup S ^ { \\prime } ) = L ^ { ( e r r ) } ( S )", + "type": "interline_equation", + "image_path": "159117977b683be4bf86bb7ff21f63d69895721f45d65bd529669f513dcf65c5.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 201, + 160, + 409, + 175 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 186, + 298, + 198 + ], + "lines": [ + { + "bbox": [ + 106, + 185, + 295, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 285, + 200 + ], + "score": 1.0, + "content": "Proof. We prove by induction on the size of", + "type": "text" + }, + { + "bbox": [ + 285, + 187, + 295, + 196 + ], + "score": 0.87, + "content": "S ^ { \\prime }", + "type": "inline_equation" + } + ], + "index": 5 + } + ], + "index": 5 + }, + { + "type": "text", + "bbox": [ + 107, + 203, + 339, + 215 + ], + "lines": [ + { + "bbox": [ + 106, + 203, + 339, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 186, + 216 + ], + "score": 1.0, + "content": "As the base case, if", + "type": "text" + }, + { + "bbox": [ + 186, + 203, + 220, + 216 + ], + "score": 0.93, + "content": "| S ^ { \\prime } | = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 203, + 339, + 216 + ], + "score": 1.0, + "content": ", the statement trivially holds.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 219, + 504, + 243 + ], + "lines": [ + { + "bbox": [ + 105, + 218, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 242, + 234 + ], + "score": 1.0, + "content": "Suppose the lemma holds for any", + "type": "text" + }, + { + "bbox": [ + 242, + 220, + 277, + 232 + ], + "score": 0.92, + "content": "| S ^ { \\prime } | = k", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 218, + 364, + 234 + ], + "score": 1.0, + "content": ". Now, we must show", + "type": "text" + }, + { + "bbox": [ + 364, + 219, + 506, + 233 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\varnothing \\implies L ^ { ( \\mathrm { e r r } ) } ( S \\cup", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 229, + 241, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 168, + 243 + ], + "score": 0.93, + "content": "S ^ { \\prime } \\dot { ) } = L ^ { ( \\mathrm { e r r } ) } ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 229, + 184, + 244 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 184, + 231, + 236, + 243 + ], + "score": 0.92, + "content": "| S ^ { \\prime } | = k + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 229, + 241, + 244 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 106, + 247, + 505, + 271 + ], + "lines": [ + { + "bbox": [ + 105, + 245, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 140, + 262 + ], + "score": 1.0, + "content": "Choose", + "type": "text" + }, + { + "bbox": [ + 140, + 250, + 146, + 258 + ], + "score": 0.72, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 245, + 166, + 262 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 167, + 248, + 180, + 258 + ], + "score": 0.86, + "content": "S ^ { \\prime \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 245, + 203, + 262 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 204, + 248, + 245, + 260 + ], + "score": 0.91, + "content": "\\left| S ^ { \\prime \\prime } \\right| = k", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 245, + 288, + 262 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 289, + 248, + 356, + 260 + ], + "score": 0.92, + "content": "S ^ { \\prime } = S ^ { \\prime \\prime } \\cup \\{ s \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 245, + 390, + 262 + ], + "score": 1.0, + "content": ". Then,", + "type": "text" + }, + { + "bbox": [ + 391, + 247, + 471, + 260 + ], + "score": 0.93, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 245, + 506, + 262 + ], + "score": 1.0, + "content": "implies", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 255, + 330, + 273 + ], + "spans": [ + { + "bbox": [ + 107, + 259, + 183, + 271 + ], + "score": 0.91, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime \\prime } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 255, + 220, + 273 + ], + "score": 1.0, + "content": "and thus", + "type": "text" + }, + { + "bbox": [ + 221, + 259, + 325, + 271 + ], + "score": 0.91, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S \\cup S ^ { \\prime \\prime } ) = L ^ { ( \\mathrm { e r r } ) } ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 255, + 330, + 273 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5 + }, + { + "type": "text", + "bbox": [ + 106, + 275, + 440, + 289 + ], + "lines": [ + { + "bbox": [ + 104, + 272, + 441, + 292 + ], + "spans": [ + { + "bbox": [ + 104, + 272, + 161, + 292 + ], + "score": 1.0, + "content": "Furthermore,", + "type": "text" + }, + { + "bbox": [ + 162, + 275, + 235, + 288 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 272, + 268, + 292 + ], + "score": 1.0, + "content": "implies", + "type": "text" + }, + { + "bbox": [ + 269, + 275, + 391, + 288 + ], + "score": 0.91, + "content": "s \\not \\in L ^ { ( \\mathrm { e r r } ) } ( S ) = L ^ { ( \\mathrm { e r r } ) } ( S \\cup S ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 272, + 441, + 292 + ], + "score": 1.0, + "content": ". Therefore,", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 230, + 309, + 381, + 323 + ], + "lines": [ + { + "bbox": [ + 230, + 309, + 381, + 323 + ], + "spans": [ + { + "bbox": [ + 230, + 309, + 381, + 323 + ], + "score": 0.9, + "content": "L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} ) ( x _ { s } ) = y _ { s }", + "type": "interline_equation", + "image_path": "27672ceef924333bed466598d5693f584831da55374d5c4c071d44367d850106.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 230, + 309, + 381, + 323 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 333, + 315, + 345 + ], + "lines": [ + { + "bbox": [ + 105, + 333, + 315, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 315, + 347 + ], + "score": 1.0, + "content": "since the learner is invariant to consistent additions,", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 366, + 514, + 381 + ], + "lines": [ + { + "bbox": [ + 111, + 366, + 514, + 381 + ], + "spans": [ + { + "bbox": [ + 111, + 366, + 514, + 381 + ], + "score": 0.57, + "content": "\\begin{array} { r } { z ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} ) = L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} \\cup \\{ ( x _ { s } , y _ { s } ) \\} ) = L ( ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\cup \\{ s \\} ) } \\end{array}", + "type": "interline_equation", + "image_path": "95785801098488cd5dbb9239937c18aea5e30107a20a772fc75ffa3aed5937a7.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 111, + 366, + 514, + 381 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "interline_equation", + "bbox": [ + 257, + 393, + 530, + 408 + ], + "lines": [ + { + "bbox": [ + 257, + 393, + 530, + 408 + ], + "spans": [ + { + "bbox": [ + 257, + 393, + 530, + 408 + ], + "score": 0.64, + "content": "L ^ { ( \\operatorname { e r r } ) } ( S ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime \\prime } ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime \\prime } \\cup \\{ s \\} ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime } )", + "type": "interline_equation", + "image_path": "615efb456f7f654cb8db6eeaea72440e3945de72af879d5a6b9d67d611c1c726.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 257, + 393, + 530, + 408 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 441, + 504, + 453 + ], + "lines": [ + { + "bbox": [ + 106, + 441, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 243, + 455 + ], + "score": 1.0, + "content": "Proposition 5. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 243, + 442, + 251, + 451 + ], + "score": 0.59, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 441, + 424, + 455 + ], + "score": 1.0, + "content": "is invariant to consistent additions. If a set", + "type": "text" + }, + { + "bbox": [ + 424, + 442, + 432, + 451 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 441, + 505, + 455 + ], + "score": 1.0, + "content": "is error inclusive,", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "interline_equation", + "bbox": [ + 258, + 473, + 352, + 488 + ], + "lines": [ + { + "bbox": [ + 258, + 473, + 352, + 488 + ], + "spans": [ + { + "bbox": [ + 258, + 473, + 352, + 488 + ], + "score": 0.92, + "content": "L ^ { ( e r r ) } ( S ) = L ^ { ( e r r ) } ( [ m ] )", + "type": "interline_equation", + "image_path": "b68687f40f24b2772cc1c4d8aa4c664a858c518765d6fad4807433425847c17e.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 258, + 473, + 352, + 488 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 500, + 365, + 514 + ], + "lines": [ + { + "bbox": [ + 105, + 499, + 362, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 198, + 515 + ], + "score": 1.0, + "content": "Proof. Note that since", + "type": "text" + }, + { + "bbox": [ + 199, + 501, + 362, + 514 + ], + "score": 0.9, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) \\subset S , L ^ { \\mathrm { ( e r r ) } } ( S ) \\cap ( [ m ] \\setminus S ) = \\emptyset .", + "type": "inline_equation" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 108, + 517, + 496, + 531 + ], + "lines": [ + { + "bbox": [ + 104, + 516, + 488, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 516, + 216, + 533 + ], + "score": 1.0, + "content": "By Lemma 10, this implies", + "type": "text" + }, + { + "bbox": [ + 217, + 518, + 364, + 531 + ], + "score": 0.92, + "content": "L ( S ) = L ( S \\cup ( [ m ] \\setminus S ) ) = L ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 516, + 393, + 533 + ], + "score": 1.0, + "content": ". Then,", + "type": "text" + }, + { + "bbox": [ + 393, + 518, + 483, + 531 + ], + "score": 0.93, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 516, + 488, + 533 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "text", + "bbox": [ + 106, + 536, + 506, + 559 + ], + "lines": [ + { + "bbox": [ + 105, + 534, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 235, + 549 + ], + "score": 1.0, + "content": "Lemma 11. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 235, + 537, + 243, + 546 + ], + "score": 0.76, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 534, + 441, + 549 + ], + "score": 1.0, + "content": "is invariant to consistent additions. For any sets", + "type": "text" + }, + { + "bbox": [ + 441, + 536, + 505, + 548 + ], + "score": 0.88, + "content": "S ^ { * } , S \\subset [ m ] , i f", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 547, + 239, + 559 + ], + "spans": [ + { + "bbox": [ + 107, + 547, + 119, + 558 + ], + "score": 0.84, + "content": "S ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 547, + 239, + 559 + ], + "score": 1.0, + "content": "is error inclusive, then either", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5 + }, + { + "type": "interline_equation", + "bbox": [ + 252, + 579, + 360, + 595 + ], + "lines": [ + { + "bbox": [ + 252, + 579, + 360, + 595 + ], + "spans": [ + { + "bbox": [ + 252, + 579, + 360, + 595 + ], + "score": 0.9, + "content": "| ( L ^ { ( e r r ) } ( S ) \\setminus S ) \\cap S ^ { * } | \\geq 1", + "type": "interline_equation", + "image_path": "36ae4b61024cf02132e202f47e27e35d468a6d41eb5dd2e3ec4e08cc5a3e69a1.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 252, + 579, + 360, + 595 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 606, + 118, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 607, + 119, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 119, + 616 + ], + "score": 1.0, + "content": "or", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "interline_equation", + "bbox": [ + 260, + 637, + 351, + 652 + ], + "lines": [ + { + "bbox": [ + 260, + 637, + 351, + 652 + ], + "spans": [ + { + "bbox": [ + 260, + 637, + 351, + 652 + ], + "score": 0.89, + "content": "L ^ { ( e r r ) } ( S ^ { * } ) = L ^ { ( e r r ) } ( S )", + "type": "interline_equation", + "image_path": "87630ebccaaa65281b8d4a031c336115415491901715cf1cc54821d31b8fdb66.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 260, + 637, + 351, + 652 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 663, + 374, + 677 + ], + "lines": [ + { + "bbox": [ + 105, + 663, + 374, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 292, + 678 + ], + "score": 1.0, + "content": "Proof. By the assumption of error inclusivity,", + "type": "text" + }, + { + "bbox": [ + 292, + 664, + 370, + 677 + ], + "score": 0.91, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\setminus S ^ { * } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 663, + 374, + 678 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 108, + 680, + 504, + 705 + ], + "lines": [ + { + "bbox": [ + 105, + 678, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 129, + 695 + ], + "score": 1.0, + "content": "Thus", + "type": "text" + }, + { + "bbox": [ + 129, + 681, + 238, + 693 + ], + "score": 0.88, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\cap \\lnot S ^ { * } \\cap S = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 678, + 256, + 695 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 257, + 681, + 363, + 693 + ], + "score": 0.88, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\cap ( S \\setminus S ^ { * } ) = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 678, + 394, + 695 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 395, + 682, + 403, + 691 + ], + "score": 0.83, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 678, + 506, + 695 + ], + "score": 1.0, + "content": "is invariant to consistent", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 690, + 360, + 707 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 147, + 707 + ], + "score": 1.0, + "content": "additions,", + "type": "text" + }, + { + "bbox": [ + 148, + 693, + 356, + 705 + ], + "score": 0.81, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ^ { * } ) = L ^ { \\mathrm { ( e r r ) } } ( S ^ { * } \\cup ( S \\setminus S ^ { * } ) ) = L ^ { \\mathrm { ( e r r ) } } ( S \\cup S ^ { * } ) .", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 690, + 360, + 707 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 107, + 708, + 504, + 733 + ], + "lines": [ + { + "bbox": [ + 105, + 707, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 283, + 722 + ], + "score": 1.0, + "content": "Suppose the first conclusion is not satisfied:", + "type": "text" + }, + { + "bbox": [ + 284, + 709, + 380, + 721 + ], + "score": 0.87, + "content": "( L ^ { ( \\mathrm { e r r } ) } ( S ) \\setminus S ) \\cap S ^ { * } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 707, + 403, + 722 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 403, + 709, + 501, + 721 + ], + "score": 0.89, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap ( S ^ { * } \\setminus S ) = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 707, + 505, + 722 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 104, + 717, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 104, + 717, + 313, + 734 + ], + "score": 1.0, + "content": "Since the learner is invariant to consistent additions,", + "type": "text" + }, + { + "bbox": [ + 313, + 720, + 501, + 733 + ], + "score": 0.89, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( S \\cup ( S ^ { * } \\setminus S ) ) ^ { * } = L ^ { \\mathrm { ( e r r ) } } ( S \\cup S ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 717, + 506, + 734 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5 + } + ], + "page_idx": 31, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 308, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 308, + 39 + ], + "score": 1.0, + "content": "Under review as a conference paper at ICLR 2023", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 749, + 313, + 765 + ], + "spans": [ + { + "bbox": [ + 298, + 749, + 313, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 16, + "width": 15 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 99, + 505, + 110 + ], + "lines": [ + { + "bbox": [ + 496, + 101, + 505, + 110 + ], + "spans": [ + { + "bbox": [ + 496, + 101, + 505, + 110 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 495, + 424, + 504, + 434 + ], + "lines": [ + { + "bbox": [ + 496, + 426, + 504, + 433 + ], + "spans": [ + { + "bbox": [ + 496, + 426, + 504, + 433 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 495, + 519, + 504, + 529 + ], + "lines": [ + { + "bbox": [ + 495, + 520, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 495, + 520, + 505, + 531 + ], + "score": 0.998, + "content": "□", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 293, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 80, + 294, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 142, + 97 + ], + "score": 1.0, + "content": "Because", + "type": "text" + }, + { + "bbox": [ + 142, + 85, + 149, + 92 + ], + "score": 0.77, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 80, + 294, + 97 + ], + "score": 1.0, + "content": "is bijective, it has a unique argmax.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 105, + 80, + 294, + 97 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 99, + 279, + 112 + ], + "lines": [ + { + "bbox": [ + 105, + 97, + 277, + 114 + ], + "spans": [ + { + "bbox": [ + 105, + 97, + 118, + 114 + ], + "score": 1.0, + "content": "so", + "type": "text" + }, + { + "bbox": [ + 118, + 99, + 277, + 112 + ], + "score": 0.87, + "content": "L ( D ^ { + } ) = \\arg \\operatorname* { m i n } _ { h \\in M ^ { + } } \\sigma ( h ) = L ( D ) .", + "type": "inline_equation" + } + ], + "index": 1 + } + ], + "index": 1, + "bbox_fs": [ + 105, + 97, + 277, + 114 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 117, + 507, + 141 + ], + "lines": [ + { + "bbox": [ + 105, + 116, + 506, + 130 + ], + "spans": [ + { + "bbox": [ + 105, + 116, + 239, + 130 + ], + "score": 1.0, + "content": "Lemma 10. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 240, + 118, + 248, + 127 + ], + "score": 0.77, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 116, + 506, + 130 + ], + "score": 1.0, + "content": "is invariant to consistent additions. Then, for a fixed dataset", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 107, + 127, + 321, + 141 + ], + "spans": [ + { + "bbox": [ + 107, + 128, + 185, + 140 + ], + "score": 0.92, + "content": "\\{ ( x _ { i } , y _ { i } ) : i \\in [ \\bar { m } ] \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 127, + 268, + 141 + ], + "score": 1.0, + "content": ", and for any subsets", + "type": "text" + }, + { + "bbox": [ + 269, + 128, + 317, + 140 + ], + "score": 0.92, + "content": "S , S ^ { \\prime } \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 127, + 321, + 141 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5, + "bbox_fs": [ + 105, + 116, + 506, + 141 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 160, + 409, + 175 + ], + "lines": [ + { + "bbox": [ + 201, + 160, + 409, + 175 + ], + "spans": [ + { + "bbox": [ + 201, + 160, + 409, + 175 + ], + "score": 0.88, + "content": "L ^ { ( e r r ) } ( S ) \\cap S ^ { \\prime } = \\varnothing \\implies L ^ { ( e r r ) } ( S \\cup S ^ { \\prime } ) = L ^ { ( e r r ) } ( S )", + "type": "interline_equation", + "image_path": "159117977b683be4bf86bb7ff21f63d69895721f45d65bd529669f513dcf65c5.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 201, + 160, + 409, + 175 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 186, + 298, + 198 + ], + "lines": [ + { + "bbox": [ + 106, + 185, + 295, + 200 + ], + "spans": [ + { + "bbox": [ + 106, + 185, + 285, + 200 + ], + "score": 1.0, + "content": "Proof. We prove by induction on the size of", + "type": "text" + }, + { + "bbox": [ + 285, + 187, + 295, + 196 + ], + "score": 0.87, + "content": "S ^ { \\prime }", + "type": "inline_equation" + } + ], + "index": 5 + } + ], + "index": 5, + "bbox_fs": [ + 106, + 185, + 295, + 200 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 203, + 339, + 215 + ], + "lines": [ + { + "bbox": [ + 106, + 203, + 339, + 216 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 186, + 216 + ], + "score": 1.0, + "content": "As the base case, if", + "type": "text" + }, + { + "bbox": [ + 186, + 203, + 220, + 216 + ], + "score": 0.93, + "content": "| S ^ { \\prime } | = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 203, + 339, + 216 + ], + "score": 1.0, + "content": ", the statement trivially holds.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 106, + 203, + 339, + 216 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 219, + 504, + 243 + ], + "lines": [ + { + "bbox": [ + 105, + 218, + 506, + 234 + ], + "spans": [ + { + "bbox": [ + 105, + 218, + 242, + 234 + ], + "score": 1.0, + "content": "Suppose the lemma holds for any", + "type": "text" + }, + { + "bbox": [ + 242, + 220, + 277, + 232 + ], + "score": 0.92, + "content": "| S ^ { \\prime } | = k", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 218, + 364, + 234 + ], + "score": 1.0, + "content": ". Now, we must show", + "type": "text" + }, + { + "bbox": [ + 364, + 219, + 506, + 233 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\varnothing \\implies L ^ { ( \\mathrm { e r r } ) } ( S \\cup", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 229, + 241, + 244 + ], + "spans": [ + { + "bbox": [ + 106, + 231, + 168, + 243 + ], + "score": 0.93, + "content": "S ^ { \\prime } \\dot { ) } = L ^ { ( \\mathrm { e r r } ) } ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 229, + 184, + 244 + ], + "score": 1.0, + "content": "for", + "type": "text" + }, + { + "bbox": [ + 184, + 231, + 236, + 243 + ], + "score": 0.92, + "content": "| S ^ { \\prime } | = k + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 229, + 241, + 244 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 218, + 506, + 244 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 247, + 505, + 271 + ], + "lines": [ + { + "bbox": [ + 105, + 245, + 506, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 140, + 262 + ], + "score": 1.0, + "content": "Choose", + "type": "text" + }, + { + "bbox": [ + 140, + 250, + 146, + 258 + ], + "score": 0.72, + "content": "s", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 245, + 166, + 262 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 167, + 248, + 180, + 258 + ], + "score": 0.86, + "content": "S ^ { \\prime \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 245, + 203, + 262 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 204, + 248, + 245, + 260 + ], + "score": 0.91, + "content": "\\left| S ^ { \\prime \\prime } \\right| = k", + "type": "inline_equation" + }, + { + "bbox": [ + 246, + 245, + 288, + 262 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 289, + 248, + 356, + 260 + ], + "score": 0.92, + "content": "S ^ { \\prime } = S ^ { \\prime \\prime } \\cup \\{ s \\}", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 245, + 390, + 262 + ], + "score": 1.0, + "content": ". Then,", + "type": "text" + }, + { + "bbox": [ + 391, + 247, + 471, + 260 + ], + "score": 0.93, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 245, + 506, + 262 + ], + "score": 1.0, + "content": "implies", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 107, + 255, + 330, + 273 + ], + "spans": [ + { + "bbox": [ + 107, + 259, + 183, + 271 + ], + "score": 0.91, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime \\prime } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 255, + 220, + 273 + ], + "score": 1.0, + "content": "and thus", + "type": "text" + }, + { + "bbox": [ + 221, + 259, + 325, + 271 + ], + "score": 0.91, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S \\cup S ^ { \\prime \\prime } ) = L ^ { ( \\mathrm { e r r } ) } ( S )", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 255, + 330, + 273 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9.5, + "bbox_fs": [ + 105, + 245, + 506, + 273 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 275, + 440, + 289 + ], + "lines": [ + { + "bbox": [ + 104, + 272, + 441, + 292 + ], + "spans": [ + { + "bbox": [ + 104, + 272, + 161, + 292 + ], + "score": 1.0, + "content": "Furthermore,", + "type": "text" + }, + { + "bbox": [ + 162, + 275, + 235, + 288 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ^ { \\prime } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 272, + 268, + 292 + ], + "score": 1.0, + "content": "implies", + "type": "text" + }, + { + "bbox": [ + 269, + 275, + 391, + 288 + ], + "score": 0.91, + "content": "s \\not \\in L ^ { ( \\mathrm { e r r } ) } ( S ) = L ^ { ( \\mathrm { e r r } ) } ( S \\cup S ^ { \\prime \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 272, + 441, + 292 + ], + "score": 1.0, + "content": ". Therefore,", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11, + "bbox_fs": [ + 104, + 272, + 441, + 292 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 230, + 309, + 381, + 323 + ], + "lines": [ + { + "bbox": [ + 230, + 309, + 381, + 323 + ], + "spans": [ + { + "bbox": [ + 230, + 309, + 381, + 323 + ], + "score": 0.9, + "content": "L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} ) ( x _ { s } ) = y _ { s }", + "type": "interline_equation", + "image_path": "27672ceef924333bed466598d5693f584831da55374d5c4c071d44367d850106.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 230, + 309, + 381, + 323 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 333, + 315, + 345 + ], + "lines": [ + { + "bbox": [ + 105, + 333, + 315, + 347 + ], + "spans": [ + { + "bbox": [ + 105, + 333, + 315, + 347 + ], + "score": 1.0, + "content": "since the learner is invariant to consistent additions,", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 333, + 315, + 347 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 366, + 514, + 381 + ], + "lines": [ + { + "bbox": [ + 111, + 366, + 514, + 381 + ], + "spans": [ + { + "bbox": [ + 111, + 366, + 514, + 381 + ], + "score": 0.57, + "content": "\\begin{array} { r } { z ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} ) = L ( \\{ ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\} \\cup \\{ ( x _ { s } , y _ { s } ) \\} ) = L ( ( x _ { i } , y _ { i } ) : i \\in S \\cup S ^ { \\prime \\prime } \\cup \\{ s \\} ) } \\end{array}", + "type": "interline_equation", + "image_path": "95785801098488cd5dbb9239937c18aea5e30107a20a772fc75ffa3aed5937a7.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 111, + 366, + 514, + 381 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "interline_equation", + "bbox": [ + 257, + 393, + 530, + 408 + ], + "lines": [ + { + "bbox": [ + 257, + 393, + 530, + 408 + ], + "spans": [ + { + "bbox": [ + 257, + 393, + 530, + 408 + ], + "score": 0.64, + "content": "L ^ { ( \\operatorname { e r r } ) } ( S ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime \\prime } ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime \\prime } \\cup \\{ s \\} ) = L ^ { ( \\operatorname { e r r } ) } ( S \\cup S ^ { \\prime } )", + "type": "interline_equation", + "image_path": "615efb456f7f654cb8db6eeaea72440e3945de72af879d5a6b9d67d611c1c726.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 257, + 393, + 530, + 408 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 441, + 504, + 453 + ], + "lines": [ + { + "bbox": [ + 106, + 441, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 106, + 441, + 243, + 455 + ], + "score": 1.0, + "content": "Proposition 5. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 243, + 442, + 251, + 451 + ], + "score": 0.59, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 441, + 424, + 455 + ], + "score": 1.0, + "content": "is invariant to consistent additions. If a set", + "type": "text" + }, + { + "bbox": [ + 424, + 442, + 432, + 451 + ], + "score": 0.76, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 441, + 505, + 455 + ], + "score": 1.0, + "content": "is error inclusive,", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16, + "bbox_fs": [ + 106, + 441, + 505, + 455 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 258, + 473, + 352, + 488 + ], + "lines": [ + { + "bbox": [ + 258, + 473, + 352, + 488 + ], + "spans": [ + { + "bbox": [ + 258, + 473, + 352, + 488 + ], + "score": 0.92, + "content": "L ^ { ( e r r ) } ( S ) = L ^ { ( e r r ) } ( [ m ] )", + "type": "interline_equation", + "image_path": "b68687f40f24b2772cc1c4d8aa4c664a858c518765d6fad4807433425847c17e.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 258, + 473, + 352, + 488 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 500, + 365, + 514 + ], + "lines": [ + { + "bbox": [ + 105, + 499, + 362, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 198, + 515 + ], + "score": 1.0, + "content": "Proof. Note that since", + "type": "text" + }, + { + "bbox": [ + 199, + 501, + 362, + 514 + ], + "score": 0.9, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) \\subset S , L ^ { \\mathrm { ( e r r ) } } ( S ) \\cap ( [ m ] \\setminus S ) = \\emptyset .", + "type": "inline_equation" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 499, + 362, + 515 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 517, + 496, + 531 + ], + "lines": [ + { + "bbox": [ + 104, + 516, + 488, + 533 + ], + "spans": [ + { + "bbox": [ + 104, + 516, + 216, + 533 + ], + "score": 1.0, + "content": "By Lemma 10, this implies", + "type": "text" + }, + { + "bbox": [ + 217, + 518, + 364, + 531 + ], + "score": 0.92, + "content": "L ( S ) = L ( S \\cup ( [ m ] \\setminus S ) ) = L ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 516, + 393, + 533 + ], + "score": 1.0, + "content": ". Then,", + "type": "text" + }, + { + "bbox": [ + 393, + 518, + 483, + 531 + ], + "score": 0.93, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( [ m ] )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 516, + 488, + 533 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19, + "bbox_fs": [ + 104, + 516, + 488, + 533 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 536, + 506, + 559 + ], + "lines": [ + { + "bbox": [ + 105, + 534, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 235, + 549 + ], + "score": 1.0, + "content": "Lemma 11. Suppose a learner", + "type": "text" + }, + { + "bbox": [ + 235, + 537, + 243, + 546 + ], + "score": 0.76, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 534, + 441, + 549 + ], + "score": 1.0, + "content": "is invariant to consistent additions. For any sets", + "type": "text" + }, + { + "bbox": [ + 441, + 536, + 505, + 548 + ], + "score": 0.88, + "content": "S ^ { * } , S \\subset [ m ] , i f", + "type": "inline_equation" + } + ], + "index": 20 + }, + { + "bbox": [ + 107, + 547, + 239, + 559 + ], + "spans": [ + { + "bbox": [ + 107, + 547, + 119, + 558 + ], + "score": 0.84, + "content": "S ^ { * }", + "type": "inline_equation" + }, + { + "bbox": [ + 119, + 547, + 239, + 559 + ], + "score": 1.0, + "content": "is error inclusive, then either", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20.5, + "bbox_fs": [ + 105, + 534, + 505, + 559 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 252, + 579, + 360, + 595 + ], + "lines": [ + { + "bbox": [ + 252, + 579, + 360, + 595 + ], + "spans": [ + { + "bbox": [ + 252, + 579, + 360, + 595 + ], + "score": 0.9, + "content": "| ( L ^ { ( e r r ) } ( S ) \\setminus S ) \\cap S ^ { * } | \\geq 1", + "type": "interline_equation", + "image_path": "36ae4b61024cf02132e202f47e27e35d468a6d41eb5dd2e3ec4e08cc5a3e69a1.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 252, + 579, + 360, + 595 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 606, + 118, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 607, + 119, + 616 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 119, + 616 + ], + "score": 1.0, + "content": "or", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 106, + 607, + 119, + 616 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 260, + 637, + 351, + 652 + ], + "lines": [ + { + "bbox": [ + 260, + 637, + 351, + 652 + ], + "spans": [ + { + "bbox": [ + 260, + 637, + 351, + 652 + ], + "score": 0.89, + "content": "L ^ { ( e r r ) } ( S ^ { * } ) = L ^ { ( e r r ) } ( S )", + "type": "interline_equation", + "image_path": "87630ebccaaa65281b8d4a031c336115415491901715cf1cc54821d31b8fdb66.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 260, + 637, + 351, + 652 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 663, + 374, + 677 + ], + "lines": [ + { + "bbox": [ + 105, + 663, + 374, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 292, + 678 + ], + "score": 1.0, + "content": "Proof. By the assumption of error inclusivity,", + "type": "text" + }, + { + "bbox": [ + 292, + 664, + 370, + 677 + ], + "score": 0.91, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\setminus S ^ { * } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 371, + 663, + 374, + 678 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 663, + 374, + 678 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 680, + 504, + 705 + ], + "lines": [ + { + "bbox": [ + 105, + 678, + 506, + 695 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 129, + 695 + ], + "score": 1.0, + "content": "Thus", + "type": "text" + }, + { + "bbox": [ + 129, + 681, + 238, + 693 + ], + "score": 0.88, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\cap \\lnot S ^ { * } \\cap S = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 238, + 678, + 256, + 695 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 257, + 681, + 363, + 693 + ], + "score": 0.88, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ^ { * } ) \\cap ( S \\setminus S ^ { * } ) = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 364, + 678, + 394, + 695 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 395, + 682, + 403, + 691 + ], + "score": 0.83, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 678, + 506, + 695 + ], + "score": 1.0, + "content": "is invariant to consistent", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 690, + 360, + 707 + ], + "spans": [ + { + "bbox": [ + 105, + 690, + 147, + 707 + ], + "score": 1.0, + "content": "additions,", + "type": "text" + }, + { + "bbox": [ + 148, + 693, + 356, + 705 + ], + "score": 0.81, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ^ { * } ) = L ^ { \\mathrm { ( e r r ) } } ( S ^ { * } \\cup ( S \\setminus S ^ { * } ) ) = L ^ { \\mathrm { ( e r r ) } } ( S \\cup S ^ { * } ) .", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 690, + 360, + 707 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 678, + 506, + 707 + ] + }, + { + "type": "list", + "bbox": [ + 107, + 708, + 504, + 733 + ], + "lines": [ + { + "bbox": [ + 105, + 707, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 105, + 707, + 283, + 722 + ], + "score": 1.0, + "content": "Suppose the first conclusion is not satisfied:", + "type": "text" + }, + { + "bbox": [ + 284, + 709, + 380, + 721 + ], + "score": 0.87, + "content": "( L ^ { ( \\mathrm { e r r } ) } ( S ) \\setminus S ) \\cap S ^ { * } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 381, + 707, + 403, + 722 + ], + "score": 1.0, + "content": ", then", + "type": "text" + }, + { + "bbox": [ + 403, + 709, + 501, + 721 + ], + "score": 0.89, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap ( S ^ { * } \\setminus S ) = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 707, + 505, + 722 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 28, + "is_list_end_line": true + }, + { + "bbox": [ + 104, + 717, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 104, + 717, + 313, + 734 + ], + "score": 1.0, + "content": "Since the learner is invariant to consistent additions,", + "type": "text" + }, + { + "bbox": [ + 313, + 720, + 501, + 733 + ], + "score": 0.89, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( S \\cup ( S ^ { * } \\setminus S ) ) ^ { * } = L ^ { \\mathrm { ( e r r ) } } ( S \\cup S ^ { * } )", + "type": "inline_equation" + }, + { + "bbox": [ + 501, + 717, + 506, + 734 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 28.5, + "bbox_fs": [ + 104, + 707, + 506, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 81, + 291, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 78, + 289, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 78, + 131, + 97 + ], + "score": 1.0, + "content": "Thus,", + "type": "text" + }, + { + "bbox": [ + 132, + 82, + 289, + 95 + ], + "score": 0.91, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( S \\cup S ^ { * } ) = L ^ { \\mathrm { ( e r r ) } } ( S ^ { * } ) .", + "type": "inline_equation" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 124, + 389, + 137 + ], + "lines": [ + { + "bbox": [ + 105, + 123, + 390, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 123, + 216, + 139 + ], + "score": 1.0, + "content": "Proposition 3. If a learner", + "type": "text" + }, + { + "bbox": [ + 216, + 126, + 224, + 135 + ], + "score": 0.64, + "content": "L", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 123, + 390, + 139 + ], + "score": 1.0, + "content": "is invariant to consistent additions, then,", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 1 + }, + { + "type": "text", + "bbox": [ + 107, + 178, + 505, + 203 + ], + "lines": [ + { + "bbox": [ + 105, + 177, + 506, + 193 + ], + "spans": [ + { + "bbox": [ + 105, + 177, + 135, + 193 + ], + "score": 1.0, + "content": "Proof.", + "type": "text" + }, + { + "bbox": [ + 135, + 181, + 147, + 190 + ], + "score": 0.41, + "content": "", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 177, + 193, + 193 + ], + "score": 1.0, + "content": ": Suppose", + "type": "text" + }, + { + "bbox": [ + 193, + 180, + 201, + 190 + ], + "score": 0.79, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 177, + 264, + 193 + ], + "score": 1.0, + "content": "fully intersects", + "type": "text" + }, + { + "bbox": [ + 264, + 180, + 277, + 190 + ], + "score": 0.89, + "content": "{ \\mathcal { E } } ^ { + }", + "type": "inline_equation" + }, + { + "bbox": [ + 278, + 177, + 364, + 193 + ], + "score": 1.0, + "content": ". Then, for any set", + "type": "text" + }, + { + "bbox": [ + 364, + 180, + 375, + 190 + ], + "score": 0.86, + "content": "S ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 177, + 407, + 193 + ], + "score": 1.0, + "content": ", either", + "type": "text" + }, + { + "bbox": [ + 407, + 179, + 491, + 192 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\ \\backslash \\ S ^ { \\prime } \\ = \\ \\varnothing", + "type": "inline_equation" + }, + { + "bbox": [ + 492, + 177, + 506, + 193 + ], + "score": 1.0, + "content": "or", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 107, + 189, + 218, + 204 + ], + "spans": [ + { + "bbox": [ + 107, + 190, + 213, + 203 + ], + "score": 0.92, + "content": "| ( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } ) \\cap S | \\ge 1", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 189, + 218, + 204 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 206, + 505, + 230 + ], + "lines": [ + { + "bbox": [ + 105, + 205, + 506, + 221 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 122, + 221 + ], + "score": 1.0, + "content": "Set", + "type": "text" + }, + { + "bbox": [ + 122, + 207, + 154, + 218 + ], + "score": 0.91, + "content": "S ^ { \\prime } = S", + "type": "inline_equation" + }, + { + "bbox": [ + 154, + 205, + 219, + 221 + ], + "score": 1.0, + "content": ". Then, because", + "type": "text" + }, + { + "bbox": [ + 220, + 207, + 316, + 219 + ], + "score": 0.91, + "content": "( L ^ { ( \\mathrm { e r r } ) } ( S ) \\setminus S ) \\cap S = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 317, + 205, + 415, + 221 + ], + "score": 1.0, + "content": ", it must be the case that", + "type": "text" + }, + { + "bbox": [ + 416, + 207, + 487, + 219 + ], + "score": 0.93, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ) \\setminus S = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 487, + 205, + 506, + 221 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 218, + 206, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 218, + 126, + 231 + ], + "score": 1.0, + "content": "thus", + "type": "text" + }, + { + "bbox": [ + 126, + 219, + 133, + 228 + ], + "score": 0.84, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 134, + 218, + 206, + 231 + ], + "score": 1.0, + "content": "is error inclusive.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 108, + 235, + 259, + 247 + ], + "lines": [ + { + "bbox": [ + 106, + 234, + 260, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 237, + 118, + 246 + ], + "score": 0.65, + "content": "", + "type": "inline_equation" + }, + { + "bbox": [ + 118, + 234, + 179, + 248 + ], + "score": 1.0, + "content": ": Suppose a set", + "type": "text" + }, + { + "bbox": [ + 179, + 236, + 187, + 245 + ], + "score": 0.83, + "content": "S", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 234, + 260, + 248 + ], + "score": 1.0, + "content": "is error inclusive.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 251, + 504, + 265 + ], + "lines": [ + { + "bbox": [ + 105, + 249, + 501, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 157, + 267 + ], + "score": 1.0, + "content": "Pick any set", + "type": "text" + }, + { + "bbox": [ + 157, + 252, + 195, + 264 + ], + "score": 0.92, + "content": "S ^ { \\prime } \\subset [ m ]", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 249, + 316, + 267 + ], + "score": 1.0, + "content": ". It suffices to show that either", + "type": "text" + }, + { + "bbox": [ + 317, + 252, + 388, + 264 + ], + "score": 0.92, + "content": "L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) / S ^ { \\prime } = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 388, + 249, + 400, + 267 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 401, + 252, + 501, + 265 + ], + "score": 0.91, + "content": "| ( L ^ { \\mathrm { ( e r r ) } } ( S ^ { \\prime } ) / S ^ { \\prime } ) \\cap S | \\ge 1", + "type": "inline_equation" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 269, + 249, + 281 + ], + "lines": [ + { + "bbox": [ + 106, + 270, + 249, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 270, + 249, + 281 + ], + "score": 1.0, + "content": "By Lemma 11, there are two cases:", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "text", + "bbox": [ + 106, + 285, + 250, + 299 + ], + 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[ + 106, + 318, + 141, + 334 + ], + "score": 1.0, + "content": "Case 2:", + "type": "text" + }, + { + "bbox": [ + 141, + 319, + 226, + 332 + ], + "score": 0.94, + "content": "L ^ { \\mathrm { ( e r r ) } } ( S ) = L ^ { \\mathrm { ( e r r ) } } ( S ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 226, + 318, + 245, + 334 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 245, + 319, + 345, + 333 + ], + "score": 0.91, + "content": "( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } ) \\cap S = \\emptyset", + "type": "inline_equation" + }, + { + "bbox": [ + 346, + 318, + 349, + 334 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 251, + 354, + 361, + 452 + ], + "lines": [ + { + "bbox": [ + 251, + 354, + 361, + 452 + ], + "spans": [ + { + "bbox": [ + 251, + 354, + 361, + 452 + ], + "score": 0.93, + "content": "\\begin{array} { r l r } & { } & { ( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } ) \\cap S = \\emptyset } \\\\ & { } & { ( L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\cap S ) \\cap \\neg S ^ { \\prime } = \\emptyset } \\\\ & { } & { ( L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap S ) \\cap \\neg S ^ { \\prime } = \\emptyset } \\\\ & { } & { L ^ { ( \\mathrm { e r r } ) } ( S ) \\cap \\neg S ^ { \\prime } = \\emptyset } \\\\ & { } & { L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\cap \\neg S ^ { \\prime } = \\emptyset } \\\\ & { } & { L ^ { ( \\mathrm { e r r } ) } ( S ^ { \\prime } ) \\setminus S ^ { \\prime } = \\emptyset } \\end{array}", + "type": "interline_equation", + "image_path": "1bd60c0290e60b4bd2c8b223353caafa5b98bea1939ff56ae6885418d9473926.jpg" + } + ] + } + ], + "index": 12.5, + "virtual_lines": [ + { + "bbox": [ + 251, + 354, + 361, + 403.0 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 251, + 403.0, + 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CIFAR10100020001000
CIFAR1008000160004000
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CIFAR10128108125
CIFAR100126150146
CINIC10144197201
SVHN768987
FMNIST10573102
MNIST473942
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DatasetDHPZCFLMOurs
CIFAR10143158116
CIFAR100123123143
CINIC10202158195
SVHN9079113
FMNIST879996
MNIST424538
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"height": 2200 + } + } +] \ No newline at end of file diff --git a/parse/dev/voV_TRqcWh/voV_TRqcWh.md b/parse/dev/voV_TRqcWh/voV_TRqcWh.md new file mode 100644 index 0000000000000000000000000000000000000000..89f45923002cc452d07b2a5ebd6bec464c7ae292 --- /dev/null +++ b/parse/dev/voV_TRqcWh/voV_TRqcWh.md @@ -0,0 +1,299 @@ +# Poisson Flow Generative Models + +Yilun Xu∗ , Ziming Liu∗ , Max Tegmark, Tommi Jaakkola Massachusetts Institute of Technology ylxu, zmliu, tegmark @mit.edu; tommi@csail.mit.edu + +# Abstract + +We propose a new “Poisson flow” generative model (PFGM) that maps a uniform distribution on a high-dimensional hemisphere into any data distribution. We interpret the data points as electrical charges on the $z = 0$ hyperplane in a space augmented with an additional dimension $z$ , generating a high-dimensional electric field (the gradient of the solution to Poisson equation). We prove that if these charges flow upward along electric field lines, their initial distribution in the $z \ = \ 0$ plane transforms into a distribution on the hemisphere of radius $r$ that becomes uniform in the $r \infty$ limit. To learn the bijective transformation, we estimate the normalized field in the augmented space. For sampling, we devise a backward ODE that is anchored by the physically meaningful additional dimension: the samples hit the (unaugmented) data manifold when the $z$ reaches zero. Experimentally, PFGM achieves current state-of-the-art performance among the normalizing flow models on CIFAR-10, with an Inception score of 9.68 and a FID score of 2.35. It also performs on par with the state-of-the-art SDE approaches while offering $1 0 \times$ to $2 0 \times$ acceleration on image generation tasks. Additionally, PFGM appears more tolerant of estimation errors on a weaker network architecture and robust to the step size in the Euler method. The code is available at https: //github.com/Newbeeer/poisson_flow. + +# 1 Introduction + +Deep generative models are a prominent approach for data generation, and have been used to produce high quality samples in image [1], text [2] and audio [35], as well as improve semi-supervised learning [20], domain generalization [25] and imitation learning [15]. However, current deep generative models also have limitations, such as unstable training objectives (GANs [1, 12, 17]) and low sample quality (VAEs [21], normalizing flows [6]). New techniques [12, 24] are introduced to stablize the training of CNN-based or ViT-based GAN models. Although recent advances on diffusion [16] and scored-based models [33] achieve comparable sample quality to GAN’s without adversarial training, these models have a slow stochastic sampling process. [33] proposes backward ODE samplers (normalizing flow) that speed up the sampling process but these methods have not yet performed on par with the SDE counterparts. + +We present a new “Poisson flow” generative model (PFGM), exploiting a remarkable physics fact that generalizes to $N$ dimensions. As illustrated in Fig. 1(a), motion in a viscous fluid transforms any planar charge distribution into a uniform angular distribution. Specifically, we interpret $N$ - dimensional data points $\mathbf { x }$ (images, say) as positive electric charges in the $z \ = \ 0$ plane of an $N + 1$ -dimensional space (see Fig. 1(a)) filled with a viscous liquid (say honey). A positive charge with $z > 0$ will be repelled by the other charges and move in the direction of their repulsive force, eventually crossing an imaginary hemisphere of radius $r$ . We show that, remarkably, if the the original charge distribution is let loose just above $z = 0$ , this law of motion will cause a uniform distribution for their hemisphere crossings in the $r \infty$ limit. + +![](images/54726ebf34e46087bef020e3ddcf1a0c1fce7fffed017e15273765115d92e791.jpg) +Figure 1: (a) 3D Poisson field trajectories for a heart-shaped distribution (b) The evolvements of a distribution (top) or an (augmented) sample (bottom) by the forward/backward ODEs pertained to the Poisson field. + +Our Poisson flow generative process reverses the forward process: we generate a uniform distribution of negative charges on the hemisphere, then track their motion back to the $z = 0$ plane, where they will be distributed as the data distribution. A Poisson flow can be viewed as a type of continuous normalizing flows [4, 10, 33] in the sense that it continuously maps between an arbitrary distribution and an easily sampled one: in the previous works an $N$ -dimensional Gaussian and in PFGM a uniform distribution on an $N$ -dimensional hemisphere. In practice, we implement the Poisson flow by solving a pair of forward/backward ordinary differential equations (ODEs) induced by the electric field (Fig. 1(b)) given by the $N$ -dimensional version of Coulomb’s law (the gradient of the solution to the Poisson’s equation with the data as sources). We will interchangeably refer to this gradient as the Poisson field, since electric fields normally refer to the special case $N = 3$ . + +The proposed generative model PFGM has a stable training objective and empirically outperforms previously state-of-the-art continuous flow methods [30, 33]. As a different iterative method, PFGM offers two advantages compared to score-based methods [32, 33]. First, the ODE process of PFGM achieves faster sampling speeds than the SDE samplers in [33]. while retaining comparable performance. Second, our backward ODE exhibits better generation performance than the reverse-time ODEs of VE/VP/sub-VP SDEs [33], as well as greater stability on a weaker architecture NSCNv2 [32]. The rationale for robustness is that the time variables in these ODE baselines are strongly correlated with the sample norms during training time, resulting in a less error-tolerant inference. In contrast, the tie between the anchored variable and the sample norm in PFGM is much weaker. + +Experimentally, we show that PFGM achieves current state-of-the-art performance on CIFAR-10 dataset in the normalizing flow family, with FID/Inception scores of $2 . { \bar { 4 } } 8 / 9 . 6 5$ (w/ $\mathrm { { D D P M + + } }$ [33]) and $2 . 3 5 / 9 . 6 8$ (w/ $\mathrm { { D D P M + + } }$ deep [33]). It performs competitively with current state-of-the-art SDE samplers [33] and provides $1 0 \times$ to $2 0 \times$ speed up across datasets. Notably, the backward ODE in PFGM is the only ODE-based sampler that can produce decent samples on its own on NCSNv2 [32], while other ODE baselines fail without corrections. In addition, PFGM demonstrates the robustness to the step size in the Euler method, with a varying number of function evaluations (NFE) ranging from 10 to 100. We further showcase the utility of the invertible forward/backward ODEs of the Poisson field on likelihood evaluation and image manipulations, and its scalability to higher resolution images on LSUN bedroom $2 5 6 \times 2 5 6$ dataset. + +# 2 Background and Related works + +Poisson equation Let $\mathbf { x } \in \mathbb { R } ^ { N }$ and $\rho ( \mathbf { x } ) : \mathbb { R } ^ { N } \mathbb { R }$ be a source function. We assume that the source function has a compact support, $\rho \in \mathcal { C } ^ { 0 }$ and $N \geq 3$ . The Poisson equation is + +$$ +\nabla ^ { 2 } \varphi ( \mathbf { x } ) = - \rho ( \mathbf { x } ) , +$$ + +where $\varphi ( \mathbf { x } ) : \mathbb { R } ^ { N } \mathbb { R }$ is called the potential function, and $\begin{array} { r } { \bigtriangledown ^ { 2 } \equiv \sum _ { i = 1 } ^ { N } \frac { \partial ^ { 2 } } { \partial x _ { i } ^ { 2 } } } \end{array}$ is the Laplacian operator. It is usually helpful to define the gradient field $\mathbf { E } ( \mathbf { x } ) = - \nabla \varphi ( \mathbf { x } )$ and rewrite the Poisson equation as $\nabla \cdot \mathbf { E } = \rho$ , known in physics as Gauss’s law [11]. The Poisson equation is widely used in physics, giving rise to Newton’s gravitational theory [9] and the electrostatic theory [11], when $\rho ( \mathbf { x } )$ is interpreted as mass density or electric charge density, respectively. $\mathbf { E }$ is the $N$ -dimensional analog of the electric field. The Poisson equation Eq. (1) (with zero boundary condition at infinity) admits a unique simple integral solution 2: + +$$ +\varphi ( \mathbf { x } ) = \int G ( \mathbf { x } , \mathbf { y } ) \rho ( \mathbf { y } ) d \mathbf { y } , \quad G ( \mathbf { x } , \mathbf { y } ) = \frac { 1 } { ( N - 2 ) S _ { N - 1 } ( 1 ) } \frac { 1 } { | | \mathbf { x } - \mathbf { y } | | ^ { N - 2 } } , +$$ + +where $S _ { N - 1 } ( 1 )$ is a geometric constant representing the surface area of the unit $( N - 1 )$ -sphere 3, and $G ( \mathbf { x } , \mathbf { y } )$ is the extension of Green’s function in $N$ -dimensional space (details in Appendix A.3). The negative gradient field of $\varphi ( \mathbf x )$ , referred as Poisson field of the source $\rho$ , is + +$$ +\mathbf { E } ( \mathbf { x } ) = - \nabla \varphi ( \mathbf { x } ) = - \int \nabla _ { \mathbf { x } } G ( \mathbf { x } , \mathbf { y } ) \rho ( \mathbf { y } ) d \mathbf { y } , \quad \nabla _ { \mathbf { x } } G ( \mathbf { x } , \mathbf { y } ) = - \frac { 1 } { S _ { N - 1 } ( 1 ) } \frac { \mathbf { x } - \mathbf { y } } { \left\| \mathbf { x } - \mathbf { y } \right\| ^ { N } } . +$$ + +Qualitatively, the Poisson field $\mathbf { E } ( \mathbf { x } )$ points away from sources, or equivalently $- \mathbf { E } ( \mathbf { x } )$ points towards sources, as illustrated in Fig. 1. It is straightforward to check that when $\rho ( { \bf x } ) \delta ( { \bf x - y } )$ , we get $\varphi ( \mathbf x ) G ( \mathbf x , \mathbf y )$ and $\mathbf { E } ( \mathbf { x } ) - \nabla _ { \mathbf { x } } G ( \mathbf { x } , \mathbf { y } )$ . This implies that $G ( \mathbf { x } , \mathbf { y } )$ and $- \nabla _ { \mathbf { x } } G ( \mathbf { x } , \mathbf { y } )$ can be interpreted as the potential function and the gradient field generated by a unit point source, e.g., a point charge, located at $\mathbf { y }$ . When $\rho ( \mathbf { x } )$ takes general forms but has bounded support, simple asymptotics exist for $\left\| \mathbf { x } \right\| \gg \left\| \mathbf { y } \right\|$ . To the lowest order, $\mathbf { E ( x ) } = \nabla _ { \mathbf { x } } G ( \mathbf { x } , \mathbf { y } ) | _ { \mathbf { y } = \mathbf { 0 } } \sim \mathbf { x } / \| \mathbf { x } \| ^ { N }$ behaves as if it were generated by a unit point source at $\mathbf y = 0$ . In physics, the power law decay is considered to be long-range (compared to exponential decay) [11]. + +Particle dynamics in a Poisson field The Poisson field immediately defines a flow model, where the probability distribution evolves according to the gradient flow $\partial p _ { t } ( \mathbf { x } ) / \partial t = - \nabla \cdot ( p _ { t } ( \mathbf { x } ) \mathbf { E } ( \mathbf { x } ) )$ . The gradient flow is a special case of the Fokker-Planck equation [28], where the diffusion coefficient is zero. Intuitively we can think of $p _ { t } ( \mathbf { x } )$ as represented by a population of particles. The corresponding (non-diffusion) case of the Ito process is the forward ODE ˆ $\begin{array} { r } { \frac { d \mathbf { x } } { d t } \ = \ \mathbf { E } ( \mathbf { x } ) } \end{array}$ . We can interpret the trajectories of the ODE as particles moving according to the Poisson field $\mathbf { E } ( x )$ , with initial states drawn from $p _ { 0 }$ . The physical picture of the forward ODE is a charged particle under the influence of electric fields in the overdamped limit (details in Appendix F). + +The dynamics is also rescalable in the sense that the particle trajectory remains the same for $\pm f ( \mathbf { x } ) \mathbf { E } ( \mathbf { x } )$ for $f ( \mathbf { x } ) > 0 , f ( \mathbf { x } ) \in \mathcal { C } ^ { 1 }$ , because the time rescaling $d t \to f ( \mathbf { x } ( t ) ) d t$ recovers $\begin{array} { r } { \frac { d \mathbf { x } } { d t } \ = } \end{array}$ $\begin{array} { r } { \frac { d { \mathbf { x } } } { d t } = } \end{array}$ $\pm \mathbf { E } ( \mathbf { x } )$ . Note that the dynamics is stiff due to the power law factor in the denominator in Eq. (3), posing computational challenges. Luckily the rescalablility allows us to rescale $\mathbf { E } ( \mathbf { x } )$ properly to get new ODEs (formally defined later in Section 3.3) that are more amenable for sampling. + +Generative Modeling via ODE Generative modeling can be done by transforming a base distribution to a data distribution via mappings defined by ODEs. The ODE-based samplers allow for adaptive sampling, exact likelihood evaluation and modeling of continuous-time dynamics [4, 33]. Previous works broadly fall into two lines. [4, 3] introduce a continuous-time normalizing flow model that can be trained with maximum likelihood by the instantaneous change-of-variables formula [4]. For sampling, they directly integrate the learned invertiable mapping over time. Another work [33] unifies the scored-based model [31, 32] and diffusion model [16] into a general diffusion process, and uses the reverse-time ODE of the diffusion process for sampling. They show that the reverse-time ODE produces high quality samples with improved architecture. + +# 3 Poisson Flow Generative Models + +In this section, we start with the properties of the Poisson flow in the augmented space and show how to draw samples from the data distribution by following the backward ODE of the Poisson flow (Section 3.1). We then discuss how to actually learn a normalized Poisson field from data samples through simulations of the forward ODE (Section 3.2) and present an equivalent backward ODE that allows for exponentially decay on $z$ (Section 3.3). + +![](images/e2f896cb7811162de5ce22a937be497e9cd000c7801fea03b15b727a4f369139.jpg) +Figure 2: (a) Poisson field (black arrows) and particle trajectories (blue lines) of a 2D uniform disk (red). Left (no augmentation, 2D): all particles collapse to the disk center. Right (augmentation, 3D): particles hit different points on the disk. (b) Proof idea of Theorem 1. By Gauss’s Law, the outflow flux $d \Phi _ { o u t }$ equals the inflow flux $d \Phi _ { i n }$ . The factor of two in $p ( \mathbf { x } ) d A / 2$ is due to the symmetry of Poisson fields in $z < 0$ and $z > 0$ . + +# 3.1 Augment the data with additional dimension + +We wish to generate samples $\mathbf { x } \in \mathbb { R } ^ { N }$ from a distribution $p ( \mathbf { x } )$ supported on a bounded region. We may set the source $\rho ( \mathbf { x } ) = p ( \mathbf { x } ) \in \mathcal { C } ^ { 0 \ }$ 4 and compute the resulting gradient field $\mathbf { E } ( \mathbf { x } )$ from Eq. (3). Since $- \mathbf { E } ( \mathbf { x } )$ points towards sources, the backward ODE ${ d { \bf x } } / { d t } = - { \bf E } ( { \bf x } )$ will take samples close to the sources. One may naively hope that the backward ODE is a generative model that recovers $p ( \mathbf { x } )$ . Unfortunately, the backward ODE has the problem of mode collapse. We illustrate this phenomenon with a 2D uniform disk. The reverse Poisson field $- \mathbf { E } ( \mathbf { x } )$ on the 2D $( x , y )$ -plane points towards the center of the disk $O$ (Fig. 2(a) left), so all particle trajectories (blue lines) will eventually hit $O$ . If we instead add an additional dimension $z$ (Fig. 2(a) right), particles can hit different points on the disk and faithfully recover the data distribution. + +Consequently, instead of solving the Poisson equation $\nabla ^ { 2 } \varphi ( \mathbf { x } ) = - p ( \mathbf { x } )$ in the original data space, we solve the Poisson equation in an augmented space $\tilde { \mathbf { x } } = ( \mathbf { x } , z ) \in \mathbb { R } ^ { N + 1 }$ with an additional variable $z \in \mathbb { R }$ . We augment the training data $\tilde { \mathbf { x } }$ in the new space by setting $z = 0$ such that $\tilde { \mathbf { x } } = ( \mathbf { x } , 0 )$ . As a consequence, the data distribution in the augmented space is $\tilde { p } ( \tilde { \mathbf { x } } ) = p ( \mathbf { x } ) \delta ( z )$ , where $\delta$ is the Dirac delta function. By Eq. (3), the Poisson field by solving the new Poisson equation $\nabla ^ { 2 } \varphi ( \tilde { \mathbf { x } } ) = - \tilde { p } ( \tilde { \mathbf { x } } )$ has an analytical form: + +$$ +\forall \tilde { { \mathbf { x } } } \in \mathbb { R } ^ { N + 1 } , \mathbf { E } ( \tilde { { \mathbf { x } } } ) = - \nabla \varphi ( \tilde { { \mathbf { x } } } ) = \frac { 1 } { S _ { N } ( 1 ) } \int \frac { \tilde { { \mathbf { x } } } - \tilde { { \mathbf { y } } } } { \left\| \tilde { { \mathbf { x } } } - \tilde { { \mathbf { y } } } \right\| ^ { N + 1 } } \tilde { p } ( \tilde { { \mathbf { y } } } ) d \tilde { { \mathbf { y } } } +$$ + +The associated forward/backward ODEs of the Poisson field are $d \tilde { \mathbf { x } } / d t = \mathbf { E } ( \tilde { \mathbf { x } } ) , d \tilde { \mathbf { x } } / d t = - \mathbf { E } ( \tilde { \mathbf { x } } )$ . Intuitively, theses ODEs uniquely define trajectories of particles between the $z = 0$ hyperplane and an enclosing hemisphere (cf. Fig. 1(a)). In the following theorem, we show that the backward ODE defines a transformation between the uniform distribution on an infinite hemisphere and the data distribution $\tilde { p } ( \tilde { { \mathbf x } } )$ in the $z = 0$ plane. We present the formal proof to Appendix A, illustrated by Fig. 2(b). The proof is based on the idea that when the radius of hemisphere $r \infty$ , the data distribution $\tilde { p } ( \tilde { \mathbf { x } } )$ can be effectively viewed as a delta distribution at origin. Consequently, the Poisson field points in the radial direction at $r \infty$ , perpendicular to $S _ { N } ^ { + } ( r )$ (Green arrows in Fig. 2(b)). + +Theorem 1. Suppose particles are sampled from a uniform distribution on the upper $( z > 0 ,$ half of the sphere of radius r and evolved by the backward ODE $\begin{array} { r } { \frac { d \tilde { \mathbf { x } } } { d t } = - \mathbf { E } \big ( \tilde { \mathbf { x } } \big ) } \end{array}$ until they reach the $z = 0$ hyperplane, where the Poisson field $\mathbf { E } ( \tilde { \mathbf { x } } )$ is generated by the source $\tilde { p } ( \tilde { { \mathbf x } } )$ . In the $r \infty$ limit, under some mild conditions detailed in Appendix $\cdot$ , this process generates a particle distribution $\tilde { p } ( \tilde { { \mathbf x } } )$ , i.e., a distribution $p ( \mathbf { x } )$ in the $z = 0$ hyperplane. + +Proof sketch. Suppose the flux of the backward ODE connects a solid angle $d \Omega$ (on $S _ { N } ^ { + } ( r ) )$ with an area $d A$ (on $\operatorname { s u p p } ( \tilde { p } ( \tilde { \mathbf { x } } ) )$ . According to Gauss’s law, the outflow flux $d \Phi _ { o u t } = d \Omega / S _ { N } \bar { ( 1 ) }$ on the hemisphere (Green arrows in Fig. 2(b)) equals the inflow flux $d \Phi _ { i n } = p ( { \bf x } ) d A / 2$ on $\operatorname { s u p p } ( \tilde { p } ( \tilde { \mathbf { x } } ) )$ (Red arrows in Fig. 2(b)). $d \Phi _ { i n } = d \Phi _ { o u t }$ gives $d \Omega / d A = p ( \mathbf { x } ) S _ { N } ( 1 ) / 2 \propto \tilde { p } ( \mathbf { \tilde { x } } )$ . Together, by change-ofvariable, we conclude that the final distribution in the $z = 0$ hyperplane is $p ( \mathbf { x } )$ . □ + +The theorem states that starting from an infinite hemisphere, one can recover the data distribution $\tilde { p }$ by following the inverse Poisson field $- \mathbf { E } ( \tilde { \mathbf { x } } )$ . We defer the formal proof and technical assumptions of the theorem to Appendix A. The property allows generative modeling by following the Poisson flow of $\nabla ^ { 2 } \varphi ( \tilde { \mathbf { x } } ) = - \tilde { p } ( \tilde { \mathbf { x } } )$ . + +# 3.2 Learning the normalized Poisson Field + +Given a set of training data $\mathcal { D } = \{ \mathbf { x } _ { i } \} _ { i = 1 } ^ { n }$ i.i.d sampled from the data distribution $p ( \mathbf { x } )$ , we define the =empirical version of the Poisson field (Eq. (4)) as follows: + +$$ +\hat { \bf E } ( \tilde { \bf x } ) = c ( \tilde { \bf x } ) \sum _ { i = 1 } ^ { n } \frac { \tilde { \bf x } - \tilde { \bf x } _ { i } } { \| \tilde { \bf x } - \tilde { \bf x } _ { i } \| ^ { N + 1 } } +$$ + +where the gradient field is calculated on $n$ augmented datapoints $\{ \tilde { \mathbf { x } } _ { i } = ( \mathbf { x } _ { i } , 0 ) \} _ { i = 1 } ^ { n }$ , and $c ( \tilde { \mathbf { x } } ) =$ $\textstyle 1 / \sum _ { i = 1 } ^ { n } { \frac { 1 } { \left\| \tilde { \mathbf { x } } - \tilde { \mathbf { x } } _ { i } \right\| ^ { N + 1 } } }$ is the multiplier for numerical stability. We further normalize the field to resolve the variations in the magnitude of the norm $\Vert \hat { \textbf { E } } ( \tilde { \textbf { x } } ) \ \Vert _ { 2 }$ , and fit the neural network to the more amenable negative normalized field $\mathbf { v } ( \tilde { \mathbf { x } } ) = - \sqrt { N } \hat { \mathbf { E } } ( \tilde { \mathbf { x } } ) / \| \hat { \mathbf { E } } ( \tilde { \mathbf { x } } ) \| _ { 2 }$ . The Poisson field is rescalable (cf. Section 2) and thus trajectories of its forward/backward ODEs are invariant under normalization. We denote the empirical field calculated on batch data $\boldsymbol { B }$ by $\hat { \mathbf { E } } _ { B }$ and the negative normalized field as $\mathbf { v } _ { B } ( \tilde { \mathbf { x } } ) = - \sqrt { N } \hat { \mathbf { E } } _ { B } ( \tilde { \mathbf { x } } ) / \| \hat { \mathbf { E } } _ { B } ( \tilde { \mathbf { x } } ) \| _ { 2 }$ . + +Similar to the scored-based models, we sample points inside the hemisphere by perturbing the augmented training data. Given a training point $\textbf { x } \in \mathcal { D }$ , we add noise to its augmented version $\{ \tilde { \mathbf { x } } _ { i } ^ { - } = ( \mathbf { x } _ { i } , 0 ) \} _ { i = 1 } ^ { n }$ to construct the perturbed point $( \mathbf { y } , z )$ : + +$$ +\mathbf { y } = \mathbf { x } + \parallel \epsilon _ { \mathbf { x } } \parallel ( 1 + \tau ) ^ { m } \mathbf { u } , \quad z = | \epsilon _ { z } | ( 1 + \tau ) ^ { m } +$$ + +where ${ \epsilon } = \left( { \epsilon } _ { \mathbf { x } } , { \epsilon } _ { z } \right) \sim \mathcal { N } ( 0 , \sigma ^ { 2 } I _ { N + 1 \times N + 1 } )$ , $\mathbf { u } \sim \mathcal { U } ( S _ { N - 1 } ( 1 ) )$ and $m \sim \mathcal { U } [ 0 , M ]$ . The upper limit $M$ , standard deviation $\sigma$ and $\tau$ are hyper-parameters. With fixed $\epsilon$ and $\mathbf { u }$ , the added noise increases exponentially with $m$ . The rationale behind the design is that points farther away from the data support play a less important role in generative modeling, sharing a similar spirit with the choice of noisy scales in score-based models [32, 33]. + +In practice, we sample the p ts urbing a mini-batch data $B = \{ \mathbf { x } _ { i } \} _ { i = 1 } ^ { | B | }$ each iteration. We $m$ $[ 0 , M ]$ =for each datapoint. We select a large $M$ 300) to ensure the perturbed points can reach a large enough hemisphere. We use a larger batch $\boldsymbol { B } _ { L }$ for the estimation of normalized field since the empirical normalized field is biased, which empirically gives better results. Denoting the set of perturbed points as $\{ \tilde { \mathbf { y } } _ { i } \} _ { i = 1 } ^ { | B | }$ , we train the neural network $f _ { \theta }$ =on these points to estimate the negative normalized field by minimizing the following loss: + +$$ +\mathcal { L } ( \boldsymbol { \theta } ) = \frac { 1 } { | \mathcal { B } | } \sum _ { i = 1 } ^ { | \mathcal { B } | } \parallel f _ { \boldsymbol { \theta } } \big ( \tilde { \mathbf { y } } _ { i } \big ) - \mathbf { v } _ { \mathcal { B } _ { L } } \big ( \tilde { \mathbf { y } } _ { i } \big ) \parallel _ { 2 } ^ { 2 } +$$ + +We summarize the training process in Algorithm 1. In practice, we add a small constant $\gamma$ to the denominator of the normalized field to overcome the numerical issue when $\exists i , \left\| \tilde { \mathbf { x } } - \tilde { \mathbf { x } } _ { i } \right\| \approx 0$ . + +# 3.3 Backward ODE anchored by the additional dimension + +After estimating the normalized field $\mathbf { v }$ , we can sample from the data distribution by the backward ODE $d { \tilde { \mathbf { x } } } = \mathbf { v } ( { \tilde { \mathbf { x } } } ) d t$ . Nevertheless, the boundary condition of the above ODE is unclear: the starting and terminal time $t$ of the ODE are both unknown. To remedy the issue, we propose an equivalent backward ODE in which $\mathbf { x }$ evolves with the augmented variable $z$ : + +$$ +d ( \mathbf { x } , z ) = ( \frac { d \mathbf { x } } { d t } \frac { d t } { d z } d z , d z ) = ( \mathbf { v } ( \tilde { \mathbf { x } } ) _ { \mathbf { x } } \mathbf { v } ( \tilde { \mathbf { x } } ) _ { z } ^ { - 1 } , 1 ) d z +$$ + +Algorithm 1 Learning the normalized Poisson Field + +
Input: Training iteration T,Initial model fe,dataset D,constant y,learning rate n. fort=1...Tdo
from BL |B|
Simulate the ODE: {yi = perturb(xi) Ji=1 Calculate the normalized field by BL: VB (yi)=-√NEB,(yi)/(ll EB (yi) Il2 +γ), ∀i
|l f(yi)-vBL(yi)l² i1
Update the model parameter: 0 = 0 - nVL(0)
end for
return fe
+ +# Algorithm 2 perturb $\cdot$ + +
Sample the power m ~U[0,M] Sample the initial noise (∈x,∈z)~N(O,σ²I(N+1)x(N+1))
Uniformly sample the vector from the unit ball u ~U(SN(1))
Construct training point y = x+ | x I (1 + 𝑇)mu, z = |∈zl(1 + T)m
return y = (y, z)
+ +where $\mathbf { v } ( \tilde { \mathbf { x } } ) _ { \mathbf { x } } , \mathbf { v } ( \tilde { \mathbf { x } } ) _ { z }$ are the corresponding components of $\mathbf x , z$ in vector $\mathbf { v } ( \tilde { \mathbf { x } } )$ . In the new ODE, we replace the time variable $t$ with the physically meaningful variable $z$ , permitting explicit starting and terminal conditions: when $z = 0$ , we arrive at the data distribution and we can freely choose a large $z _ { \mathrm { m a x } }$ as the starting point in the backward ODE. The backward ODE is compatible with general-purpose ODE solvers, e.g., RK45 method [23] and forward Euler method. The popular black-box ODE solvers, such as the one in Scipy library [37], typically use a common starting time for the same batch of samples. Since the distribution on the $z = z _ { \mathrm { m a x } }$ hyperplane is no longer uniform, we derive the prior distribution by radially projecting uniform distribution on the hemisphere with radius $r = z _ { \mathrm { m a x } }$ to the $z = z _ { \mathrm { m a x } }$ hyperplane: + +$$ +p _ { \mathrm { p r i o r } } ( \mathbf { x } ) = { \frac { 2 z _ { \mathrm { m a x } } ^ { N + 1 } } { S _ { N } { \big ( } z _ { \mathrm { m a x } } { \big ) } { \big ( } \| \mathbf { x } \| _ { 2 } ^ { 2 } + z _ { \mathrm { m a x } } ^ { 2 } { \big ) } ^ { \frac { N + 1 } { 2 } } } } = { \frac { 2 z _ { \mathrm { m a x } } } { S _ { N } { \big ( } 1 { \big ) } { \big ( } \| \mathbf { x } \| _ { 2 } ^ { 2 } + z _ { \mathrm { m a x } } ^ { 2 } { \big ) } ^ { \frac { N + 1 } { 2 } } } } +$$ + +where $S _ { N } ( r )$ is the surface area of $N$ -sphere with radius $r$ . The reason behind the radial projection is that the Poisson field points in the radial direction at $r \infty$ . The new backward ODE also defines a bijective transformation between $p _ { \mathrm { p r i o r } } ( \mathbf { x } )$ on the infinite hyperplane $z _ { \mathrm { m a x } } \infty$ ) and the data distribution the norm (r $\tilde { p } ( \tilde { { \mathbf x } } )$ , analogous to Theorem ) from the distribution: $p _ { \mathrm { p r i o r } } ( \mathbf { x } )$ to sampleand then $p _ { \mathrm { r a d i u s } } ( \| \textbf { x } \| _ { 2 } ) \propto \| \textbf { x } \| _ { 2 } ^ { N - 1 } / ( \| \textbf { x } \| _ { 2 } ^ { 2 } + z _ { \operatorname* { m a x } } ^ { 2 } ) ^ { \frac { N + 1 } { 2 } }$ uniformly sample its angle. We provide detailed derivations and practical sampling procedure in Appendix A.4. We further achieve exponential decay on the $z$ dimension by introducing a new variable $t ^ { \prime }$ : + +$$ +\begin{array} { r l } { [ \mathrm { B a c k w a r d ~ O D E } ] } & { { } d ( \mathbf { x } , z ) = ( \mathbf { v } ( \tilde { \mathbf { x } } ) _ { \mathbf { x } } \mathbf { v } ( \tilde { \mathbf { x } } ) _ { z } ^ { - 1 } z , z ) d t ^ { \prime } } \end{array} +$$ + +The $z$ component in the backward ODE, i.e., $d z = z d t ^ { \prime }$ , can be solved by $z = e ^ { t ^ { \prime } }$ . Since $z$ reaches zero as $t ^ { \prime } \to - \infty$ , we instead choose a tiny positive number $z _ { \mathrm { m i n } }$ as the terminal condition. The corresponding starting/terminal time of the variable $t ^ { \prime }$ are $\log z _ { \operatorname* { m a x } } / \log z _ { \operatorname* { m i n } }$ respectively. Empirically, this simple change of variable leads to $2 \times$ faster sampling with almost no harm to the sample quality. In addition, we substitue the predicted $\mathbf { v } ( \tilde { \mathbf { x } } ) _ { z }$ with a more accurate one when $z$ is small (Appendix B.2.3). We defer more details of the simulation of backward ODE to Appendix B.2. + +# 4 Generative Modeling via the Backward ODE + +In this section, we demonstrate the effectiveness of the backward ODE associated with PFGM on image generation tasks. In Section 4.1, we show that PFGM achieves currently best in class performance in the normalizing flow family. In comparison to the existing state-of-the-art SDE or MCMC approaches, PFGM exhibits $1 0 \times$ or $2 0 \times$ acceleration while maintaining competitive or higher generation quality. Meanwhile, unlike existing ODE baselines that heavily rely on corrector to generate decent samples on weaker architectures, PFGM exhibits greater stability against error (Section 4.2). Finally, we show that PFGM is robust to the step size in the Euler method (Section 4.3), and its associated ODE allows for likelihood evaluation and image manipulation by editing the latent space (Section 4.4). + +Table 1: CIFAR-10 sample quality (FID, Inception) and number of function evaluation (NFE). + +
Invertible?Inception ↑FID↓NFE↓
PixelCNN[36]4.6065.91024
IGEBM[8]6.0240.660
ViTGAN [24]9.306.661
StyleGAN2-ADA [17]9.832.921
StyleGAN2-ADA (cond.) [17]xxxxxxxxxx10.142.421
NCSN[31]8.8725.321001
NCSNv2 [32]8.4010.871161
DDPM[16]9.463.171000
NCSN++ VE-SDE[33]9.832.382000
NCSN++ deep VE-SDE [33]9.892.202000
Glow [19]3.9248.91
DDIM,T=50 [30]-4.6750
DDIM, T=100 [30]14.16100
NCSN++ VE-ODE [33]9.345.29194
NCSN++ deep VE-ODE[33]9.177.66194
DDPM++backbone
VP-SDE[33]9.582.551000
sub-VP-SDE[33]xx-9.562.611000
VP-ODE [33]9.462.97134
sub-VP-ODE [33]9.303.16146
PFGM (ours)9.652.48104
DDPM++ deep backbone
VP-SDE [33]9.682.411000
sub-VP-SDE[33]xx-9.572.411000
VP-ODE [33]9.472.86134
sub-VP-ODE [33]9.403.05146
PFGM (ours)9.682.35110
+ +# 4.1 Efficient image generation by PFGM + +Setup For image generation tasks, we consider the CIFAR-10 [22], CelebA $6 4 \times 6 4$ [38] and LSUN bedroom $2 5 6 \times 2 5 6$ [39]. Following [32], we first center-crop the CelebA images and then resize them to $6 4 \times 6 4$ . We choose $M \ : = \ : 2 9 1$ CIFAR-10 and CelebA 356 LSUN bedroom , $\sigma ~ = ~ 0 . 0 1$ and $\tau { \it \Delta \phi } = 0 . 0 3$ for the perturbation Algorithm 2, and $z _ { \mathrm { m i n } } ~ = ~ 1 e \mathrm { ~ - ~ } 3$ , $\begin{array} { r l } { z _ { \operatorname* { m a x } } } & { { } = } \end{array}$ 40 CIFAR-10 60 CelebA $6 4 ^ { 2 }$ 100 LSUN bedroom for the backward ODE. We further clip the norms of initial samples into $( 0 , 3 0 0 0 )$ for CIFAR-10, $( 0 , 6 0 0 0 )$ for CelebA $6 4 ^ { 2 }$ and $( 0 , 3 0 0 0 0 )$ for LSUN bedroom. We adopt the $\mathrm { { D D P M + + } }$ and $\mathrm { { D D P M + + } }$ deep architectures [33] as our backbones. We add the scalar $z$ (resp. predicted direction on $z$ ) as input (resp. output) to accommodate the additional dimension. We take the same set of hyper-parameters, such as batch size, learning rate and training iterations from [33]. We provide more training details in Appendix B.1, and discuss how to set these hyper-parameters for general datasets in B.1.1 and B.2.1. + +Baselines We compare PFGM to modern autoregressive model [36], GAN [17, 24], normalizing flow [19] and EBM [8]. We also compare with variants of score-based models such as DDIM [30] and current state-of-the-art SDE/ODE methods [33]. We denote the methods that use forward-time SDEs in [33] such as Variance Exploding (VE) SDE/Variance Preserving (VP) SDE/ sub-Variance Preserving (sub-VP), and the corresponding backward SDE/ODE, as A-B, where $\mathbf { A } \in \{ \mathrm { V E }$ , VP, sub- $\mathrm { V P } \}$ and $\mathbf { B } \in \{ \mathrm { S D E } , \mathrm { O D E } \}$ . We follow the model selection protocol in [33], which selects the checkpoint with the smallest FID score over the course of training every 50k iterations. + +![](images/765d37140b6f169aca43c335a32e1ca5fc5bf14d8e90ab0f9dcca04e90401859.jpg) +Figure 3: Uncurated samples on datasets of increasing resolution. From left to right: CIFAR-10 $3 2 \times 3 2$ , CelebA $6 4 \times 6 4$ and LSUN bedroom $2 5 6 \times 2 5 6$ . + +Numerical Solvers The backward ODE (Eq. (6)) is compatible with any general purpose ODE solver. In our experiments, the default solver of ODEs is the black box solver in the Scipy library [37] with the RK45 [7] method (RK45), unless otherwise specified. For VE/VP/subVP-SDEs, we use the predictor-corrector (PC) sampler introduced in [33]. For VP/sub-VP-SDEs, we apply the predictor-only sampler, because its performance is on par with the PC sampler while requiring half computation. + +Results For quantitative evaluation on CIFAR-10, we report the Inception [29] (higher is better) and FID [13] scores (lower is better) in Table 1. We also include our preliminary experimental results on a weaker architecture NCSNv2 [32] in Appendix D.2. We measure the inference speed by the average NFE (number of function evaluation). We also explicitly indicate which methods belong to the invertible flow family. + +Our main findings are: (1) PFGM achieves the best Inception scores and FID scores among the normalizing flow models. Specifically, PFGM obtains an Inception score of 9.68 and a FID score of 2.48 using the $\mathrm { D D P M + + }$ deep architecture. To our best knowledge, these are the highest FID and Inception scores by flow models on CIFAR-10. (2) PFGM achieves a $1 0 \times \sim 2 0 \times$ faster inference speed than the SDE methods using the similar architectures, while retaining comparable sample quality. As shown in Table 1, PFGM requires NFEs of 110 whereas the SDE methods typically use $1 0 0 0 \sim 2 0 0 0$ inference steps. PFGM outperforms all the baselines on $\mathrm { { D D P M + + } }$ in all metrics. In addition, PFGM generally samples faster than other ODE baselines with the same RK45 solver. (3) The backward ODE in PFGM is compatible with architectures with varying capacities. PFGM consistently outperforms other ODE baselines on $\mathrm { D D P M + + }$ (Table 1) or NCSNv2 (Appendix D.2) backbones. (4) PFGM shows scalability to higher resolution datasets. In Appendix D.1, we show that PFGM are capable of scale-up to LSUN bedroom $2 5 6 \times 2 5 6$ . In particular, PFGM has comparable performance with VE-SDE with $1 5 \times$ fewer NFE. + +In Fig. 3, we visualize the uncurated samples from PFGM on CIFAR-10, CelebA $6 4 \times 6 4$ and LSUN bedroom $2 5 6 \times 2 5 6$ . We provides more samples in Appendix E. + +# 4.2 Failure of VE/VP-ODEs on NCSNv2 architecture + +In our preliminary experiments on NCSNv2 architectures, we empirically observe that the VE/VP-ODEs have FID scores greater than 90 on CIFAR-10. In particular, VE/VP-ODEs can only generate decent samples when applying the Langevin dynamics corrector, and even then, their performances are still inferior to PFGM (Table 9, Table 10). The poor performance on NCSNv2 stands in striking contrast to their high sample quality on $\mathrm { N C S N + + / D D P M + + }$ in [33]. It indicates that the VE/VP-ODEs are + +![](images/b8860bcda32dab2d49f72ab93a489b264c43c232817b6c997c0142ac14f89d96.jpg) +Figure 4: Sample norm distributions with varying time variables $\sigma$ for VE-ODE and $z$ for PFGM) + +![](images/8f1d6bfd2fc3172f6a771fae4fc3892a6d968815e5d64788e0ff673cb1dd4cc0.jpg) +Figure 5: (a) Norm- $\cdot \sigma ( t )$ relation during the backward sampling of VE-ODE (Euler). (b) Norm- $z ( t ^ { \prime } )$ relation during the backward sampling of PFGM (Euler). The shaded areas mean the standard deviation of norms. (c) Number of steps versus FID score. + +more susceptible to estimation errors than PFGM. We hypothesize that the strong norm- $\sigma$ correla tion seen during the training of score-based models causes the problem. + +For score-based models, the $l _ { 2 }$ norms of perturbed training samples and the standard deviations $\sigma ( t )$ of Gaussian noises have strong correlation, e. $g . , l _ { 2 } \ \mathrm { n o r m } \approx \sigma ( t ) \sqrt { N }$ for large $\sigma ( t )$ in VE [33]. In contrast, as shown in Fig. 4, PFGM allocates high mass across a wide spectrum of the training sample norms. During sampling, VE/VP-ODEs could break down when the trajectories of backward ODEs deviate from the norm- $\cdot \sigma ( t )$ relation to which most training samples pertain. The weaker NCSNv2 backbone incurs larger errors and thus leads to their failure. The PFGM is more resistant to estimate errors because of the greater range of training sample norms. + +To further verify the hypothesis above, we split a batch of VE-ODE samples into cleaner and noisier samples according to visual quality (Fig. 8(a)). In Fig. 5(a), we investigate the relation for cleaner and noisier samples during the forward Euler simulation of VE-ODE when $\sigma ( t ) < 1 5$ . We can see that the trajectory of cleaner samples stays close to the norm- $\sigma ( t )$ relation (the red dash line), whereas that of the noisier samples diverges from the relation. The Langevin dynamics corrector changes the trajectory of noisier samples to align with the relation. Fig. 5(b) further shows that the anchored variable $z ( t ^ { \prime } )$ and the norms in the backward ODE of PFGM are not strongly correlated, giving rise to the robustness against the imprecise estimation on NCSNv2. We defer more details to Appendix C. + +# 4.3 Effects of step size in the forward Euler method + +In order to accelerate the inference speed of ODEs, we can increase the step size (decrease the NFEs) in numerical solvers such as the forward Euler method. It also enables the trade-off between sample quality and computational efficiency in real-world deployment. We study the effects of increasing step size on PFGM, VP-ODE and DDIM [30] using the forward Euler method, with a varying NFE ranging from 10 to 100. + +In Fig. 5(c), we report the sample quality measured by FID scores on CIFAR-10. As expected, all the methods have higher FID scores when decreasing the NFE. We observe that the sample quality of PFGM degrades gracefully as we decrease the NFE. Our method shows significantly better robustness to step sizes than the VP-ODE, especially when only taking a few Euler steps. In addition, PFGM obtains better FID scores than DDIM on most NFEs except for 10 where PFGM is marginally worse. This suggests that the PFGM is a promising method for accommodating instantaneous resource availability, as high-quality samples can be generated in limited steps. + +# 4.4 Utilities of ODE: likelihood evaluation and latent representation + +Similar to the family of discrete normalizing flows [6, 19, 14] and continuous probability flow [33], the forward ODE in PFGM defines an invertible mapping between the data space and latent space with a known prior. Formally, we define the invertible forward $\mathcal { M }$ mapping by integrating the corresponding forward ODE $\begin{array} { r } { \dot { d } ( \mathbf { x } , z ) = ( \mathbf { v } ( \tilde { \mathbf { x } } ) _ { \mathbf { x } } \mathbf { v } ( \tilde { \mathbf { x } } ) _ { z } ^ { - 1 } z , z ) d t ^ { \prime } } \end{array}$ of Eq. (6): + +$$ +\mathbf { x } ( \log z _ { \operatorname* { m a x } } ) = \mathcal { M } ( \mathbf { x } ( \log z _ { \operatorname* { m i n } } ) ) \equiv \mathbf { x } ( \log z _ { \operatorname* { m i n } } ) + \int _ { \log z _ { \operatorname* { m i n } } } ^ { \log z _ { \operatorname* { m a x } } } \mathbf { v } ( \mathbf { x } ( t ^ { \prime } ) ) _ { \mathbf { x } } \mathbf { v } ( \tilde { \mathbf { x } } ( t ^ { \prime } ) ) _ { z } ^ { - 1 } e ^ { t ^ { \prime } } d t ^ { \prime } +$$ + +where $\log z _ { \mathrm { m i n } } / \log z _ { \mathrm { m a x } }$ are the starting/terminal time in the forward ODE. The forward mapping transfers the data distribution to the prior distribution $p _ { \mathrm { p r i o r } }$ on the $z = z _ { \mathrm { m a x } }$ hyperplane (cf. Section 3.3): $p _ { \mathrm { p r i o r } } \big ( \mathbf { x } \big ( \log z _ { \mathrm { m a x } } \big ) \big ) = \mathcal { M } \big ( p ( \mathbf { x } ( \log \bar { z } _ { \mathrm { m i n } } ) ) \big )$ . The invertibility enables likelihood evaluation and creates a meaningful latent space on the $z = z _ { \mathrm { m a x } }$ hyperplane. In addition, we can adapt to the computational constraints by adjusting the step size or the precision in numerical ODE solvers. + +Likelihood evaluation We evaluate the data likelihood by the instantaneous change-of-variable formula [4, 33]. In Table 2, we report the bits/dim on the uniformly dequantized CIFAR-10 test set and compare with existing baselines that use the same setup. We observe that PFGM achieves better likelihoods than discrete normalizing flow models, even without maximum likelihood training. Among the continuous flow models, sub-VP-ODE shows the lowest bits/dim, although its sample quality is worse than VP-ODE and PFGM (Table 1). The exploration of the seeming trade-off between likelihood and sample quality is left for future works. + +Table 2: Bits/dim on CIFAR-10 + +
bits/dim ↓
RealNVP [6]3.49
Glow [19] Residual Flow [3]3.35 3.28
Flow++ [14]3.29
DDPM(L)[16]≤3.70*
DDPM++backbone
VP-ODE [33]3.20
sub-VP-ODE[33]3.02
PFGM (ours)3.19
+ +Latent representation Since the samples are uniquely identifiable by their latents via the invertible mapping $\mathcal { M }$ , PFGM further supports image manipulation using its latent representation on the $z =$ $z _ { \mathrm { m a x } }$ hyperplane. We include the results of image interpolation and the temperature scaling [6, 19, 33] to Appendix D.4 and Appendix D.5. For interpolation, it shows that we can travel along the latent space to obtain perceptually consistent interpolations between CelebA images. + +# 5 Conclusion + +We present a new deep generative model by solving the Poisson equation whose source term is the data distribution. We estimate the normalized gradient field of the solution in an augmented space with an additional dimension. For sampling, we devise a backward ODE that exponential decays on the physically meaningful additional dimension. Empirically, our approach has currently best performance over other normalizing flow baselines, and achieving $1 0 \times$ to $2 0 \times$ acceleration over the stochastic methods. Our backward ODE shows greater stability against errors than popular ODE-based methods, and enables efficient adaptive sampling. We further demonstrate the utilities of the forward ODE on likelihood evaluation and image interpolation. Future directions include improving the normalization of Poisson fields. More principled approaches can be used to get around the divergent near-field behavior. For example, we may exploit renormalization, a useful tool in physics, to make the Poisson field well-behaved in near fields. + +# Acknowledgements + +We are grateful to Shangyuan Tong, Timur Garipov and Yang Song for helpful discussion. We would like to thank Octavian Ganea and Wengong Jin for reviewing an early draft of this paper. YX and TJ acknowledge support from MIT-DSTA Singapore collaboration, from NSF Expeditions grant (award 1918839) ”Understanding the World Through Code”, and from MIT-IBM Grand Challenge project. ZL and MT would like to thank the Center for Brains, Minds, and Machines (CBMM) for hospitality. ZL and MT are supported by The Casey and Family Foundation, the Foundational Questions Institute, the Rothberg Family Fund for Cognitive Science and IAIFI through NSF grant PHY-2019786. + +References +[1] Andrew Brock, Jeff Donahue, and Karen Simonyan. Large scale gan training for high fidelity natural image synthesis. ArXiv, abs/1809.11096, 2019. +[2] Tom B. Brown, Benjamin Mann, Nick Ryder, Melanie Subbiah, Jared Kaplan, Prafulla Dhariwal, Arvind Neelakantan, Pranav Shyam, Girish Sastry, Amanda Askell, Sandhini Agarwal, Ariel Herbert-Voss, Gretchen Krueger, T. J. Henighan, Rewon Child, Aditya Ramesh, Daniel M. 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From facial parts responses to face detection: A deep learning approach. 2015 IEEE International Conference on Computer Vision (ICCV), pages 3676–3684, 2015. +[39] Fisher Yu, Yinda Zhang, Shuran Song, Ari Seff, and Jianxiong Xiao. Lsun: Construction of a large-scale image dataset using deep learning with humans in the loop. ArXiv, abs/1506.03365, 2015. + +# Checklist + +1. For all authors... + +(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s contributions and scope? [Yes] +(b) Did you describe the limitations of your work? [Yes] See Appendix G. +(c) Did you discuss any potential negative societal impacts of your work? [Yes] See Appendix H. +(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] + +2. If you are including theoretical results... + +(a) Did you state the full set of assumptions of all theoretical results? [Yes] See Appendix A. (b) Did you include complete proofs of all theoretical results? [Yes] See Appendix A. + +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)? [Yes] See the abstract. +(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] See Appendix B.1. +(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [N/A] +(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)? [Yes] All the experiments are run on a single NVIDIA A100 GPU. + +4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... + +(a) If your work uses existing assets, did you cite the creators? [Yes] +(b) Did you mention the license of the assets? [N/A] The assets are public/open-source datasets and codes. +(c) Did you include any new assets either in the supplemental material or as a URL? [N/A] +(d) Did you discuss whether and how consent was obtained from people whose data you’re using/curating? [N/A] +(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [N/A] + +5. If you used crowdsourcing or conducted research with human subjects... + +(a) Did you include the full text of instructions given to participants and screenshots, if applicable? [N/A] +(b) Did you describe any potential participant risks, with links to Institutional Review Board (IRB) approvals, if applicable? [N/A] +(c) Did you include the estimated hourly wage paid to participants and the total amount spent on participant compensation? [N/A] \ No newline at end of file diff --git a/parse/dev/voV_TRqcWh/voV_TRqcWh_content_list.json b/parse/dev/voV_TRqcWh/voV_TRqcWh_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..c9ac8442f64b97ad97d6a30ce7ffa4767470c003 --- /dev/null +++ b/parse/dev/voV_TRqcWh/voV_TRqcWh_content_list.json @@ -0,0 +1,1408 @@ +[ + { + "type": "text", + "text": "Poisson Flow Generative Models ", + "text_level": 1, + "bbox": [ + 300, + 122, + 696, + 147 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Yilun Xu∗ , Ziming Liu∗ , Max Tegmark, Tommi Jaakkola Massachusetts Institute of Technology ylxu, zmliu, tegmark @mit.edu; tommi@csail.mit.edu ", + "bbox": [ + 279, + 195, + 720, + 238 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Abstract ", + "text_level": 1, + "bbox": [ + 462, + 275, + 535, + 291 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We propose a new “Poisson flow” generative model (PFGM) that maps a uniform distribution on a high-dimensional hemisphere into any data distribution. We interpret the data points as electrical charges on the $z = 0$ hyperplane in a space augmented with an additional dimension $z$ , generating a high-dimensional electric field (the gradient of the solution to Poisson equation). We prove that if these charges flow upward along electric field lines, their initial distribution in the $z \\ = \\ 0$ plane transforms into a distribution on the hemisphere of radius $r$ that becomes uniform in the $r \\infty$ limit. To learn the bijective transformation, we estimate the normalized field in the augmented space. For sampling, we devise a backward ODE that is anchored by the physically meaningful additional dimension: the samples hit the (unaugmented) data manifold when the $z$ reaches zero. Experimentally, PFGM achieves current state-of-the-art performance among the normalizing flow models on CIFAR-10, with an Inception score of 9.68 and a FID score of 2.35. It also performs on par with the state-of-the-art SDE approaches while offering $1 0 \\times$ to $2 0 \\times$ acceleration on image generation tasks. Additionally, PFGM appears more tolerant of estimation errors on a weaker network architecture and robust to the step size in the Euler method. The code is available at https: //github.com/Newbeeer/poisson_flow. ", + "bbox": [ + 233, + 306, + 766, + 553 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 Introduction ", + "text_level": 1, + "bbox": [ + 174, + 578, + 310, + 595 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Deep generative models are a prominent approach for data generation, and have been used to produce high quality samples in image [1], text [2] and audio [35], as well as improve semi-supervised learning [20], domain generalization [25] and imitation learning [15]. However, current deep generative models also have limitations, such as unstable training objectives (GANs [1, 12, 17]) and low sample quality (VAEs [21], normalizing flows [6]). New techniques [12, 24] are introduced to stablize the training of CNN-based or ViT-based GAN models. Although recent advances on diffusion [16] and scored-based models [33] achieve comparable sample quality to GAN’s without adversarial training, these models have a slow stochastic sampling process. [33] proposes backward ODE samplers (normalizing flow) that speed up the sampling process but these methods have not yet performed on par with the SDE counterparts. ", + "bbox": [ + 174, + 609, + 825, + 747 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "We present a new “Poisson flow” generative model (PFGM), exploiting a remarkable physics fact that generalizes to $N$ dimensions. As illustrated in Fig. 1(a), motion in a viscous fluid transforms any planar charge distribution into a uniform angular distribution. Specifically, we interpret $N$ - dimensional data points $\\mathbf { x }$ (images, say) as positive electric charges in the $z \\ = \\ 0$ plane of an $N + 1$ -dimensional space (see Fig. 1(a)) filled with a viscous liquid (say honey). A positive charge with $z > 0$ will be repelled by the other charges and move in the direction of their repulsive force, eventually crossing an imaginary hemisphere of radius $r$ . We show that, remarkably, if the the original charge distribution is let loose just above $z = 0$ , this law of motion will cause a uniform distribution for their hemisphere crossings in the $r \\infty$ limit. ", + "bbox": [ + 174, + 753, + 825, + 878 + ], + "page_idx": 0 + }, + { + "type": "image", + "img_path": "images/54726ebf34e46087bef020e3ddcf1a0c1fce7fffed017e15273765115d92e791.jpg", + "image_caption": [ + "Figure 1: (a) 3D Poisson field trajectories for a heart-shaped distribution (b) The evolvements of a distribution (top) or an (augmented) sample (bottom) by the forward/backward ODEs pertained to the Poisson field. " + ], + "image_footnote": [], + "bbox": [ + 171, + 84, + 802, + 270 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Our Poisson flow generative process reverses the forward process: we generate a uniform distribution of negative charges on the hemisphere, then track their motion back to the $z = 0$ plane, where they will be distributed as the data distribution. A Poisson flow can be viewed as a type of continuous normalizing flows [4, 10, 33] in the sense that it continuously maps between an arbitrary distribution and an easily sampled one: in the previous works an $N$ -dimensional Gaussian and in PFGM a uniform distribution on an $N$ -dimensional hemisphere. In practice, we implement the Poisson flow by solving a pair of forward/backward ordinary differential equations (ODEs) induced by the electric field (Fig. 1(b)) given by the $N$ -dimensional version of Coulomb’s law (the gradient of the solution to the Poisson’s equation with the data as sources). We will interchangeably refer to this gradient as the Poisson field, since electric fields normally refer to the special case $N = 3$ . ", + "bbox": [ + 173, + 351, + 825, + 489 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The proposed generative model PFGM has a stable training objective and empirically outperforms previously state-of-the-art continuous flow methods [30, 33]. As a different iterative method, PFGM offers two advantages compared to score-based methods [32, 33]. First, the ODE process of PFGM achieves faster sampling speeds than the SDE samplers in [33]. while retaining comparable performance. Second, our backward ODE exhibits better generation performance than the reverse-time ODEs of VE/VP/sub-VP SDEs [33], as well as greater stability on a weaker architecture NSCNv2 [32]. The rationale for robustness is that the time variables in these ODE baselines are strongly correlated with the sample norms during training time, resulting in a less error-tolerant inference. In contrast, the tie between the anchored variable and the sample norm in PFGM is much weaker. ", + "bbox": [ + 173, + 496, + 825, + 621 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Experimentally, we show that PFGM achieves current state-of-the-art performance on CIFAR-10 dataset in the normalizing flow family, with FID/Inception scores of $2 . { \\bar { 4 } } 8 / 9 . 6 5$ (w/ $\\mathrm { { D D P M + + } }$ [33]) and $2 . 3 5 / 9 . 6 8$ (w/ $\\mathrm { { D D P M + + } }$ deep [33]). It performs competitively with current state-of-the-art SDE samplers [33] and provides $1 0 \\times$ to $2 0 \\times$ speed up across datasets. Notably, the backward ODE in PFGM is the only ODE-based sampler that can produce decent samples on its own on NCSNv2 [32], while other ODE baselines fail without corrections. In addition, PFGM demonstrates the robustness to the step size in the Euler method, with a varying number of function evaluations (NFE) ranging from 10 to 100. We further showcase the utility of the invertible forward/backward ODEs of the Poisson field on likelihood evaluation and image manipulations, and its scalability to higher resolution images on LSUN bedroom $2 5 6 \\times 2 5 6$ dataset. ", + "bbox": [ + 173, + 626, + 825, + 765 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "2 Background and Related works ", + "text_level": 1, + "bbox": [ + 174, + 784, + 470, + 801 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Poisson equation Let $\\mathbf { x } \\in \\mathbb { R } ^ { N }$ and $\\rho ( \\mathbf { x } ) : \\mathbb { R } ^ { N } \\mathbb { R }$ be a source function. We assume that the source function has a compact support, $\\rho \\in \\mathcal { C } ^ { 0 }$ and $N \\geq 3$ . The Poisson equation is ", + "bbox": [ + 169, + 815, + 823, + 845 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/5c3b5ccc1ca4ab2e1f96ee83cf1cfbe378716b7b8c4e5fe11bd0803b24e03f54.jpg", + "text": "$$\n\\nabla ^ { 2 } \\varphi ( \\mathbf { x } ) = - \\rho ( \\mathbf { x } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 437, + 851, + 558, + 869 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $\\varphi ( \\mathbf { x } ) : \\mathbb { R } ^ { N } \\mathbb { R }$ is called the potential function, and $\\begin{array} { r } { \\bigtriangledown ^ { 2 } \\equiv \\sum _ { i = 1 } ^ { N } \\frac { \\partial ^ { 2 } } { \\partial x _ { i } ^ { 2 } } } \\end{array}$ is the Laplacian operator. It is usually helpful to define the gradient field $\\mathbf { E } ( \\mathbf { x } ) = - \\nabla \\varphi ( \\mathbf { x } )$ and rewrite the Poisson equation as $\\nabla \\cdot \\mathbf { E } = \\rho$ , known in physics as Gauss’s law [11]. The Poisson equation is widely used in physics, giving rise to Newton’s gravitational theory [9] and the electrostatic theory [11], when $\\rho ( \\mathbf { x } )$ is interpreted as mass density or electric charge density, respectively. $\\mathbf { E }$ is the $N$ -dimensional analog of the electric field. The Poisson equation Eq. (1) (with zero boundary condition at infinity) admits a unique simple integral solution 2: ", + "bbox": [ + 174, + 876, + 826, + 912 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 90, + 825, + 161 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/93401eb00dae9c66c4ae5dfca4c5a263a99367a210890c33bd48b06e09b1f777.jpg", + "text": "$$\n\\varphi ( \\mathbf { x } ) = \\int G ( \\mathbf { x } , \\mathbf { y } ) \\rho ( \\mathbf { y } ) d \\mathbf { y } , \\quad G ( \\mathbf { x } , \\mathbf { y } ) = \\frac { 1 } { ( N - 2 ) S _ { N - 1 } ( 1 ) } \\frac { 1 } { | | \\mathbf { x } - \\mathbf { y } | | ^ { N - 2 } } ,\n$$", + "text_format": "latex", + "bbox": [ + 258, + 166, + 738, + 200 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "where $S _ { N - 1 } ( 1 )$ is a geometric constant representing the surface area of the unit $( N - 1 )$ -sphere 3, and $G ( \\mathbf { x } , \\mathbf { y } )$ is the extension of Green’s function in $N$ -dimensional space (details in Appendix A.3). The negative gradient field of $\\varphi ( \\mathbf x )$ , referred as Poisson field of the source $\\rho$ , is ", + "bbox": [ + 174, + 207, + 826, + 250 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/7587c330e6a462720f1d2f5150eb625f3de241f9392ee669c1f0bbdf0314c543.jpg", + "text": "$$\n\\mathbf { E } ( \\mathbf { x } ) = - \\nabla \\varphi ( \\mathbf { x } ) = - \\int \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } ) \\rho ( \\mathbf { y } ) d \\mathbf { y } , \\quad \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } ) = - \\frac { 1 } { S _ { N - 1 } ( 1 ) } \\frac { \\mathbf { x } - \\mathbf { y } } { \\left\\| \\mathbf { x } - \\mathbf { y } \\right\\| ^ { N } } .\n$$", + "text_format": "latex", + "bbox": [ + 220, + 256, + 777, + 289 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Qualitatively, the Poisson field $\\mathbf { E } ( \\mathbf { x } )$ points away from sources, or equivalently $- \\mathbf { E } ( \\mathbf { x } )$ points towards sources, as illustrated in Fig. 1. It is straightforward to check that when $\\rho ( { \\bf x } ) \\delta ( { \\bf x - y } )$ , we get $\\varphi ( \\mathbf x ) G ( \\mathbf x , \\mathbf y )$ and $\\mathbf { E } ( \\mathbf { x } ) - \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } )$ . This implies that $G ( \\mathbf { x } , \\mathbf { y } )$ and $- \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } )$ can be interpreted as the potential function and the gradient field generated by a unit point source, e.g., a point charge, located at $\\mathbf { y }$ . When $\\rho ( \\mathbf { x } )$ takes general forms but has bounded support, simple asymptotics exist for $\\left\\| \\mathbf { x } \\right\\| \\gg \\left\\| \\mathbf { y } \\right\\|$ . To the lowest order, $\\mathbf { E ( x ) } = \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } ) | _ { \\mathbf { y } = \\mathbf { 0 } } \\sim \\mathbf { x } / \\| \\mathbf { x } \\| ^ { N }$ behaves as if it were generated by a unit point source at $\\mathbf y = 0$ . In physics, the power law decay is considered to be long-range (compared to exponential decay) [11]. ", + "bbox": [ + 173, + 294, + 825, + 409 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Particle dynamics in a Poisson field The Poisson field immediately defines a flow model, where the probability distribution evolves according to the gradient flow $\\partial p _ { t } ( \\mathbf { x } ) / \\partial t = - \\nabla \\cdot ( p _ { t } ( \\mathbf { x } ) \\mathbf { E } ( \\mathbf { x } ) )$ . The gradient flow is a special case of the Fokker-Planck equation [28], where the diffusion coefficient is zero. Intuitively we can think of $p _ { t } ( \\mathbf { x } )$ as represented by a population of particles. The corresponding (non-diffusion) case of the Ito process is the forward ODE ˆ $\\begin{array} { r } { \\frac { d \\mathbf { x } } { d t } \\ = \\ \\mathbf { E } ( \\mathbf { x } ) } \\end{array}$ . We can interpret the trajectories of the ODE as particles moving according to the Poisson field $\\mathbf { E } ( x )$ , with initial states drawn from $p _ { 0 }$ . The physical picture of the forward ODE is a charged particle under the influence of electric fields in the overdamped limit (details in Appendix F). ", + "bbox": [ + 173, + 412, + 825, + 529 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "The dynamics is also rescalable in the sense that the particle trajectory remains the same for $\\pm f ( \\mathbf { x } ) \\mathbf { E } ( \\mathbf { x } )$ for $f ( \\mathbf { x } ) > 0 , f ( \\mathbf { x } ) \\in \\mathcal { C } ^ { 1 }$ , because the time rescaling $d t \\to f ( \\mathbf { x } ( t ) ) d t$ recovers $\\begin{array} { r } { \\frac { d \\mathbf { x } } { d t } \\ = } \\end{array}$ $\\begin{array} { r } { \\frac { d { \\mathbf { x } } } { d t } = } \\end{array}$ $\\pm \\mathbf { E } ( \\mathbf { x } )$ . Note that the dynamics is stiff due to the power law factor in the denominator in Eq. (3), posing computational challenges. Luckily the rescalablility allows us to rescale $\\mathbf { E } ( \\mathbf { x } )$ properly to get new ODEs (formally defined later in Section 3.3) that are more amenable for sampling. ", + "bbox": [ + 174, + 535, + 825, + 611 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Generative Modeling via ODE Generative modeling can be done by transforming a base distribution to a data distribution via mappings defined by ODEs. The ODE-based samplers allow for adaptive sampling, exact likelihood evaluation and modeling of continuous-time dynamics [4, 33]. Previous works broadly fall into two lines. [4, 3] introduce a continuous-time normalizing flow model that can be trained with maximum likelihood by the instantaneous change-of-variables formula [4]. For sampling, they directly integrate the learned invertiable mapping over time. Another work [33] unifies the scored-based model [31, 32] and diffusion model [16] into a general diffusion process, and uses the reverse-time ODE of the diffusion process for sampling. They show that the reverse-time ODE produces high quality samples with improved architecture. ", + "bbox": [ + 173, + 616, + 825, + 741 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "3 Poisson Flow Generative Models ", + "text_level": 1, + "bbox": [ + 174, + 760, + 475, + 777 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "In this section, we start with the properties of the Poisson flow in the augmented space and show how to draw samples from the data distribution by following the backward ODE of the Poisson flow (Section 3.1). We then discuss how to actually learn a normalized Poisson field from data samples through simulations of the forward ODE (Section 3.2) and present an equivalent backward ODE that allows for exponentially decay on $z$ (Section 3.3). ", + "bbox": [ + 174, + 791, + 825, + 861 + ], + "page_idx": 2 + }, + { + "type": "image", + "img_path": "images/e2f896cb7811162de5ce22a937be497e9cd000c7801fea03b15b727a4f369139.jpg", + "image_caption": [ + "Figure 2: (a) Poisson field (black arrows) and particle trajectories (blue lines) of a 2D uniform disk (red). Left (no augmentation, 2D): all particles collapse to the disk center. Right (augmentation, 3D): particles hit different points on the disk. (b) Proof idea of Theorem 1. By Gauss’s Law, the outflow flux $d \\Phi _ { o u t }$ equals the inflow flux $d \\Phi _ { i n }$ . The factor of two in $p ( \\mathbf { x } ) d A / 2$ is due to the symmetry of Poisson fields in $z < 0$ and $z > 0$ . " + ], + "image_footnote": [], + "bbox": [ + 179, + 93, + 815, + 251 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "3.1 Augment the data with additional dimension ", + "text_level": 1, + "bbox": [ + 174, + 348, + 522, + 363 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "We wish to generate samples $\\mathbf { x } \\in \\mathbb { R } ^ { N }$ from a distribution $p ( \\mathbf { x } )$ supported on a bounded region. We may set the source $\\rho ( \\mathbf { x } ) = p ( \\mathbf { x } ) \\in \\mathcal { C } ^ { 0 \\ }$ 4 and compute the resulting gradient field $\\mathbf { E } ( \\mathbf { x } )$ from Eq. (3). Since $- \\mathbf { E } ( \\mathbf { x } )$ points towards sources, the backward ODE ${ d { \\bf x } } / { d t } = - { \\bf E } ( { \\bf x } )$ will take samples close to the sources. One may naively hope that the backward ODE is a generative model that recovers $p ( \\mathbf { x } )$ . Unfortunately, the backward ODE has the problem of mode collapse. We illustrate this phenomenon with a 2D uniform disk. The reverse Poisson field $- \\mathbf { E } ( \\mathbf { x } )$ on the 2D $( x , y )$ -plane points towards the center of the disk $O$ (Fig. 2(a) left), so all particle trajectories (blue lines) will eventually hit $O$ . If we instead add an additional dimension $z$ (Fig. 2(a) right), particles can hit different points on the disk and faithfully recover the data distribution. ", + "bbox": [ + 173, + 371, + 826, + 500 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Consequently, instead of solving the Poisson equation $\\nabla ^ { 2 } \\varphi ( \\mathbf { x } ) = - p ( \\mathbf { x } )$ in the original data space, we solve the Poisson equation in an augmented space $\\tilde { \\mathbf { x } } = ( \\mathbf { x } , z ) \\in \\mathbb { R } ^ { N + 1 }$ with an additional variable $z \\in \\mathbb { R }$ . We augment the training data $\\tilde { \\mathbf { x } }$ in the new space by setting $z = 0$ such that $\\tilde { \\mathbf { x } } = ( \\mathbf { x } , 0 )$ . As a consequence, the data distribution in the augmented space is $\\tilde { p } ( \\tilde { \\mathbf { x } } ) = p ( \\mathbf { x } ) \\delta ( z )$ , where $\\delta$ is the Dirac delta function. By Eq. (3), the Poisson field by solving the new Poisson equation $\\nabla ^ { 2 } \\varphi ( \\tilde { \\mathbf { x } } ) = - \\tilde { p } ( \\tilde { \\mathbf { x } } )$ has an analytical form: ", + "bbox": [ + 174, + 503, + 825, + 590 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/f56f7ed322ed6d07de15ab2cec692248f6cf98d936a9d732fd2c626117ea7697.jpg", + "text": "$$\n\\forall \\tilde { { \\mathbf { x } } } \\in \\mathbb { R } ^ { N + 1 } , \\mathbf { E } ( \\tilde { { \\mathbf { x } } } ) = - \\nabla \\varphi ( \\tilde { { \\mathbf { x } } } ) = \\frac { 1 } { S _ { N } ( 1 ) } \\int \\frac { \\tilde { { \\mathbf { x } } } - \\tilde { { \\mathbf { y } } } } { \\left\\| \\tilde { { \\mathbf { x } } } - \\tilde { { \\mathbf { y } } } \\right\\| ^ { N + 1 } } \\tilde { p } ( \\tilde { { \\mathbf { y } } } ) d \\tilde { { \\mathbf { y } } }\n$$", + "text_format": "latex", + "bbox": [ + 289, + 597, + 709, + 631 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The associated forward/backward ODEs of the Poisson field are $d \\tilde { \\mathbf { x } } / d t = \\mathbf { E } ( \\tilde { \\mathbf { x } } ) , d \\tilde { \\mathbf { x } } / d t = - \\mathbf { E } ( \\tilde { \\mathbf { x } } )$ . Intuitively, theses ODEs uniquely define trajectories of particles between the $z = 0$ hyperplane and an enclosing hemisphere (cf. Fig. 1(a)). In the following theorem, we show that the backward ODE defines a transformation between the uniform distribution on an infinite hemisphere and the data distribution $\\tilde { p } ( \\tilde { { \\mathbf x } } )$ in the $z = 0$ plane. We present the formal proof to Appendix A, illustrated by Fig. 2(b). The proof is based on the idea that when the radius of hemisphere $r \\infty$ , the data distribution $\\tilde { p } ( \\tilde { \\mathbf { x } } )$ can be effectively viewed as a delta distribution at origin. Consequently, the Poisson field points in the radial direction at $r \\infty$ , perpendicular to $S _ { N } ^ { + } ( r )$ (Green arrows in Fig. 2(b)). ", + "bbox": [ + 173, + 636, + 825, + 750 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Theorem 1. Suppose particles are sampled from a uniform distribution on the upper $( z > 0 ,$ half of the sphere of radius r and evolved by the backward ODE $\\begin{array} { r } { \\frac { d \\tilde { \\mathbf { x } } } { d t } = - \\mathbf { E } \\big ( \\tilde { \\mathbf { x } } \\big ) } \\end{array}$ until they reach the $z = 0$ hyperplane, where the Poisson field $\\mathbf { E } ( \\tilde { \\mathbf { x } } )$ is generated by the source $\\tilde { p } ( \\tilde { { \\mathbf x } } )$ . In the $r \\infty$ limit, under some mild conditions detailed in Appendix $\\cdot$ , this process generates a particle distribution $\\tilde { p } ( \\tilde { { \\mathbf x } } )$ , i.e., a distribution $p ( \\mathbf { x } )$ in the $z = 0$ hyperplane. ", + "bbox": [ + 173, + 752, + 826, + 825 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Proof sketch. Suppose the flux of the backward ODE connects a solid angle $d \\Omega$ (on $S _ { N } ^ { + } ( r ) )$ with an area $d A$ (on $\\operatorname { s u p p } ( \\tilde { p } ( \\tilde { \\mathbf { x } } ) )$ . According to Gauss’s law, the outflow flux $d \\Phi _ { o u t } = d \\Omega / S _ { N } \\bar { ( 1 ) }$ on the hemisphere (Green arrows in Fig. 2(b)) equals the inflow flux $d \\Phi _ { i n } = p ( { \\bf x } ) d A / 2$ on $\\operatorname { s u p p } ( \\tilde { p } ( \\tilde { \\mathbf { x } } ) )$ (Red arrows in Fig. 2(b)). $d \\Phi _ { i n } = d \\Phi _ { o u t }$ gives $d \\Omega / d A = p ( \\mathbf { x } ) S _ { N } ( 1 ) / 2 \\propto \\tilde { p } ( \\mathbf { \\tilde { x } } )$ . Together, by change-ofvariable, we conclude that the final distribution in the $z = 0$ hyperplane is $p ( \\mathbf { x } )$ . □ ", + "bbox": [ + 174, + 833, + 821, + 862 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "", + "bbox": [ + 173, + 90, + 825, + 133 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "The theorem states that starting from an infinite hemisphere, one can recover the data distribution $\\tilde { p }$ by following the inverse Poisson field $- \\mathbf { E } ( \\tilde { \\mathbf { x } } )$ . We defer the formal proof and technical assumptions of the theorem to Appendix A. The property allows generative modeling by following the Poisson flow of $\\nabla ^ { 2 } \\varphi ( \\tilde { \\mathbf { x } } ) = - \\tilde { p } ( \\tilde { \\mathbf { x } } )$ . ", + "bbox": [ + 173, + 150, + 825, + 208 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.2 Learning the normalized Poisson Field ", + "text_level": 1, + "bbox": [ + 176, + 224, + 480, + 239 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Given a set of training data $\\mathcal { D } = \\{ \\mathbf { x } _ { i } \\} _ { i = 1 } ^ { n }$ i.i.d sampled from the data distribution $p ( \\mathbf { x } )$ , we define the =empirical version of the Poisson field (Eq. (4)) as follows: ", + "bbox": [ + 173, + 250, + 823, + 279 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/8de60ed6b47f961bff7ed279b4d1c104d1dd296b9f1066034aae261490653d35.jpg", + "text": "$$\n\\hat { \\bf E } ( \\tilde { \\bf x } ) = c ( \\tilde { \\bf x } ) \\sum _ { i = 1 } ^ { n } \\frac { \\tilde { \\bf x } - \\tilde { \\bf x } _ { i } } { \\| \\tilde { \\bf x } - \\tilde { \\bf x } _ { i } \\| ^ { N + 1 } }\n$$", + "text_format": "latex", + "bbox": [ + 398, + 286, + 598, + 321 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where the gradient field is calculated on $n$ augmented datapoints $\\{ \\tilde { \\mathbf { x } } _ { i } = ( \\mathbf { x } _ { i } , 0 ) \\} _ { i = 1 } ^ { n }$ , and $c ( \\tilde { \\mathbf { x } } ) =$ $\\textstyle 1 / \\sum _ { i = 1 } ^ { n } { \\frac { 1 } { \\left\\| \\tilde { \\mathbf { x } } - \\tilde { \\mathbf { x } } _ { i } \\right\\| ^ { N + 1 } } }$ is the multiplier for numerical stability. We further normalize the field to resolve the variations in the magnitude of the norm $\\Vert \\hat { \\textbf { E } } ( \\tilde { \\textbf { x } } ) \\ \\Vert _ { 2 }$ , and fit the neural network to the more amenable negative normalized field $\\mathbf { v } ( \\tilde { \\mathbf { x } } ) = - \\sqrt { N } \\hat { \\mathbf { E } } ( \\tilde { \\mathbf { x } } ) / \\| \\hat { \\mathbf { E } } ( \\tilde { \\mathbf { x } } ) \\| _ { 2 }$ . The Poisson field is rescalable (cf. Section 2) and thus trajectories of its forward/backward ODEs are invariant under normalization. We denote the empirical field calculated on batch data $\\boldsymbol { B }$ by $\\hat { \\mathbf { E } } _ { B }$ and the negative normalized field as $\\mathbf { v } _ { B } ( \\tilde { \\mathbf { x } } ) = - \\sqrt { N } \\hat { \\mathbf { E } } _ { B } ( \\tilde { \\mathbf { x } } ) / \\| \\hat { \\mathbf { E } } _ { B } ( \\tilde { \\mathbf { x } } ) \\| _ { 2 }$ . ", + "bbox": [ + 173, + 329, + 825, + 443 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Similar to the scored-based models, we sample points inside the hemisphere by perturbing the augmented training data. Given a training point $\\textbf { x } \\in \\mathcal { D }$ , we add noise to its augmented version $\\{ \\tilde { \\mathbf { x } } _ { i } ^ { - } = ( \\mathbf { x } _ { i } , 0 ) \\} _ { i = 1 } ^ { n }$ to construct the perturbed point $( \\mathbf { y } , z )$ : ", + "bbox": [ + 173, + 448, + 825, + 491 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/e7a81e3d8227333b0b956c9d6fdaa92c8336caa2824b8c93179516f33f32bf04.jpg", + "text": "$$\n\\mathbf { y } = \\mathbf { x } + \\parallel \\epsilon _ { \\mathbf { x } } \\parallel ( 1 + \\tau ) ^ { m } \\mathbf { u } , \\quad z = | \\epsilon _ { z } | ( 1 + \\tau ) ^ { m }\n$$", + "text_format": "latex", + "bbox": [ + 348, + 497, + 650, + 515 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where ${ \\epsilon } = \\left( { \\epsilon } _ { \\mathbf { x } } , { \\epsilon } _ { z } \\right) \\sim \\mathcal { N } ( 0 , \\sigma ^ { 2 } I _ { N + 1 \\times N + 1 } )$ , $\\mathbf { u } \\sim \\mathcal { U } ( S _ { N - 1 } ( 1 ) )$ and $m \\sim \\mathcal { U } [ 0 , M ]$ . The upper limit $M$ , standard deviation $\\sigma$ and $\\tau$ are hyper-parameters. With fixed $\\epsilon$ and $\\mathbf { u }$ , the added noise increases exponentially with $m$ . The rationale behind the design is that points farther away from the data support play a less important role in generative modeling, sharing a similar spirit with the choice of noisy scales in score-based models [32, 33]. ", + "bbox": [ + 173, + 522, + 826, + 594 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "In practice, we sample the p ts urbing a mini-batch data $B = \\{ \\mathbf { x } _ { i } \\} _ { i = 1 } ^ { | B | }$ each iteration. We $m$ $[ 0 , M ]$ =for each datapoint. We select a large $M$ 300) to ensure the perturbed points can reach a large enough hemisphere. We use a larger batch $\\boldsymbol { B } _ { L }$ for the estimation of normalized field since the empirical normalized field is biased, which empirically gives better results. Denoting the set of perturbed points as $\\{ \\tilde { \\mathbf { y } } _ { i } \\} _ { i = 1 } ^ { | B | }$ , we train the neural network $f _ { \\theta }$ =on these points to estimate the negative normalized field by minimizing the following loss: ", + "bbox": [ + 173, + 599, + 825, + 690 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/267bd119595567558b0a74a4a1831aacb48d9aad01458f9169bbd40b572ce3f8.jpg", + "text": "$$\n\\mathcal { L } ( \\boldsymbol { \\theta } ) = \\frac { 1 } { | \\mathcal { B } | } \\sum _ { i = 1 } ^ { | \\mathcal { B } | } \\parallel f _ { \\boldsymbol { \\theta } } \\big ( \\tilde { \\mathbf { y } } _ { i } \\big ) - \\mathbf { v } _ { \\mathcal { B } _ { L } } \\big ( \\tilde { \\mathbf { y } } _ { i } \\big ) \\parallel _ { 2 } ^ { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 372, + 698, + 625, + 738 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We summarize the training process in Algorithm 1. In practice, we add a small constant $\\gamma$ to the denominator of the normalized field to overcome the numerical issue when $\\exists i , \\left\\| \\tilde { \\mathbf { x } } - \\tilde { \\mathbf { x } } _ { i } \\right\\| \\approx 0$ . ", + "bbox": [ + 173, + 743, + 821, + 773 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3.3 Backward ODE anchored by the additional dimension ", + "text_level": 1, + "bbox": [ + 173, + 789, + 591, + 805 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "After estimating the normalized field $\\mathbf { v }$ , we can sample from the data distribution by the backward ODE $d { \\tilde { \\mathbf { x } } } = \\mathbf { v } ( { \\tilde { \\mathbf { x } } } ) d t$ . Nevertheless, the boundary condition of the above ODE is unclear: the starting and terminal time $t$ of the ODE are both unknown. To remedy the issue, we propose an equivalent backward ODE in which $\\mathbf { x }$ evolves with the augmented variable $z$ : ", + "bbox": [ + 173, + 815, + 825, + 871 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/6a077a3c370ba6f955394864da8dd52fa6d1d64d41dacb58fe358b5d5b9cba4a.jpg", + "text": "$$\nd ( \\mathbf { x } , z ) = ( \\frac { d \\mathbf { x } } { d t } \\frac { d t } { d z } d z , d z ) = ( \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { \\mathbf { x } } \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { z } ^ { - 1 } , 1 ) d z\n$$", + "text_format": "latex", + "bbox": [ + 338, + 878, + 661, + 910 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Algorithm 1 Learning the normalized Poisson Field ", + "bbox": [ + 178, + 92, + 516, + 106 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/7fb9bff56e4d77cca1acec77cbc61c1cdab6b3654cb5169569ef79914e39aaec.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Input: Training iteration T,Initial model fe,dataset D,constant y,learning rate n. fort=1...Tdo
from BL |B|
Simulate the ODE: {yi = perturb(xi) Ji=1 Calculate the normalized field by BL: VB (yi)=-√NEB,(yi)/(ll EB (yi) Il2 +γ), ∀i
|l f(yi)-vBL(yi)l² i1
Update the model parameter: 0 = 0 - nVL(0)
end for
return fe
", + "bbox": [ + 186, + 109, + 810, + 255 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Algorithm 2 perturb $\\cdot$ ", + "text_level": 1, + "bbox": [ + 174, + 272, + 334, + 286 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/74417a23e4e9403cebdbaa2f88f9cfd5ae1d39e86836ea35c9978940c4283dea.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
Sample the power m ~U[0,M] Sample the initial noise (∈x,∈z)~N(O,σ²I(N+1)x(N+1))
Uniformly sample the vector from the unit ball u ~U(SN(1))
Construct training point y = x+ | x I (1 + 𝑇)mu, z = |∈zl(1 + T)m
return y = (y, z)
", + "bbox": [ + 183, + 291, + 633, + 367 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $\\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { \\mathbf { x } } , \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { z }$ are the corresponding components of $\\mathbf x , z$ in vector $\\mathbf { v } ( \\tilde { \\mathbf { x } } )$ . In the new ODE, we replace the time variable $t$ with the physically meaningful variable $z$ , permitting explicit starting and terminal conditions: when $z = 0$ , we arrive at the data distribution and we can freely choose a large $z _ { \\mathrm { m a x } }$ as the starting point in the backward ODE. The backward ODE is compatible with general-purpose ODE solvers, e.g., RK45 method [23] and forward Euler method. The popular black-box ODE solvers, such as the one in Scipy library [37], typically use a common starting time for the same batch of samples. Since the distribution on the $z = z _ { \\mathrm { m a x } }$ hyperplane is no longer uniform, we derive the prior distribution by radially projecting uniform distribution on the hemisphere with radius $r = z _ { \\mathrm { m a x } }$ to the $z = z _ { \\mathrm { m a x } }$ hyperplane: ", + "bbox": [ + 173, + 395, + 826, + 521 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/03be1377e92c170e073289fe6be3fd20a032dbd69bc6fb33c5bc2307c712fdc3.jpg", + "text": "$$\np _ { \\mathrm { p r i o r } } ( \\mathbf { x } ) = { \\frac { 2 z _ { \\mathrm { m a x } } ^ { N + 1 } } { S _ { N } { \\big ( } z _ { \\mathrm { m a x } } { \\big ) } { \\big ( } \\| \\mathbf { x } \\| _ { 2 } ^ { 2 } + z _ { \\mathrm { m a x } } ^ { 2 } { \\big ) } ^ { \\frac { N + 1 } { 2 } } } } = { \\frac { 2 z _ { \\mathrm { m a x } } } { S _ { N } { \\big ( } 1 { \\big ) } { \\big ( } \\| \\mathbf { x } \\| _ { 2 } ^ { 2 } + z _ { \\mathrm { m a x } } ^ { 2 } { \\big ) } ^ { \\frac { N + 1 } { 2 } } } }\n$$", + "text_format": "latex", + "bbox": [ + 267, + 526, + 730, + 565 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where $S _ { N } ( r )$ is the surface area of $N$ -sphere with radius $r$ . The reason behind the radial projection is that the Poisson field points in the radial direction at $r \\infty$ . The new backward ODE also defines a bijective transformation between $p _ { \\mathrm { p r i o r } } ( \\mathbf { x } )$ on the infinite hyperplane $z _ { \\mathrm { m a x } } \\infty$ ) and the data distribution the norm (r $\\tilde { p } ( \\tilde { { \\mathbf x } } )$ , analogous to Theorem ) from the distribution: $p _ { \\mathrm { p r i o r } } ( \\mathbf { x } )$ to sampleand then $p _ { \\mathrm { r a d i u s } } ( \\| \\textbf { x } \\| _ { 2 } ) \\propto \\| \\textbf { x } \\| _ { 2 } ^ { N - 1 } / ( \\| \\textbf { x } \\| _ { 2 } ^ { 2 } + z _ { \\operatorname* { m a x } } ^ { 2 } ) ^ { \\frac { N + 1 } { 2 } }$ uniformly sample its angle. We provide detailed derivations and practical sampling procedure in Appendix A.4. We further achieve exponential decay on the $z$ dimension by introducing a new variable $t ^ { \\prime }$ : ", + "bbox": [ + 173, + 570, + 825, + 686 + ], + "page_idx": 5 + }, + { + "type": "equation", + "img_path": "images/646814215122bed857b46f4e0d543f1b8287dd5a0d4e674bbbfce9f8fe8215a8.jpg", + "text": "$$\n\\begin{array} { r l } { [ \\mathrm { B a c k w a r d ~ O D E } ] } & { { } d ( \\mathbf { x } , z ) = ( \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { \\mathbf { x } } \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { z } ^ { - 1 } z , z ) d t ^ { \\prime } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 320, + 693, + 678, + 712 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "The $z$ component in the backward ODE, i.e., $d z = z d t ^ { \\prime }$ , can be solved by $z = e ^ { t ^ { \\prime } }$ . Since $z$ reaches zero as $t ^ { \\prime } \\to - \\infty$ , we instead choose a tiny positive number $z _ { \\mathrm { m i n } }$ as the terminal condition. The corresponding starting/terminal time of the variable $t ^ { \\prime }$ are $\\log z _ { \\operatorname* { m a x } } / \\log z _ { \\operatorname* { m i n } }$ respectively. Empirically, this simple change of variable leads to $2 \\times$ faster sampling with almost no harm to the sample quality. In addition, we substitue the predicted $\\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { z }$ with a more accurate one when $z$ is small (Appendix B.2.3). We defer more details of the simulation of backward ODE to Appendix B.2. ", + "bbox": [ + 173, + 720, + 826, + 805 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "4 Generative Modeling via the Backward ODE ", + "text_level": 1, + "bbox": [ + 173, + 823, + 581, + 842 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "In this section, we demonstrate the effectiveness of the backward ODE associated with PFGM on image generation tasks. In Section 4.1, we show that PFGM achieves currently best in class performance in the normalizing flow family. In comparison to the existing state-of-the-art SDE or MCMC approaches, PFGM exhibits $1 0 \\times$ or $2 0 \\times$ acceleration while maintaining competitive or higher generation quality. Meanwhile, unlike existing ODE baselines that heavily rely on corrector to generate decent samples on weaker architectures, PFGM exhibits greater stability against error (Section 4.2). Finally, we show that PFGM is robust to the step size in the Euler method (Section 4.3), and its associated ODE allows for likelihood evaluation and image manipulation by editing the latent space (Section 4.4). ", + "bbox": [ + 174, + 854, + 825, + 911 + ], + "page_idx": 5 + }, + { + "type": "table", + "img_path": "images/7c3d937df96eeba6b761d69681617432cc07eabcf1315e03c91e0d3578953cd3.jpg", + "table_caption": [ + "Table 1: CIFAR-10 sample quality (FID, Inception) and number of function evaluation (NFE). " + ], + "table_footnote": [], + "table_body": "
Invertible?Inception ↑FID↓NFE↓
PixelCNN[36]4.6065.91024
IGEBM[8]6.0240.660
ViTGAN [24]9.306.661
StyleGAN2-ADA [17]9.832.921
StyleGAN2-ADA (cond.) [17]xxxxxxxxxx10.142.421
NCSN[31]8.8725.321001
NCSNv2 [32]8.4010.871161
DDPM[16]9.463.171000
NCSN++ VE-SDE[33]9.832.382000
NCSN++ deep VE-SDE [33]9.892.202000
Glow [19]3.9248.91
DDIM,T=50 [30]-4.6750
DDIM, T=100 [30]14.16100
NCSN++ VE-ODE [33]9.345.29194
NCSN++ deep VE-ODE[33]9.177.66194
DDPM++backbone
VP-SDE[33]9.582.551000
sub-VP-SDE[33]xx-9.562.611000
VP-ODE [33]9.462.97134
sub-VP-ODE [33]9.303.16146
PFGM (ours)9.652.48104
DDPM++ deep backbone
VP-SDE [33]9.682.411000
sub-VP-SDE[33]xx-9.572.411000
VP-ODE [33]9.472.86134
sub-VP-ODE [33]9.403.05146
PFGM (ours)9.682.35110
", + "bbox": [ + 254, + 109, + 738, + 515 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 535, + 826, + 606 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "4.1 Efficient image generation by PFGM ", + "text_level": 1, + "bbox": [ + 176, + 622, + 468, + 637 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Setup For image generation tasks, we consider the CIFAR-10 [22], CelebA $6 4 \\times 6 4$ [38] and LSUN bedroom $2 5 6 \\times 2 5 6$ [39]. Following [32], we first center-crop the CelebA images and then resize them to $6 4 \\times 6 4$ . We choose $M \\ : = \\ : 2 9 1$ CIFAR-10 and CelebA 356 LSUN bedroom , $\\sigma ~ = ~ 0 . 0 1$ and $\\tau { \\it \\Delta \\phi } = 0 . 0 3$ for the perturbation Algorithm 2, and $z _ { \\mathrm { m i n } } ~ = ~ 1 e \\mathrm { ~ - ~ } 3$ , $\\begin{array} { r l } { z _ { \\operatorname* { m a x } } } & { { } = } \\end{array}$ 40 CIFAR-10 60 CelebA $6 4 ^ { 2 }$ 100 LSUN bedroom for the backward ODE. We further clip the norms of initial samples into $( 0 , 3 0 0 0 )$ for CIFAR-10, $( 0 , 6 0 0 0 )$ for CelebA $6 4 ^ { 2 }$ and $( 0 , 3 0 0 0 0 )$ for LSUN bedroom. We adopt the $\\mathrm { { D D P M + + } }$ and $\\mathrm { { D D P M + + } }$ deep architectures [33] as our backbones. We add the scalar $z$ (resp. predicted direction on $z$ ) as input (resp. output) to accommodate the additional dimension. We take the same set of hyper-parameters, such as batch size, learning rate and training iterations from [33]. We provide more training details in Appendix B.1, and discuss how to set these hyper-parameters for general datasets in B.1.1 and B.2.1. ", + "bbox": [ + 173, + 647, + 826, + 799 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Baselines We compare PFGM to modern autoregressive model [36], GAN [17, 24], normalizing flow [19] and EBM [8]. We also compare with variants of score-based models such as DDIM [30] and current state-of-the-art SDE/ODE methods [33]. We denote the methods that use forward-time SDEs in [33] such as Variance Exploding (VE) SDE/Variance Preserving (VP) SDE/ sub-Variance Preserving (sub-VP), and the corresponding backward SDE/ODE, as A-B, where $\\mathbf { A } \\in \\{ \\mathrm { V E }$ , VP, sub- $\\mathrm { V P } \\}$ and $\\mathbf { B } \\in \\{ \\mathrm { S D E } , \\mathrm { O D E } \\}$ . We follow the model selection protocol in [33], which selects the checkpoint with the smallest FID score over the course of training every 50k iterations. ", + "bbox": [ + 174, + 814, + 825, + 911 + ], + "page_idx": 6 + }, + { + "type": "image", + "img_path": "images/765d37140b6f169aca43c335a32e1ca5fc5bf14d8e90ab0f9dcca04e90401859.jpg", + "image_caption": [ + "Figure 3: Uncurated samples on datasets of increasing resolution. From left to right: CIFAR-10 $3 2 \\times 3 2$ , CelebA $6 4 \\times 6 4$ and LSUN bedroom $2 5 6 \\times 2 5 6$ . " + ], + "image_footnote": [], + "bbox": [ + 174, + 89, + 821, + 257 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Numerical Solvers The backward ODE (Eq. (6)) is compatible with any general purpose ODE solver. In our experiments, the default solver of ODEs is the black box solver in the Scipy library [37] with the RK45 [7] method (RK45), unless otherwise specified. For VE/VP/subVP-SDEs, we use the predictor-corrector (PC) sampler introduced in [33]. For VP/sub-VP-SDEs, we apply the predictor-only sampler, because its performance is on par with the PC sampler while requiring half computation. ", + "bbox": [ + 173, + 318, + 825, + 401 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Results For quantitative evaluation on CIFAR-10, we report the Inception [29] (higher is better) and FID [13] scores (lower is better) in Table 1. We also include our preliminary experimental results on a weaker architecture NCSNv2 [32] in Appendix D.2. We measure the inference speed by the average NFE (number of function evaluation). We also explicitly indicate which methods belong to the invertible flow family. ", + "bbox": [ + 174, + 420, + 825, + 491 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Our main findings are: (1) PFGM achieves the best Inception scores and FID scores among the normalizing flow models. Specifically, PFGM obtains an Inception score of 9.68 and a FID score of 2.48 using the $\\mathrm { D D P M + + }$ deep architecture. To our best knowledge, these are the highest FID and Inception scores by flow models on CIFAR-10. (2) PFGM achieves a $1 0 \\times \\sim 2 0 \\times$ faster inference speed than the SDE methods using the similar architectures, while retaining comparable sample quality. As shown in Table 1, PFGM requires NFEs of 110 whereas the SDE methods typically use $1 0 0 0 \\sim 2 0 0 0$ inference steps. PFGM outperforms all the baselines on $\\mathrm { { D D P M + + } }$ in all metrics. In addition, PFGM generally samples faster than other ODE baselines with the same RK45 solver. (3) The backward ODE in PFGM is compatible with architectures with varying capacities. PFGM consistently outperforms other ODE baselines on $\\mathrm { D D P M + + }$ (Table 1) or NCSNv2 (Appendix D.2) backbones. (4) PFGM shows scalability to higher resolution datasets. In Appendix D.1, we show that PFGM are capable of scale-up to LSUN bedroom $2 5 6 \\times 2 5 6$ . In particular, PFGM has comparable performance with VE-SDE with $1 5 \\times$ fewer NFE. ", + "bbox": [ + 173, + 497, + 826, + 676 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In Fig. 3, we visualize the uncurated samples from PFGM on CIFAR-10, CelebA $6 4 \\times 6 4$ and LSUN bedroom $2 5 6 \\times 2 5 6$ . We provides more samples in Appendix E. ", + "bbox": [ + 174, + 683, + 820, + 710 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "4.2 Failure of VE/VP-ODEs on NCSNv2 architecture ", + "text_level": 1, + "bbox": [ + 173, + 731, + 555, + 746 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "In our preliminary experiments on NCSNv2 architectures, we empirically observe that the VE/VP-ODEs have FID scores greater than 90 on CIFAR-10. In particular, VE/VP-ODEs can only generate decent samples when applying the Langevin dynamics corrector, and even then, their performances are still inferior to PFGM (Table 9, Table 10). The poor performance on NCSNv2 stands in striking contrast to their high sample quality on $\\mathrm { N C S N + + / D D P M + + }$ in [33]. It indicates that the VE/VP-ODEs are ", + "bbox": [ + 174, + 758, + 485, + 911 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/b8860bcda32dab2d49f72ab93a489b264c43c232817b6c997c0142ac14f89d96.jpg", + "image_caption": [ + "Figure 4: Sample norm distributions with varying time variables $\\sigma$ for VE-ODE and $z$ for PFGM) " + ], + "image_footnote": [], + "bbox": [ + 504, + 758, + 821, + 869 + ], + "page_idx": 7 + }, + { + "type": "image", + "img_path": "images/8f1d6bfd2fc3172f6a771fae4fc3892a6d968815e5d64788e0ff673cb1dd4cc0.jpg", + "image_caption": [ + "Figure 5: (a) Norm- $\\cdot \\sigma ( t )$ relation during the backward sampling of VE-ODE (Euler). (b) Norm- $z ( t ^ { \\prime } )$ relation during the backward sampling of PFGM (Euler). The shaded areas mean the standard deviation of norms. (c) Number of steps versus FID score. " + ], + "image_footnote": [], + "bbox": [ + 200, + 94, + 802, + 233 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "more susceptible to estimation errors than PFGM. We hypothesize that the strong norm- $\\sigma$ correla tion seen during the training of score-based models causes the problem. ", + "bbox": [ + 173, + 308, + 821, + 335 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "For score-based models, the $l _ { 2 }$ norms of perturbed training samples and the standard deviations $\\sigma ( t )$ of Gaussian noises have strong correlation, e. $g . , l _ { 2 } \\ \\mathrm { n o r m } \\approx \\sigma ( t ) \\sqrt { N }$ for large $\\sigma ( t )$ in VE [33]. In contrast, as shown in Fig. 4, PFGM allocates high mass across a wide spectrum of the training sample norms. During sampling, VE/VP-ODEs could break down when the trajectories of backward ODEs deviate from the norm- $\\cdot \\sigma ( t )$ relation to which most training samples pertain. The weaker NCSNv2 backbone incurs larger errors and thus leads to their failure. The PFGM is more resistant to estimate errors because of the greater range of training sample norms. ", + "bbox": [ + 173, + 342, + 825, + 441 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "To further verify the hypothesis above, we split a batch of VE-ODE samples into cleaner and noisier samples according to visual quality (Fig. 8(a)). In Fig. 5(a), we investigate the relation for cleaner and noisier samples during the forward Euler simulation of VE-ODE when $\\sigma ( t ) < 1 5$ . We can see that the trajectory of cleaner samples stays close to the norm- $\\sigma ( t )$ relation (the red dash line), whereas that of the noisier samples diverges from the relation. The Langevin dynamics corrector changes the trajectory of noisier samples to align with the relation. Fig. 5(b) further shows that the anchored variable $z ( t ^ { \\prime } )$ and the norms in the backward ODE of PFGM are not strongly correlated, giving rise to the robustness against the imprecise estimation on NCSNv2. We defer more details to Appendix C. ", + "bbox": [ + 173, + 446, + 825, + 559 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4.3 Effects of step size in the forward Euler method ", + "text_level": 1, + "bbox": [ + 174, + 574, + 544, + 589 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In order to accelerate the inference speed of ODEs, we can increase the step size (decrease the NFEs) in numerical solvers such as the forward Euler method. It also enables the trade-off between sample quality and computational efficiency in real-world deployment. We study the effects of increasing step size on PFGM, VP-ODE and DDIM [30] using the forward Euler method, with a varying NFE ranging from 10 to 100. ", + "bbox": [ + 173, + 599, + 825, + 669 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In Fig. 5(c), we report the sample quality measured by FID scores on CIFAR-10. As expected, all the methods have higher FID scores when decreasing the NFE. We observe that the sample quality of PFGM degrades gracefully as we decrease the NFE. Our method shows significantly better robustness to step sizes than the VP-ODE, especially when only taking a few Euler steps. In addition, PFGM obtains better FID scores than DDIM on most NFEs except for 10 where PFGM is marginally worse. This suggests that the PFGM is a promising method for accommodating instantaneous resource availability, as high-quality samples can be generated in limited steps. ", + "bbox": [ + 173, + 675, + 825, + 773 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4.4 Utilities of ODE: likelihood evaluation and latent representation ", + "text_level": 1, + "bbox": [ + 173, + 789, + 656, + 804 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Similar to the family of discrete normalizing flows [6, 19, 14] and continuous probability flow [33], the forward ODE in PFGM defines an invertible mapping between the data space and latent space with a known prior. Formally, we define the invertible forward $\\mathcal { M }$ mapping by integrating the corresponding forward ODE $\\begin{array} { r } { \\dot { d } ( \\mathbf { x } , z ) = ( \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { \\mathbf { x } } \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { z } ^ { - 1 } z , z ) d t ^ { \\prime } } \\end{array}$ of Eq. (6): ", + "bbox": [ + 174, + 814, + 826, + 871 + ], + "page_idx": 8 + }, + { + "type": "equation", + "img_path": "images/de973ce12148d28895bba204e84e1d40f37ef0fa8b8705e90efc4d27d0ee8a19.jpg", + "text": "$$\n\\mathbf { x } ( \\log z _ { \\operatorname* { m a x } } ) = \\mathcal { M } ( \\mathbf { x } ( \\log z _ { \\operatorname* { m i n } } ) ) \\equiv \\mathbf { x } ( \\log z _ { \\operatorname* { m i n } } ) + \\int _ { \\log z _ { \\operatorname* { m i n } } } ^ { \\log z _ { \\operatorname* { m a x } } } \\mathbf { v } ( \\mathbf { x } ( t ^ { \\prime } ) ) _ { \\mathbf { x } } \\mathbf { v } ( \\tilde { \\mathbf { x } } ( t ^ { \\prime } ) ) _ { z } ^ { - 1 } e ^ { t ^ { \\prime } } d t ^ { \\prime }\n$$", + "text_format": "latex", + "bbox": [ + 220, + 877, + 776, + 910 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "where $\\log z _ { \\mathrm { m i n } } / \\log z _ { \\mathrm { m a x } }$ are the starting/terminal time in the forward ODE. The forward mapping transfers the data distribution to the prior distribution $p _ { \\mathrm { p r i o r } }$ on the $z = z _ { \\mathrm { m a x } }$ hyperplane (cf. Section 3.3): $p _ { \\mathrm { p r i o r } } \\big ( \\mathbf { x } \\big ( \\log z _ { \\mathrm { m a x } } \\big ) \\big ) = \\mathcal { M } \\big ( p ( \\mathbf { x } ( \\log \\bar { z } _ { \\mathrm { m i n } } ) ) \\big )$ . The invertibility enables likelihood evaluation and creates a meaningful latent space on the $z = z _ { \\mathrm { m a x } }$ hyperplane. In addition, we can adapt to the computational constraints by adjusting the step size or the precision in numerical ODE solvers. ", + "bbox": [ + 173, + 90, + 825, + 161 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Likelihood evaluation We evaluate the data likelihood by the instantaneous change-of-variable formula [4, 33]. In Table 2, we report the bits/dim on the uniformly dequantized CIFAR-10 test set and compare with existing baselines that use the same setup. We observe that PFGM achieves better likelihoods than discrete normalizing flow models, even without maximum likelihood training. Among the continuous flow models, sub-VP-ODE shows the lowest bits/dim, although its sample quality is worse than VP-ODE and PFGM (Table 1). The exploration of the seeming trade-off between likelihood and sample quality is left for future works. ", + "bbox": [ + 174, + 166, + 550, + 333 + ], + "page_idx": 9 + }, + { + "type": "table", + "img_path": "images/c452efcad2fd82bbc0d70344e1698d29d6fa874798cc81029b380d62e987b32d.jpg", + "table_caption": [ + "Table 2: Bits/dim on CIFAR-10 " + ], + "table_footnote": [], + "table_body": "
bits/dim ↓
RealNVP [6]3.49
Glow [19] Residual Flow [3]3.35 3.28
Flow++ [14]3.29
DDPM(L)[16]≤3.70*
DDPM++backbone
VP-ODE [33]3.20
sub-VP-ODE[33]3.02
PFGM (ours)3.19
", + "bbox": [ + 599, + 188, + 785, + 320 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Latent representation Since the samples are uniquely identifiable by their latents via the invertible mapping $\\mathcal { M }$ , PFGM further supports image manipulation using its latent representation on the $z =$ $z _ { \\mathrm { m a x } }$ hyperplane. We include the results of image interpolation and the temperature scaling [6, 19, 33] to Appendix D.4 and Appendix D.5. For interpolation, it shows that we can travel along the latent space to obtain perceptually consistent interpolations between CelebA images. ", + "bbox": [ + 174, + 339, + 825, + 409 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "5 Conclusion ", + "text_level": 1, + "bbox": [ + 174, + 428, + 299, + 444 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We present a new deep generative model by solving the Poisson equation whose source term is the data distribution. We estimate the normalized gradient field of the solution in an augmented space with an additional dimension. For sampling, we devise a backward ODE that exponential decays on the physically meaningful additional dimension. Empirically, our approach has currently best performance over other normalizing flow baselines, and achieving $1 0 \\times$ to $2 0 \\times$ acceleration over the stochastic methods. Our backward ODE shows greater stability against errors than popular ODE-based methods, and enables efficient adaptive sampling. We further demonstrate the utilities of the forward ODE on likelihood evaluation and image interpolation. Future directions include improving the normalization of Poisson fields. More principled approaches can be used to get around the divergent near-field behavior. For example, we may exploit renormalization, a useful tool in physics, to make the Poisson field well-behaved in near fields. ", + "bbox": [ + 174, + 459, + 825, + 611 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Acknowledgements ", + "text_level": 1, + "bbox": [ + 176, + 631, + 338, + 647 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We are grateful to Shangyuan Tong, Timur Garipov and Yang Song for helpful discussion. We would like to thank Octavian Ganea and Wengong Jin for reviewing an early draft of this paper. YX and TJ acknowledge support from MIT-DSTA Singapore collaboration, from NSF Expeditions grant (award 1918839) ”Understanding the World Through Code”, and from MIT-IBM Grand Challenge project. ZL and MT would like to thank the Center for Brains, Minds, and Machines (CBMM) for hospitality. ZL and MT are supported by The Casey and Family Foundation, the Foundational Questions Institute, the Rothberg Family Fund for Cognitive Science and IAIFI through NSF grant PHY-2019786. 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", + "bbox": [ + 174, + 683, + 826, + 727 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "[36] Aaron van den Oord, Nal Kalchbrenner, Lasse Espeholt, Koray Kavukcuoglu, Oriol Vinyals, ¨ and Alex Graves. Conditional image generation with pixelcnn decoders. In NIPS, 2016. ", + "bbox": [ + 173, + 734, + 825, + 765 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "[37] Pauli Virtanen, Ralf Gommers, Travis E. Oliphant, Matt Haberland, Tyler Reddy, David Cournapeau, Evgeni Burovski, Pearu Peterson, Warren Weckesser, Jonathan Bright, Stefan J. ´ van der Walt, Matthew Brett, Joshua Wilson, K. Jarrod Millman, Nikolay Mayorov, Andrew R. J. Nelson, Eric Jones, Robert Kern, Eric Larson, C J Carey, Ilhan Polat, Yu Feng, Eric W. Moore, J. Vanderplas, Denis Laxalde, Josef Perktold, Robert Cimrman, Ian Daniel Henriksen, E. A. Quintero, Charles R. Harris, Anne M. Archibald, Antonio H. Ribeiro, Fabian Pedregosa, ˆ Paul van Mulbregt, Aditya Alessandro Pietro Alex Andreas Andreas Anthony Ant Vijaykumar Bardelli Rothberg Hilboll Kloeckner Sco, Aditya Vijaykumar, Alessandro Pietro Bardelli, Alex Rothberg, Andreas Hilboll, Andre Kloeckner, Anthony M. Scopatz, Antony Lee, Ariel S. Rokem, C. Nathan Woods, Chad Fulton, Charles Masson, Christian Haggstr ¨ om, Clark Fitzgerald, ¨ ", + "bbox": [ + 176, + 772, + 826, + 911 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "David A. Nicholson, David R. Hagen, Dmitrii V. Pasechnik, Emanuele Olivetti, Eric Martin, Eric Wieser, Fabrice Silva, Felix Lenders, Florian Wilhelm, Gert Young, Gavin A. Price, GertLudwig Ingold, Gregory E. Allen, Gregory R. Lee, Herve Audren, Irvin Probst, Jorg P. Dietrich, ´ Jacob Silterra, James T. Webber, Janko Slavi, Joel Nothman, Johannes Buchner, Johannes Kulick, Johannes L. Schonberger, Jos ¨ e Vin ´ ´ıcius de Miranda Cardoso, Joscha Reimer, Joseph E. 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From facial parts responses to face detection: A deep learning approach. 2015 IEEE International Conference on Computer Vision (ICCV), pages 3676–3684, 2015. \n[39] Fisher Yu, Yinda Zhang, Shuran Song, Ari Seff, and Jianxiong Xiao. Lsun: Construction of a large-scale image dataset using deep learning with humans in the loop. ArXiv, abs/1506.03365, 2015. ", + "bbox": [ + 173, + 92, + 826, + 388 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "Checklist ", + "text_level": 1, + "bbox": [ + 174, + 89, + 254, + 106 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "1. For all authors... ", + "bbox": [ + 214, + 116, + 339, + 130 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(a) Do the main claims made in the abstract and introduction accurately reflect the paper’s contributions and scope? [Yes] \n(b) Did you describe the limitations of your work? [Yes] See Appendix G. \n(c) Did you discuss any potential negative societal impacts of your work? [Yes] See Appendix H. \n(d) Have you read the ethics review guidelines and ensured that your paper conforms to them? [Yes] ", + "bbox": [ + 238, + 135, + 825, + 239 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "2. If you are including theoretical results... ", + "bbox": [ + 214, + 243, + 493, + 258 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(a) Did you state the full set of assumptions of all theoretical results? [Yes] See Appendix A. (b) Did you include complete proofs of all theoretical results? [Yes] See Appendix A. ", + "bbox": [ + 238, + 262, + 825, + 308 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "3. If you ran experiments... ", + "bbox": [ + 212, + 311, + 393, + 325 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(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)? [Yes] See the abstract. \n(b) Did you specify all the training details (e.g., data splits, hyperparameters, how they were chosen)? [Yes] See Appendix B.1. \n(c) Did you report error bars (e.g., with respect to the random seed after running experiments multiple times)? [N/A] \n(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)? [Yes] All the experiments are run on a single NVIDIA A100 GPU. ", + "bbox": [ + 238, + 330, + 825, + 476 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "4. If you are using existing assets (e.g., code, data, models) or curating/releasing new assets... ", + "bbox": [ + 212, + 481, + 823, + 496 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(a) If your work uses existing assets, did you cite the creators? [Yes] \n(b) Did you mention the license of the assets? [N/A] The assets are public/open-source datasets and codes. \n(c) Did you include any new assets either in the supplemental material or as a URL? [N/A] \n(d) Did you discuss whether and how consent was obtained from people whose data you’re using/curating? [N/A] \n(e) Did you discuss whether the data you are using/curating contains personally identifiable information or offensive content? [N/A] ", + "bbox": [ + 238, + 500, + 825, + 635 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "5. If you used crowdsourcing or conducted research with human subjects... ", + "bbox": [ + 214, + 638, + 705, + 654 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "(a) Did you include the full text of instructions given to participants and screenshots, if applicable? [N/A] \n(b) Did you describe any potential participant risks, with links to Institutional Review Board (IRB) approvals, if applicable? [N/A] \n(c) Did you include the estimated hourly wage paid to participants and the total amount spent on participant compensation? [N/A] ", + "bbox": [ + 238, + 657, + 825, + 747 + ], + "page_idx": 13 + } +] \ No newline at end of file diff --git a/parse/dev/voV_TRqcWh/voV_TRqcWh_middle.json b/parse/dev/voV_TRqcWh/voV_TRqcWh_middle.json new file mode 100644 index 0000000000000000000000000000000000000000..97d6069ca5a29699013d5e923b6d698554ad69ac --- /dev/null +++ b/parse/dev/voV_TRqcWh/voV_TRqcWh_middle.json @@ -0,0 +1,41252 @@ +{ + "pdf_info": [ + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 184, + 97, + 426, + 117 + ], + "lines": [ + { + "bbox": [ + 183, + 96, + 428, + 117 + ], + "spans": [ + { + "bbox": [ + 183, + 96, + 428, + 117 + ], + "score": 1.0, + "content": "Poisson Flow Generative Models", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 171, + 155, + 441, + 189 + ], + "lines": [ + { + "bbox": [ + 185, + 156, + 426, + 168 + ], + "spans": [ + { + "bbox": [ + 185, + 156, + 426, + 168 + ], + "score": 1.0, + "content": "Yilun Xu∗ , Ziming Liu∗ , Max Tegmark, Tommi Jaakkola", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 226, + 165, + 384, + 181 + ], + "spans": [ + { + "bbox": [ + 226, + 165, + 384, + 181 + ], + "score": 1.0, + "content": "Massachusetts Institute of Technology", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 171, + 178, + 441, + 190 + ], + "spans": [ + { + "bbox": [ + 171, + 178, + 441, + 190 + ], + "score": 1.0, + "content": "ylxu, zmliu, tegmark @mit.edu; tommi@csail.mit.edu", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 283, + 218, + 328, + 231 + ], + "lines": [ + { + "bbox": [ + 281, + 217, + 330, + 232 + ], + "spans": [ + { + "bbox": [ + 281, + 217, + 330, + 232 + ], + "score": 1.0, + "content": "Abstract", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 243, + 469, + 438 + ], + "lines": [ + { + "bbox": [ + 142, + 242, + 469, + 255 + ], + "spans": [ + { + "bbox": [ + 142, + 242, + 469, + 255 + ], + "score": 1.0, + "content": "We propose a new “Poisson flow” generative model (PFGM) that maps a uniform", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 253, + 469, + 265 + ], + "spans": [ + { + "bbox": [ + 141, + 253, + 469, + 265 + ], + "score": 1.0, + "content": "distribution on a high-dimensional hemisphere into any data distribution. 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However, current deep", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 515, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 506, + 529 + ], + "score": 1.0, + "content": "generative models also have limitations, such as unstable training objectives (GANs [1, 12, 17]) and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "score": 1.0, + "content": "low sample quality (VAEs [21], normalizing flows [6]). New techniques [12, 24] are introduced", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 536, + 506, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 551 + ], + "score": 1.0, + "content": "to stablize the training of CNN-based or ViT-based GAN models. 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[33] proposes backward", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "score": 1.0, + "content": "ODE samplers (normalizing flow) that speed up the sampling process but these methods have not yet", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 581, + 289, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 289, + 594 + ], + "score": 1.0, + "content": "performed on par with the SDE counterparts.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28.5 + }, + { + "type": "text", + "bbox": [ + 107, + 597, + 505, + 696 + ], + "lines": [ + { + "bbox": [ + 106, + 597, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 506, + 610 + ], + "score": 1.0, + "content": "We present a new “Poisson flow” generative model (PFGM), exploiting a remarkable physics fact", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 609, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 183, + 621 + ], + "score": 1.0, + "content": "that generalizes to", + "type": "text" + }, + { + "bbox": [ + 183, + 609, + 194, + 619 + ], + "score": 0.77, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 609, + 505, + 621 + ], + "score": 1.0, + "content": "dimensions. As illustrated in Fig. 1(a), motion in a viscous fluid transforms", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 619, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 491, + 632 + ], + "score": 1.0, + "content": "any planar charge distribution into a uniform angular distribution. Specifically, we interpret", + "type": "text" + }, + { + "bbox": [ + 492, + 620, + 502, + 630 + ], + "score": 0.69, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 619, + 506, + 632 + ], + "score": 1.0, + "content": "-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 630, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 209, + 643 + ], + "score": 1.0, + "content": "dimensional data points", + "type": "text" + }, + { + "bbox": [ + 209, + 632, + 218, + 641 + ], + "score": 0.63, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 630, + 425, + 643 + ], + "score": 1.0, + "content": "(images, say) as positive electric charges in the", + "type": "text" + }, + { + "bbox": [ + 425, + 631, + 452, + 641 + ], + "score": 0.89, + "content": "z \\ = \\ 0", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 630, + 506, + 643 + ], + "score": 1.0, + "content": "plane of an", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 107, + 640, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 107, + 641, + 132, + 651 + ], + "score": 0.89, + "content": "N + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 640, + 505, + 655 + ], + "score": 1.0, + "content": "-dimensional space (see Fig. 1(a)) filled with a viscous liquid (say honey). A positive charge", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 651, + 506, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 127, + 665 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 653, + 149, + 662 + ], + "score": 0.88, + "content": "z > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 651, + 506, + 665 + ], + "score": 1.0, + "content": "will be repelled by the other charges and move in the direction of their repulsive force,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 663, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 320, + 676 + ], + "score": 1.0, + "content": "eventually crossing an imaginary hemisphere of radius", + "type": "text" + }, + { + "bbox": [ + 320, + 665, + 326, + 673 + ], + "score": 0.6, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 663, + 505, + 676 + ], + "score": 1.0, + "content": ". We show that, remarkably, if the the original", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 674, + 505, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 674, + 272, + 686 + ], + "score": 1.0, + "content": "charge distribution is let loose just above", + "type": "text" + }, + { + "bbox": [ + 272, + 675, + 294, + 684 + ], + "score": 0.9, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 674, + 505, + 686 + ], + "score": 1.0, + "content": ", this law of motion will cause a uniform distribution", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 685, + 307, + 697 + ], + "spans": [ + { + "bbox": [ + 106, + 685, + 254, + 697 + ], + "score": 1.0, + "content": "for their hemisphere crossings in the", + "type": "text" + }, + { + "bbox": [ + 254, + 686, + 283, + 695 + ], + "score": 0.87, + "content": "r \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 685, + 307, + 697 + ], + "score": 1.0, + "content": "limit.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 38 + } + ], + "page_idx": 0, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 120, + 704, + 194, + 714 + ], + "lines": [ + { + "bbox": [ + 119, + 702, + 196, + 716 + ], + "spans": [ + { + "bbox": [ + 119, + 702, + 196, + 716 + ], + "score": 1.0, + "content": "∗Equal Contribution.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 106, + 731, + 385, + 742 + ], + "lines": [ + { + "bbox": [ + 105, + 730, + 386, + 743 + ], + "spans": [ + { + "bbox": [ + 105, + 730, + 386, + 743 + ], + "score": 1.0, + "content": "36th Conference on Neural Information Processing Systems (NeurIPS 2022).", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 184, + 97, + 426, + 117 + ], + "lines": [ + { + "bbox": [ + 183, + 96, + 428, + 117 + ], + "spans": [ + { + "bbox": [ + 183, + 96, + 428, + 117 + ], + "score": 1.0, + "content": "Poisson Flow Generative Models", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 171, + 155, + 441, + 189 + ], + "lines": [ + { + "bbox": [ + 185, + 156, + 426, + 168 + ], + "spans": [ + { + "bbox": [ + 185, + 156, + 426, + 168 + ], + "score": 1.0, + "content": "Yilun Xu∗ , Ziming Liu∗ , Max Tegmark, Tommi Jaakkola", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 226, + 165, + 384, + 181 + ], + "spans": [ + { + "bbox": [ + 226, + 165, + 384, + 181 + ], + "score": 1.0, + "content": "Massachusetts Institute of Technology", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 171, + 178, + 441, + 190 + ], + "spans": [ + { + "bbox": [ + 171, + 178, + 441, + 190 + ], + "score": 1.0, + "content": "ylxu, zmliu, tegmark @mit.edu; tommi@csail.mit.edu", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2, + "bbox_fs": [ + 171, + 156, + 441, + 190 + ] + }, + { + "type": "title", + "bbox": [ + 283, + 218, + 328, + 231 + ], + "lines": [ + { + "bbox": [ + 281, + 217, + 330, + 232 + ], + "spans": [ + { + "bbox": [ + 281, + 217, + 330, + 232 + ], + "score": 1.0, + "content": "Abstract", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "text", + "bbox": [ + 143, + 243, + 469, + 438 + ], + "lines": [ + { + "bbox": [ + 142, + 242, + 469, + 255 + ], + "spans": [ + { + "bbox": [ + 142, + 242, + 469, + 255 + ], + "score": 1.0, + "content": "We propose a new “Poisson flow” generative model (PFGM) that maps a uniform", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 141, + 253, + 469, + 265 + ], + "spans": [ + { + "bbox": [ + 141, + 253, + 469, + 265 + ], + "score": 1.0, + "content": "distribution on a high-dimensional hemisphere into any data distribution. We", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 142, + 264, + 469, + 276 + ], + "spans": [ + { + "bbox": [ + 142, + 264, + 354, + 276 + ], + "score": 1.0, + "content": "interpret the data points as electrical charges on the", + "type": "text" + }, + { + "bbox": [ + 354, + 264, + 377, + 274 + ], + "score": 0.9, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 378, + 264, + 469, + 276 + ], + "score": 1.0, + "content": "hyperplane in a space", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 141, + 275, + 469, + 287 + ], + "spans": [ + { + "bbox": [ + 141, + 275, + 305, + 287 + ], + "score": 1.0, + "content": "augmented with an additional dimension", + "type": "text" + }, + { + "bbox": [ + 305, + 277, + 311, + 285 + ], + "score": 0.71, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 312, + 275, + 469, + 287 + ], + "score": 1.0, + "content": ", generating a high-dimensional electric", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 141, + 285, + 470, + 298 + ], + "spans": [ + { + "bbox": [ + 141, + 285, + 470, + 298 + ], + "score": 1.0, + "content": "field (the gradient of the solution to Poisson equation). We prove that if these", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 141, + 297, + 469, + 309 + ], + "spans": [ + { + "bbox": [ + 141, + 297, + 469, + 309 + ], + "score": 1.0, + "content": "charges flow upward along electric field lines, their initial distribution in the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 142, + 308, + 470, + 320 + ], + "spans": [ + { + "bbox": [ + 142, + 308, + 168, + 318 + ], + "score": 0.91, + "content": "z \\ = \\ 0", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 308, + 442, + 320 + ], + "score": 1.0, + "content": "plane transforms into a distribution on the hemisphere of radius", + "type": "text" + }, + { + "bbox": [ + 443, + 310, + 449, + 318 + ], + "score": 0.72, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 308, + 470, + 320 + ], + "score": 1.0, + "content": "that", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 141, + 318, + 470, + 331 + ], + "spans": [ + { + "bbox": [ + 141, + 318, + 245, + 331 + ], + "score": 1.0, + "content": "becomes uniform in the", + "type": "text" + }, + { + "bbox": [ + 246, + 320, + 280, + 329 + ], + "score": 0.88, + "content": "r \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 318, + 470, + 331 + ], + "score": 1.0, + "content": "limit. To learn the bijective transformation,", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 329, + 469, + 342 + ], + "spans": [ + { + "bbox": [ + 141, + 329, + 469, + 342 + ], + "score": 1.0, + "content": "we estimate the normalized field in the augmented space. For sampling, we", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 340, + 469, + 353 + ], + "spans": [ + { + "bbox": [ + 141, + 340, + 469, + 353 + ], + "score": 1.0, + "content": "devise a backward ODE that is anchored by the physically meaningful additional", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 142, + 352, + 469, + 363 + ], + "spans": [ + { + "bbox": [ + 142, + 352, + 428, + 363 + ], + "score": 1.0, + "content": "dimension: the samples hit the (unaugmented) data manifold when the", + "type": "text" + }, + { + "bbox": [ + 429, + 353, + 435, + 361 + ], + "score": 0.73, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 352, + 469, + 363 + ], + "score": 1.0, + "content": "reaches", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 362, + 470, + 375 + ], + "spans": [ + { + "bbox": [ + 141, + 362, + 470, + 375 + ], + "score": 1.0, + "content": "zero. Experimentally, PFGM achieves current state-of-the-art performance among", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 142, + 374, + 470, + 385 + ], + "spans": [ + { + "bbox": [ + 142, + 374, + 470, + 385 + ], + "score": 1.0, + "content": "the normalizing flow models on CIFAR-10, with an Inception score of 9.68 and a", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 384, + 470, + 396 + ], + "spans": [ + { + "bbox": [ + 141, + 384, + 470, + 396 + ], + "score": 1.0, + "content": "FID score of 2.35. It also performs on par with the state-of-the-art SDE approaches", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 395, + 470, + 407 + ], + "spans": [ + { + "bbox": [ + 141, + 395, + 202, + 407 + ], + "score": 1.0, + "content": "while offering", + "type": "text" + }, + { + "bbox": [ + 203, + 396, + 220, + 406 + ], + "score": 0.86, + "content": "1 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 220, + 395, + 231, + 407 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 232, + 396, + 249, + 406 + ], + "score": 0.87, + "content": "2 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 250, + 395, + 470, + 407 + ], + "score": 1.0, + "content": "acceleration on image generation tasks. Additionally,", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 405, + 470, + 419 + ], + "spans": [ + { + "bbox": [ + 141, + 405, + 470, + 419 + ], + "score": 1.0, + "content": "PFGM appears more tolerant of estimation errors on a weaker network architecture", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 415, + 471, + 430 + ], + "spans": [ + { + "bbox": [ + 141, + 415, + 471, + 430 + ], + "score": 1.0, + "content": "and robust to the step size in the Euler method. The code is available at https:", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 428, + 325, + 440 + ], + "spans": [ + { + "bbox": [ + 141, + 428, + 325, + 440 + ], + "score": 1.0, + "content": "//github.com/Newbeeer/poisson_flow.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 13.5, + "bbox_fs": [ + 141, + 242, + 471, + 440 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 458, + 190, + 472 + ], + "lines": [ + { + "bbox": [ + 105, + 457, + 192, + 474 + ], + "spans": [ + { + "bbox": [ + 105, + 457, + 192, + 474 + ], + "score": 1.0, + "content": "1 Introduction", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 107, + 483, + 505, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "spans": [ + { + "bbox": [ + 105, + 483, + 505, + 496 + ], + "score": 1.0, + "content": "Deep generative models are a prominent approach for data generation, and have been used to produce", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 494, + 505, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 494, + 505, + 506 + ], + "score": 1.0, + "content": "high quality samples in image [1], text [2] and audio [35], as well as improve semi-supervised", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 504, + 505, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 504, + 505, + 518 + ], + "score": 1.0, + "content": "learning [20], domain generalization [25] and imitation learning [15]. However, current deep", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 515, + 506, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 506, + 529 + ], + "score": 1.0, + "content": "generative models also have limitations, such as unstable training objectives (GANs [1, 12, 17]) and", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 505, + 540 + ], + "score": 1.0, + "content": "low sample quality (VAEs [21], normalizing flows [6]). New techniques [12, 24] are introduced", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 536, + 506, + 551 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 506, + 551 + ], + "score": 1.0, + "content": "to stablize the training of CNN-based or ViT-based GAN models. Although recent advances on", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 549, + 506, + 561 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 506, + 561 + ], + "score": 1.0, + "content": "diffusion [16] and scored-based models [33] achieve comparable sample quality to GAN’s without", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 559, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 559, + 505, + 572 + ], + "score": 1.0, + "content": "adversarial training, these models have a slow stochastic sampling process. [33] proposes backward", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 569, + 506, + 583 + ], + "score": 1.0, + "content": "ODE samplers (normalizing flow) that speed up the sampling process but these methods have not yet", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 581, + 289, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 289, + 594 + ], + "score": 1.0, + "content": "performed on par with the SDE counterparts.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 28.5, + "bbox_fs": [ + 105, + 483, + 506, + 594 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 597, + 505, + 696 + ], + "lines": [ + { + "bbox": [ + 106, + 597, + 506, + 610 + ], + "spans": [ + { + "bbox": [ + 106, + 597, + 506, + 610 + ], + "score": 1.0, + "content": "We present a new “Poisson flow” generative model (PFGM), exploiting a remarkable physics fact", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 609, + 505, + 621 + ], + "spans": [ + { + "bbox": [ + 106, + 609, + 183, + 621 + ], + "score": 1.0, + "content": "that generalizes to", + "type": "text" + }, + { + "bbox": [ + 183, + 609, + 194, + 619 + ], + "score": 0.77, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 609, + 505, + 621 + ], + "score": 1.0, + "content": "dimensions. As illustrated in Fig. 1(a), motion in a viscous fluid transforms", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 619, + 506, + 632 + ], + "spans": [ + { + "bbox": [ + 105, + 619, + 491, + 632 + ], + "score": 1.0, + "content": "any planar charge distribution into a uniform angular distribution. Specifically, we interpret", + "type": "text" + }, + { + "bbox": [ + 492, + 620, + 502, + 630 + ], + "score": 0.69, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 619, + 506, + 632 + ], + "score": 1.0, + "content": "-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 630, + 506, + 643 + ], + "spans": [ + { + "bbox": [ + 106, + 630, + 209, + 643 + ], + "score": 1.0, + "content": "dimensional data points", + "type": "text" + }, + { + "bbox": [ + 209, + 632, + 218, + 641 + ], + "score": 0.63, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 630, + 425, + 643 + ], + "score": 1.0, + "content": "(images, say) as positive electric charges in the", + "type": "text" + }, + { + "bbox": [ + 425, + 631, + 452, + 641 + ], + "score": 0.89, + "content": "z \\ = \\ 0", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 630, + 506, + 643 + ], + "score": 1.0, + "content": "plane of an", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 107, + 640, + 505, + 655 + ], + "spans": [ + { + "bbox": [ + 107, + 641, + 132, + 651 + ], + "score": 0.89, + "content": "N + 1", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 640, + 505, + 655 + ], + "score": 1.0, + "content": "-dimensional space (see Fig. 1(a)) filled with a viscous liquid (say honey). A positive charge", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 651, + 506, + 665 + ], + "spans": [ + { + "bbox": [ + 105, + 651, + 127, + 665 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 127, + 653, + 149, + 662 + ], + "score": 0.88, + "content": "z > 0", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 651, + 506, + 665 + ], + "score": 1.0, + "content": "will be repelled by the other charges and move in the direction of their repulsive force,", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 663, + 505, + 676 + ], + "spans": [ + { + "bbox": [ + 105, + 663, + 320, + 676 + ], + "score": 1.0, + "content": "eventually crossing an imaginary hemisphere of radius", + "type": "text" + }, + { + "bbox": [ + 320, + 665, + 326, + 673 + ], + "score": 0.6, + "content": "r", + "type": "inline_equation" + }, + { + "bbox": [ + 326, + 663, + 505, + 676 + ], + "score": 1.0, + "content": ". We show that, remarkably, if the the original", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 674, + 505, + 686 + ], + "spans": [ + { + "bbox": [ + 106, + 674, + 272, + 686 + ], + "score": 1.0, + "content": "charge distribution is let loose just above", + "type": "text" + }, + { + "bbox": [ + 272, + 675, + 294, + 684 + ], + "score": 0.9, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 674, + 505, + 686 + ], + "score": 1.0, + "content": ", this law of motion will cause a uniform distribution", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 685, + 307, + 697 + ], + "spans": [ + { + "bbox": [ + 106, + 685, + 254, + 697 + ], + "score": 1.0, + "content": "for their hemisphere crossings in the", + "type": "text" + }, + { + "bbox": [ + 254, + 686, + 283, + 695 + ], + "score": 0.87, + "content": "r \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 685, + 307, + 697 + ], + "score": 1.0, + "content": "limit.", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 597, + 506, + 697 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 105, + 67, + 491, + 214 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 105, + 67, + 491, + 214 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 105, + 67, + 491, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 67, + 491, + 214 + ], + "score": 0.97, + "type": "image", + "image_path": "54726ebf34e46087bef020e3ddcf1a0c1fce7fffed017e15273765115d92e791.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 105, + 67, + 491, + 116.0 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 105, + 116.0, + 491, + 165.0 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 105, + 165.0, + 491, + 214.0 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 224, + 505, + 257 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 224, + 505, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 505, + 236 + ], + "score": 1.0, + "content": "Figure 1: (a) 3D Poisson field trajectories for a heart-shaped distribution (b) The evolvements of a", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 506, + 248 + ], + "score": 1.0, + "content": "distribution (top) or an (augmented) sample (bottom) by the forward/backward ODEs pertained to", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 246, + 178, + 258 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 178, + 258 + ], + "score": 1.0, + "content": "the Poisson field.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 278, + 505, + 388 + ], + "lines": [ + { + "bbox": [ + 106, + 279, + 506, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 279, + 506, + 291 + ], + "score": 1.0, + "content": "Our Poisson flow generative process reverses the forward process: we generate a uniform distribution", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 289, + 505, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 408, + 302 + ], + "score": 1.0, + "content": "of negative charges on the hemisphere, then track their motion back to the", + "type": "text" + }, + { + "bbox": [ + 408, + 290, + 430, + 300 + ], + "score": 0.88, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 289, + 505, + 302 + ], + "score": 1.0, + "content": "plane, where they", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 300, + 505, + 312 + ], + "spans": [ + { + "bbox": [ + 106, + 300, + 505, + 312 + ], + "score": 1.0, + "content": "will be distributed as the data distribution. A Poisson flow can be viewed as a type of continuous", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "normalizing flows [4, 10, 33] in the sense that it continuously maps between an arbitrary distribution", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 322, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 331, + 335 + ], + "score": 1.0, + "content": "and an easily sampled one: in the previous works an", + "type": "text" + }, + { + "bbox": [ + 331, + 323, + 342, + 332 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 322, + 506, + 335 + ], + "score": 1.0, + "content": "-dimensional Gaussian and in PFGM a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 334, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 214, + 345 + ], + "score": 1.0, + "content": "uniform distribution on an", + "type": "text" + }, + { + "bbox": [ + 214, + 334, + 225, + 343 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 334, + 505, + 345 + ], + "score": 1.0, + "content": "-dimensional hemisphere. In practice, we implement the Poisson flow", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 344, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 357 + ], + "score": 1.0, + "content": "by solving a pair of forward/backward ordinary differential equations (ODEs) induced by the electric", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 222, + 368 + ], + "score": 1.0, + "content": "field (Fig. 1(b)) given by the", + "type": "text" + }, + { + "bbox": [ + 222, + 356, + 232, + 365 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "-dimensional version of Coulomb’s law (the gradient of the solution", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 366, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 378 + ], + "score": 1.0, + "content": "to the Poisson’s equation with the data as sources). We will interchangeably refer to this gradient as", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 377, + 419, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 390, + 389 + ], + "score": 1.0, + "content": "the Poisson field, since electric fields normally refer to the special case", + "type": "text" + }, + { + "bbox": [ + 390, + 377, + 415, + 387 + ], + "score": 0.89, + "content": "N = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 378, + 419, + 389 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 106, + 393, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 106, + 393, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 505, + 405 + ], + "score": 1.0, + "content": "The proposed generative model PFGM has a stable training objective and empirically outperforms", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 404, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 505, + 416 + ], + "score": 1.0, + "content": "previously state-of-the-art continuous flow methods [30, 33]. As a different iterative method, PFGM", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "offers two advantages compared to score-based methods [32, 33]. First, the ODE process of PFGM", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "achieves faster sampling speeds than the SDE samplers in [33]. while retaining comparable perfor-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "mance. Second, our backward ODE exhibits better generation performance than the reverse-time", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 447, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 460 + ], + "score": 1.0, + "content": "ODEs of VE/VP/sub-VP SDEs [33], as well as greater stability on a weaker architecture NSCNv2 [32].", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "score": 1.0, + "content": "The rationale for robustness is that the time variables in these ODE baselines are strongly correlated", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 468, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 483 + ], + "score": 1.0, + "content": "with the sample norms during training time, resulting in a less error-tolerant inference. In contrast,", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 480, + 448, + 492 + ], + "spans": [ + { + "bbox": [ + 106, + 480, + 448, + 492 + ], + "score": 1.0, + "content": "the tie between the anchored variable and the sample norm in PFGM is much weaker.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 496, + 505, + 606 + ], + "lines": [ + { + "bbox": [ + 106, + 497, + 505, + 509 + ], + "spans": [ + { + "bbox": [ + 106, + 497, + 505, + 509 + ], + "score": 1.0, + "content": "Experimentally, we show that PFGM achieves current state-of-the-art performance on CIFAR-10", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 506, + 506, + 521 + ], + "spans": [ + { + "bbox": [ + 105, + 506, + 382, + 521 + ], + "score": 1.0, + "content": "dataset in the normalizing flow family, with FID/Inception scores of", + "type": "text" + }, + { + "bbox": [ + 383, + 507, + 423, + 519 + ], + "score": 0.3, + "content": "2 . { \\bar { 4 } } 8 / 9 . 6 5", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 506, + 440, + 521 + ], + "score": 1.0, + "content": "(w/", + "type": "text" + }, + { + "bbox": [ + 441, + 508, + 483, + 519 + ], + "score": 0.27, + "content": "\\mathrm { { D D P M + + } }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 506, + 506, + 521 + ], + "score": 1.0, + "content": "[33])", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 519, + 505, + 531 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 123, + 531 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 123, + 519, + 164, + 531 + ], + "score": 0.51, + "content": "2 . 3 5 / 9 . 6 8", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 519, + 180, + 531 + ], + "score": 1.0, + "content": "(w/", + "type": "text" + }, + { + "bbox": [ + 181, + 519, + 222, + 529 + ], + "score": 0.66, + "content": "\\mathrm { { D D P M + + } }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 519, + 505, + 531 + ], + "score": 1.0, + "content": "deep [33]). It performs competitively with current state-of-the-art SDE", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 220, + 542 + ], + "score": 1.0, + "content": "samplers [33] and provides", + "type": "text" + }, + { + "bbox": [ + 221, + 530, + 238, + 540 + ], + "score": 0.87, + "content": "1 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 529, + 250, + 542 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 250, + 530, + 268, + 540 + ], + "score": 0.86, + "content": "2 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "speed up across datasets. Notably, the backward ODE in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 540, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 506, + 553 + ], + "score": 1.0, + "content": "PFGM is the only ODE-based sampler that can produce decent samples on its own on NCSNv2 [32],", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "score": 1.0, + "content": "while other ODE baselines fail without corrections. In addition, PFGM demonstrates the robustness to", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "spans": [ + { + "bbox": [ + 105, + 562, + 505, + 575 + ], + "score": 1.0, + "content": "the step size in the Euler method, with a varying number of function evaluations (NFE) ranging from", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 573, + 505, + 585 + ], + "score": 1.0, + "content": "10 to 100. We further showcase the utility of the invertible forward/backward ODEs of the Poisson", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 583, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 597 + ], + "score": 1.0, + "content": "field on likelihood evaluation and image manipulations, and its scalability to higher resolution images", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 595, + 260, + 607 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 185, + 607 + ], + "score": 1.0, + "content": "on LSUN bedroom", + "type": "text" + }, + { + "bbox": [ + 186, + 595, + 227, + 606 + ], + "score": 0.88, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 595, + 260, + 607 + ], + "score": 1.0, + "content": "dataset.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29.5 + }, + { + "type": "title", + "bbox": [ + 107, + 621, + 288, + 635 + ], + "lines": [ + { + "bbox": [ + 104, + 620, + 289, + 637 + ], + "spans": [ + { + "bbox": [ + 104, + 620, + 289, + 637 + ], + "score": 1.0, + "content": "2 Background and Related works", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 104, + 646, + 504, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 645, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 196, + 660 + ], + "score": 1.0, + "content": "Poisson equation Let", + "type": "text" + }, + { + "bbox": [ + 196, + 646, + 227, + 658 + ], + "score": 0.91, + "content": "\\mathbf { x } \\in \\mathbb { R } ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 645, + 246, + 660 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 246, + 646, + 309, + 659 + ], + "score": 0.91, + "content": "\\rho ( \\mathbf { x } ) : \\mathbb { R } ^ { N } \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 645, + 506, + 660 + ], + "score": 1.0, + "content": "be a source function. We assume that the source", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 657, + 408, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 236, + 671 + ], + "score": 1.0, + "content": "function has a compact support,", + "type": "text" + }, + { + "bbox": [ + 236, + 659, + 261, + 669 + ], + "score": 0.91, + "content": "\\rho \\in \\mathcal { C } ^ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 657, + 280, + 671 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 280, + 659, + 306, + 668 + ], + "score": 0.87, + "content": "N \\geq 3", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 657, + 408, + 671 + ], + "score": 1.0, + "content": ". The Poisson equation is", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + }, + { + "type": "interline_equation", + "bbox": [ + 268, + 674, + 342, + 689 + ], + "lines": [ + { + "bbox": [ + 268, + 674, + 342, + 689 + ], + "spans": [ + { + "bbox": [ + 268, + 674, + 342, + 689 + ], + "score": 0.92, + "content": "\\nabla ^ { 2 } \\varphi ( \\mathbf { x } ) = - \\rho ( \\mathbf { x } ) ,", + "type": "interline_equation", + "image_path": "5c3b5ccc1ca4ab2e1f96ee83cf1cfbe378716b7b8c4e5fe11bd0803b24e03f54.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 268, + 674, + 342, + 689 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 694, + 506, + 723 + ], + "lines": [ + { + "bbox": [ + 100, + 684, + 506, + 720 + ], + "spans": [ + { + "bbox": [ + 100, + 684, + 133, + 720 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 695, + 198, + 708 + ], + "score": 0.93, + "content": "\\varphi ( \\mathbf { x } ) : \\mathbb { R } ^ { N } \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 198, + 684, + 343, + 720 + ], + "score": 1.0, + "content": "is called the potential function, and", + "type": "text" + }, + { + "bbox": [ + 343, + 693, + 402, + 711 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\bigtriangledown ^ { 2 } \\equiv \\sum _ { i = 1 } ^ { N } \\frac { \\partial ^ { 2 } } { \\partial x _ { i } ^ { 2 } } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 684, + 506, + 720 + ], + "score": 1.0, + "content": "is the Laplacian operator.", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 709, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 293, + 724 + ], + "score": 1.0, + "content": "It is usually helpful to define the gradient field", + "type": "text" + }, + { + "bbox": [ + 293, + 711, + 361, + 723 + ], + "score": 0.93, + "content": "\\mathbf { E } ( \\mathbf { x } ) = - 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A Poisson flow can be viewed as a type of continuous", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 312, + 505, + 324 + ], + "spans": [ + { + "bbox": [ + 106, + 312, + 505, + 324 + ], + "score": 1.0, + "content": "normalizing flows [4, 10, 33] in the sense that it continuously maps between an arbitrary distribution", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 322, + 506, + 335 + ], + "spans": [ + { + "bbox": [ + 106, + 322, + 331, + 335 + ], + "score": 1.0, + "content": "and an easily sampled one: in the previous works an", + "type": "text" + }, + { + "bbox": [ + 331, + 323, + 342, + 332 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 322, + 506, + 335 + ], + "score": 1.0, + "content": "-dimensional Gaussian and in PFGM a", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 334, + 505, + 345 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 214, + 345 + ], + "score": 1.0, + "content": "uniform distribution on an", + "type": "text" + }, + { + "bbox": [ + 214, + 334, + 225, + 343 + ], + "score": 0.82, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 334, + 505, + 345 + ], + "score": 1.0, + "content": "-dimensional hemisphere. In practice, we implement the Poisson flow", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 344, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 344, + 505, + 357 + ], + "score": 1.0, + "content": "by solving a pair of forward/backward ordinary differential equations (ODEs) induced by the electric", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 222, + 368 + ], + "score": 1.0, + "content": "field (Fig. 1(b)) given by the", + "type": "text" + }, + { + "bbox": [ + 222, + 356, + 232, + 365 + ], + "score": 0.8, + "content": "N", + "type": "inline_equation" + }, + { + "bbox": [ + 233, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "-dimensional version of Coulomb’s law (the gradient of the solution", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 366, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 505, + 378 + ], + "score": 1.0, + "content": "to the Poisson’s equation with the data as sources). We will interchangeably refer to this gradient as", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 377, + 419, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 378, + 390, + 389 + ], + "score": 1.0, + "content": "the Poisson field, since electric fields normally refer to the special case", + "type": "text" + }, + { + "bbox": [ + 390, + 377, + 415, + 387 + ], + "score": 0.89, + "content": "N = 3", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 378, + 419, + 389 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 10.5, + "bbox_fs": [ + 105, + 279, + 506, + 389 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 393, + 505, + 492 + ], + "lines": [ + { + "bbox": [ + 106, + 393, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 393, + 505, + 405 + ], + "score": 1.0, + "content": "The proposed generative model PFGM has a stable training objective and empirically outperforms", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 404, + 505, + 416 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 505, + 416 + ], + "score": 1.0, + "content": "previously state-of-the-art continuous flow methods [30, 33]. As a different iterative method, PFGM", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "spans": [ + { + "bbox": [ + 106, + 415, + 505, + 428 + ], + "score": 1.0, + "content": "offers two advantages compared to score-based methods [32, 33]. First, the ODE process of PFGM", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "achieves faster sampling speeds than the SDE samplers in [33]. while retaining comparable perfor-", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "score": 1.0, + "content": "mance. Second, our backward ODE exhibits better generation performance than the reverse-time", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 447, + 506, + 460 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 460 + ], + "score": 1.0, + "content": "ODEs of VE/VP/sub-VP SDEs [33], as well as greater stability on a weaker architecture NSCNv2 [32].", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 458, + 506, + 471 + ], + "score": 1.0, + "content": "The rationale for robustness is that the time variables in these ODE baselines are strongly correlated", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 468, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 483 + ], + "score": 1.0, + "content": "with the sample norms during training time, resulting in a less error-tolerant inference. 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It performs competitively with current state-of-the-art SDE", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 529, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 106, + 529, + 220, + 542 + ], + "score": 1.0, + "content": "samplers [33] and provides", + "type": "text" + }, + { + "bbox": [ + 221, + 530, + 238, + 540 + ], + "score": 0.87, + "content": "1 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 239, + 529, + 250, + 542 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 250, + 530, + 268, + 540 + ], + "score": 0.86, + "content": "2 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 268, + 529, + 505, + 542 + ], + "score": 1.0, + "content": "speed up across datasets. Notably, the backward ODE in", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 540, + 506, + 553 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 506, + 553 + ], + "score": 1.0, + "content": "PFGM is the only ODE-based sampler that can produce decent samples on its own on NCSNv2 [32],", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 506, + 564 + ], + "score": 1.0, + "content": "while other ODE baselines fail without corrections. 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We further showcase the utility of the invertible forward/backward ODEs of the Poisson", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 583, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 597 + ], + "score": 1.0, + "content": "field on likelihood evaluation and image manipulations, and its scalability to higher resolution images", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 595, + 260, + 607 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 185, + 607 + ], + "score": 1.0, + "content": "on LSUN bedroom", + "type": "text" + }, + { + "bbox": [ + 186, + 595, + 227, + 606 + ], + "score": 0.88, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 595, + 260, + 607 + ], + "score": 1.0, + "content": "dataset.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 497, + 506, + 607 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 621, + 288, + 635 + ], + "lines": [ + { + "bbox": [ + 104, + 620, + 289, + 637 + ], + "spans": [ + { + "bbox": [ + 104, + 620, + 289, + 637 + ], + "score": 1.0, + "content": "2 Background and Related works", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 104, + 646, + 504, + 670 + ], + "lines": [ + { + "bbox": [ + 105, + 645, + 506, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 196, + 660 + ], + "score": 1.0, + "content": "Poisson equation Let", + "type": "text" + }, + { + "bbox": [ + 196, + 646, + 227, + 658 + ], + "score": 0.91, + "content": "\\mathbf { x } \\in \\mathbb { R } ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 645, + 246, + 660 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 246, + 646, + 309, + 659 + ], + "score": 0.91, + "content": "\\rho ( \\mathbf { x } ) : \\mathbb { R } ^ { N } \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 309, + 645, + 506, + 660 + ], + "score": 1.0, + "content": "be a source function. We assume that the source", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 657, + 408, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 657, + 236, + 671 + ], + "score": 1.0, + "content": "function has a compact support,", + "type": "text" + }, + { + "bbox": [ + 236, + 659, + 261, + 669 + ], + "score": 0.91, + "content": "\\rho \\in \\mathcal { C } ^ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 657, + 280, + 671 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 280, + 659, + 306, + 668 + ], + "score": 0.87, + "content": "N \\geq 3", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 657, + 408, + 671 + ], + "score": 1.0, + "content": ". 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\\nabla \\varphi ( \\mathbf { x } ) = - \\int \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } ) \\rho ( \\mathbf { y } ) d \\mathbf { y } , \\quad \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } ) = - \\frac { 1 } { S _ { N - 1 } ( 1 ) } \\frac { \\mathbf { x } - \\mathbf { y } } { \\left\\| \\mathbf { x } - \\mathbf { y } \\right\\| ^ { N } } .", + "type": "interline_equation", + "image_path": "7587c330e6a462720f1d2f5150eb625f3de241f9392ee669c1f0bbdf0314c543.jpg" + } + ] + } + ], + "index": 11, + "virtual_lines": [ + { + "bbox": [ + 135, + 203, + 476, + 229 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 233, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 106, + 233, + 505, + 246 + ], + "spans": [ + { + "bbox": [ + 106, + 233, + 227, + 246 + ], + "score": 1.0, + "content": "Qualitatively, the Poisson field", + "type": "text" + }, + { + "bbox": [ + 227, + 234, + 250, + 246 + ], + "score": 0.9, + "content": "\\mathbf { E } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 233, + 415, + 246 + ], + "score": 1.0, + "content": "points away from sources, or equivalently", + "type": "text" + }, + { + "bbox": [ + 416, + 234, + 444, + 245 + ], + "score": 0.91, + "content": "- \\mathbf { E } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 445, + 233, + 505, + 246 + ], + "score": 1.0, + "content": "points towards", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 104, + 244, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 104, + 244, + 400, + 258 + ], + "score": 1.0, + "content": "sources, as illustrated in Fig. 1. It is straightforward to check that when", + "type": "text" + }, + { + "bbox": [ + 401, + 246, + 471, + 257 + ], + "score": 0.89, + "content": "\\rho ( { \\bf x } ) \\delta ( { \\bf x - y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 244, + 506, + 258 + ], + "score": 1.0, + "content": ", we get", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 255, + 506, + 269 + ], + "spans": [ + { + "bbox": [ + 107, + 256, + 177, + 268 + ], + "score": 0.93, + "content": "\\varphi ( \\mathbf x ) G ( \\mathbf x , \\mathbf y )", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 255, + 198, + 269 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 198, + 256, + 288, + 268 + ], + "score": 0.93, + "content": "\\mathbf { E } ( \\mathbf { x } ) - \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 255, + 367, + 269 + ], + "score": 1.0, + "content": ". This implies that", + "type": "text" + }, + { + "bbox": [ + 367, + 256, + 401, + 268 + ], + "score": 0.93, + "content": "G ( \\mathbf { x } , \\mathbf { y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 255, + 420, + 269 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 421, + 257, + 474, + 268 + ], + "score": 0.91, + "content": "- \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } )", + "type": "inline_equation" + }, + { + "bbox": [ + 474, + 255, + 506, + 269 + ], + "score": 1.0, + "content": "can be", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 265, + 507, + 282 + ], + "spans": [ + { + "bbox": [ + 104, + 265, + 507, + 282 + ], + "score": 1.0, + "content": "interpreted as the potential function and the gradient field generated by a unit point source, e.g.,", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 278, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 278, + 215, + 291 + ], + "score": 1.0, + "content": "a point charge, located at", + "type": "text" + }, + { + "bbox": [ + 216, + 280, + 223, + 289 + ], + "score": 0.46, + "content": "\\mathbf { y }", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 278, + 258, + 291 + ], + "score": 1.0, + "content": ". When", + "type": "text" + }, + { + "bbox": [ + 258, + 278, + 279, + 290 + ], + "score": 0.92, + "content": "\\rho ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 278, + 505, + 291 + ], + "score": 1.0, + "content": "takes general forms but has bounded support, simple", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 104, + 289, + 506, + 304 + ], + "spans": [ + { + "bbox": [ + 104, + 289, + 191, + 304 + ], + "score": 1.0, + "content": "asymptotics exist for", + "type": "text" + }, + { + "bbox": [ + 191, + 290, + 236, + 302 + ], + "score": 0.92, + "content": "\\left\\| \\mathbf { x } \\right\\| \\gg \\left\\| \\mathbf { y } \\right\\|", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 289, + 320, + 304 + ], + "score": 1.0, + "content": ". To the lowest order,", + "type": "text" + }, + { + "bbox": [ + 320, + 289, + 459, + 302 + ], + "score": 0.9, + "content": "\\mathbf { E ( x ) } = \\nabla _ { \\mathbf { x } } G ( \\mathbf { x } , \\mathbf { y } ) | _ { \\mathbf { y } = \\mathbf { 0 } } \\sim \\mathbf { x } / \\| \\mathbf { x } \\| ^ { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 289, + 506, + 304 + ], + "score": 1.0, + "content": "behaves as", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 104, + 300, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 104, + 300, + 284, + 314 + ], + "score": 1.0, + "content": "if it were generated by a unit point source at", + "type": "text" + }, + { + "bbox": [ + 284, + 301, + 307, + 312 + ], + "score": 0.9, + "content": "\\mathbf y = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 300, + 506, + 314 + ], + "score": 1.0, + "content": ". In physics, the power law decay is considered to", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 312, + 319, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 319, + 325 + ], + "score": 1.0, + "content": "be long-range (compared to exponential decay) [11].", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 106, + 327, + 505, + 419 + ], + "lines": [ + { + "bbox": [ + 106, + 328, + 505, + 339 + ], + "spans": [ + { + "bbox": [ + 106, + 328, + 505, + 339 + ], + "score": 1.0, + "content": "Particle dynamics in a Poisson field The Poisson field immediately defines a flow model, where the", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 338, + 506, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 354, + 352 + ], + "score": 1.0, + "content": "probability distribution evolves according to the gradient flow", + "type": "text" + }, + { + "bbox": [ + 354, + 339, + 483, + 351 + ], + "score": 0.92, + "content": "\\partial p _ { t } ( \\mathbf { x } ) / \\partial t = - \\nabla \\cdot ( p _ { t } ( \\mathbf { x } ) \\mathbf { E } ( \\mathbf { x } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 338, + 506, + 352 + ], + "score": 1.0, + "content": ". The", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "score": 1.0, + "content": "gradient flow is a special case of the Fokker-Planck equation [28], where the diffusion coefficient is", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 360, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 104, + 360, + 234, + 374 + ], + "score": 1.0, + "content": "zero. Intuitively we can think of", + "type": "text" + }, + { + "bbox": [ + 234, + 361, + 258, + 373 + ], + "score": 0.92, + "content": "p _ { t } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 360, + 506, + 374 + ], + "score": 1.0, + "content": "as represented by a population of particles. 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For", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 543, + 506, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 543, + 506, + 556 + ], + "score": 1.0, + "content": "sampling, they directly integrate the learned invertiable mapping over time. Another work [33] unifies", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 554, + 505, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 505, + 567 + ], + "score": 1.0, + "content": "the scored-based model [31, 32] and diffusion model [16] into a general diffusion process, and uses", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 564, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 506, + 578 + ], + "score": 1.0, + "content": "the reverse-time ODE of the diffusion process for sampling. 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The", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 506, + 363 + ], + "score": 1.0, + "content": "gradient flow is a special case of the Fokker-Planck equation [28], where the diffusion coefficient is", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 360, + 506, + 374 + ], + "spans": [ + { + "bbox": [ + 104, + 360, + 234, + 374 + ], + "score": 1.0, + "content": "zero. Intuitively we can think of", + "type": "text" + }, + { + "bbox": [ + 234, + 361, + 258, + 373 + ], + "score": 0.92, + "content": "p _ { t } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 360, + 506, + 374 + ], + "score": 1.0, + "content": "as represented by a population of particles. 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We", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 306, + 507, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 184, + 322 + ], + "score": 1.0, + "content": "may set the source", + "type": "text" + }, + { + "bbox": [ + 185, + 307, + 259, + 320 + ], + "score": 0.91, + "content": "\\rho ( \\mathbf { x } ) = p ( \\mathbf { x } ) \\in \\mathcal { C } ^ { 0 \\ }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 306, + 426, + 322 + ], + "score": 1.0, + "content": "4 and compute the resulting gradient field", + "type": "text" + }, + { + "bbox": [ + 427, + 308, + 450, + 320 + ], + "score": 0.89, + "content": "\\mathbf { E } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 306, + 507, + 322 + ], + "score": 1.0, + "content": "from Eq. (3).", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 318, + 506, + 332 + ], + "spans": [ + { + "bbox": [ + 106, + 318, + 131, + 332 + ], + "score": 1.0, + "content": "Since", + "type": "text" + }, + { + "bbox": [ + 131, + 319, + 160, + 331 + ], + "score": 0.92, + "content": "- \\mathbf { E } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 161, + 318, + 335, + 332 + ], + "score": 1.0, + "content": "points towards sources, the backward ODE", + "type": "text" + }, + { + "bbox": [ + 335, + 319, + 399, + 331 + ], + "score": 0.93, + "content": "{ d { \\bf x } } / { d t } = - { \\bf E } ( { \\bf x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 318, + 506, + 332 + ], + "score": 1.0, + "content": "will take samples close to", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 329, + 506, + 343 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 482, + 343 + ], + "score": 1.0, + "content": "the sources. One may naively hope that the backward ODE is a generative model that recovers", + "type": "text" + }, + { + "bbox": [ + 482, + 330, + 502, + 342 + ], + "score": 0.92, + "content": "p ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 329, + 506, + 343 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 341, + 506, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 341, + 506, + 353 + ], + "score": 1.0, + "content": "Unfortunately, the backward ODE has the problem of mode collapse. We illustrate this phenomenon", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 351, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 306, + 365 + ], + "score": 1.0, + "content": "with a 2D uniform disk. The reverse Poisson field", + "type": "text" + }, + { + "bbox": [ + 307, + 352, + 336, + 363 + ], + "score": 0.92, + "content": "- \\mathbf { E } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 336, + 351, + 379, + 365 + ], + "score": 1.0, + "content": "on the 2D", + "type": "text" + }, + { + "bbox": [ + 380, + 352, + 404, + 363 + ], + "score": 0.9, + "content": "( x , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 404, + 351, + 506, + 365 + ], + "score": 1.0, + "content": "-plane points towards the", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 363, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 176, + 375 + ], + "score": 1.0, + "content": "center of the disk", + "type": "text" + }, + { + "bbox": [ + 177, + 363, + 186, + 373 + ], + "score": 0.73, + "content": "O", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 363, + 469, + 375 + ], + "score": 1.0, + "content": "(Fig. 2(a) left), so all particle trajectories (blue lines) will eventually hit", + "type": "text" + }, + { + "bbox": [ + 469, + 363, + 478, + 372 + ], + "score": 0.74, + "content": "O", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 363, + 505, + 375 + ], + "score": 1.0, + "content": ". If we", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 373, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 253, + 386 + ], + "score": 1.0, + "content": "instead add an additional dimension", + "type": "text" + }, + { + "bbox": [ + 253, + 375, + 260, + 383 + ], + "score": 0.73, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 373, + 506, + 386 + ], + "score": 1.0, + "content": "(Fig. 2(a) right), particles can hit different points on the disk", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 384, + 279, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 279, + 396 + ], + "score": 1.0, + "content": "and faithfully recover the data distribution.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 107, + 399, + 505, + 468 + ], + "lines": [ + { + "bbox": [ + 105, + 399, + 507, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 328, + 414 + ], + "score": 1.0, + "content": "Consequently, instead of solving the Poisson equation", + "type": "text" + }, + { + "bbox": [ + 329, + 400, + 398, + 412 + ], + "score": 0.91, + "content": "\\nabla ^ { 2 } \\varphi ( \\mathbf { x } ) = - p ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 399, + 507, + 414 + ], + "score": 1.0, + "content": "in the original data space,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 411, + 507, + 425 + ], + "spans": [ + { + "bbox": [ + 104, + 411, + 321, + 425 + ], + "score": 1.0, + "content": "we solve the Poisson equation in an augmented space", + "type": "text" + }, + { + "bbox": [ + 321, + 412, + 394, + 424 + ], + "score": 0.91, + "content": "\\tilde { \\mathbf { x } } = ( \\mathbf { x } , z ) \\in \\mathbb { R } ^ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 411, + 507, + 425 + ], + "score": 1.0, + "content": "with an additional variable", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 424, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 107, + 424, + 129, + 434 + ], + "score": 0.87, + "content": "z \\in \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 424, + 255, + 437 + ], + "score": 1.0, + "content": ". We augment the training data", + "type": "text" + }, + { + "bbox": [ + 255, + 424, + 263, + 434 + ], + "score": 0.71, + "content": "\\tilde { \\mathbf { x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 264, + 424, + 376, + 437 + ], + "score": 1.0, + "content": "in the new space by setting", + "type": "text" + }, + { + "bbox": [ + 376, + 425, + 398, + 434 + ], + "score": 0.88, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 424, + 438, + 437 + ], + "score": 1.0, + "content": "such that", + "type": "text" + }, + { + "bbox": [ + 438, + 424, + 479, + 435 + ], + "score": 0.92, + "content": "\\tilde { \\mathbf { x } } = ( \\mathbf { x } , 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 424, + 506, + 437 + ], + "score": 1.0, + "content": ". As a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 349, + 447 + ], + "score": 1.0, + "content": "consequence, the data distribution in the augmented space is", + "type": "text" + }, + { + "bbox": [ + 349, + 435, + 419, + 447 + ], + "score": 0.93, + "content": "\\tilde { p } ( \\tilde { \\mathbf { x } } ) = p ( \\mathbf { x } ) \\delta ( z )", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 434, + 449, + 447 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 450, + 435, + 456, + 444 + ], + "score": 0.82, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "is the Dirac", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 444, + 504, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 433, + 459 + ], + "score": 1.0, + "content": "delta function. By Eq. (3), the Poisson field by solving the new Poisson equation", + "type": "text" + }, + { + "bbox": [ + 434, + 445, + 504, + 457 + ], + "score": 0.93, + "content": "\\nabla ^ { 2 } \\varphi ( \\tilde { \\mathbf { x } } ) = - \\tilde { p } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 455, + 200, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 200, + 469 + ], + "score": 1.0, + "content": "has an analytical form:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5 + }, + { + "type": "interline_equation", + "bbox": [ + 177, + 473, + 434, + 500 + ], + "lines": [ + { + "bbox": [ + 177, + 473, + 434, + 500 + ], + "spans": [ + { + "bbox": [ + 177, + 473, + 434, + 500 + ], + "score": 0.92, + "content": "\\forall \\tilde { { \\mathbf { x } } } \\in \\mathbb { R } ^ { N + 1 } , \\mathbf { E } ( \\tilde { { \\mathbf { x } } } ) = - \\nabla \\varphi ( \\tilde { { \\mathbf { x } } } ) = \\frac { 1 } { S _ { N } ( 1 ) } \\int \\frac { \\tilde { { \\mathbf { x } } } - \\tilde { { \\mathbf { y } } } } { \\left\\| \\tilde { { \\mathbf { x } } } - \\tilde { { \\mathbf { y } } } \\right\\| ^ { N + 1 } } \\tilde { p } ( \\tilde { { \\mathbf { y } } } ) d \\tilde { { \\mathbf { y } } }", + "type": "interline_equation", + "image_path": "f56f7ed322ed6d07de15ab2cec692248f6cf98d936a9d732fd2c626117ea7697.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 177, + 473, + 434, + 482.0 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 177, + 482.0, + 434, + 491.0 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 177, + 491.0, + 434, + 500.0 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 594 + ], + "lines": [ + { + "bbox": [ + 106, + 504, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 374, + 517 + ], + "score": 1.0, + "content": "The associated forward/backward ODEs of the Poisson field are", + "type": "text" + }, + { + "bbox": [ + 374, + 504, + 502, + 517 + ], + "score": 0.92, + "content": "d \\tilde { \\mathbf { x } } / d t = \\mathbf { E } ( \\tilde { \\mathbf { x } } ) , d \\tilde { \\mathbf { x } } / d t = - \\mathbf { E } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 505, + 506, + 517 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 516, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 417, + 527 + ], + "score": 1.0, + "content": "Intuitively, theses ODEs uniquely define trajectories of particles between the", + "type": "text" + }, + { + "bbox": [ + 418, + 517, + 439, + 526 + ], + "score": 0.88, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 516, + 505, + 527 + ], + "score": 1.0, + "content": "hyperplane and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "score": 1.0, + "content": "an enclosing hemisphere (cf. Fig. 1(a)). In the following theorem, we show that the backward", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "ODE defines a transformation between the uniform distribution on an infinite hemisphere and the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 175, + 561 + ], + "score": 1.0, + "content": "data distribution", + "type": "text" + }, + { + "bbox": [ + 176, + 549, + 196, + 560 + ], + "score": 0.91, + "content": "\\tilde { p } ( \\tilde { { \\mathbf x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 549, + 224, + 561 + ], + "score": 1.0, + "content": "in the", + "type": "text" + }, + { + "bbox": [ + 224, + 549, + 247, + 559 + ], + "score": 0.9, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "plane. We present the formal proof to Appendix A, illustrated", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 559, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 436, + 572 + ], + "score": 1.0, + "content": "by Fig. 2(b). The proof is based on the idea that when the radius of hemisphere", + "type": "text" + }, + { + "bbox": [ + 436, + 561, + 466, + 570 + ], + "score": 0.88, + "content": "r \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 559, + 505, + 572 + ], + "score": 1.0, + "content": ", the data", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 569, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 104, + 569, + 154, + 583 + ], + "score": 1.0, + "content": "distribution", + "type": "text" + }, + { + "bbox": [ + 154, + 570, + 174, + 582 + ], + "score": 0.91, + "content": "\\tilde { p } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 569, + 506, + 583 + ], + "score": 1.0, + "content": "can be effectively viewed as a delta distribution at origin. Consequently, the Poisson", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 581, + 493, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 251, + 595 + ], + "score": 1.0, + "content": "field points in the radial direction at", + "type": "text" + }, + { + "bbox": [ + 251, + 583, + 280, + 592 + ], + "score": 0.86, + "content": "r \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 581, + 351, + 595 + ], + "score": 1.0, + "content": ", perpendicular to", + "type": "text" + }, + { + "bbox": [ + 352, + 581, + 379, + 594 + ], + "score": 0.92, + "content": "S _ { N } ^ { + } ( r )", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 581, + 493, + 595 + ], + "score": 1.0, + "content": "(Green arrows in Fig. 2(b)).", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30.5 + }, + { + "type": "text", + "bbox": [ + 106, + 596, + 506, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 457, + 609 + ], + "score": 1.0, + "content": "Theorem 1. Suppose particles are sampled from a uniform distribution on the upper", + "type": "text" + }, + { + "bbox": [ + 457, + 596, + 483, + 608 + ], + "score": 0.82, + "content": "( z > 0 ,", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 595, + 506, + 609 + ], + "score": 1.0, + "content": "half", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 605, + 504, + 622 + ], + "spans": [ + { + "bbox": [ + 104, + 605, + 350, + 622 + ], + "score": 1.0, + "content": "of the sphere of radius r and evolved by the backward ODE", + "type": "text" + }, + { + "bbox": [ + 351, + 607, + 401, + 621 + ], + "score": 0.85, + "content": "\\begin{array} { r } { \\frac { d \\tilde { \\mathbf { x } } } { d t } = - \\mathbf { E } \\big ( \\tilde { \\mathbf { x } } \\big ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 605, + 482, + 622 + ], + "score": 1.0, + "content": "until they reach the", + "type": "text" + }, + { + "bbox": [ + 482, + 609, + 504, + 618 + ], + "score": 0.88, + "content": "z = 0", + "type": "inline_equation" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 620, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 620, + 247, + 632 + ], + "score": 1.0, + "content": "hyperplane, where the Poisson field", + "type": "text" + }, + { + "bbox": [ + 248, + 620, + 271, + 632 + ], + "score": 0.86, + "content": "\\mathbf { E } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 620, + 376, + 632 + ], + "score": 1.0, + "content": "is generated by the source", + "type": "text" + }, + { + "bbox": [ + 377, + 621, + 397, + 632 + ], + "score": 0.9, + "content": "\\tilde { p } ( \\tilde { { \\mathbf x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 620, + 426, + 632 + ], + "score": 1.0, + "content": ". 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Left (no augmentation, 2D): all particles collapse to the disk center. Right (augmentation, 3D):", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 104, + 226, + 506, + 239 + ], + "spans": [ + { + "bbox": [ + 104, + 226, + 506, + 239 + ], + "score": 1.0, + "content": "particles hit different points on the disk. (b) Proof idea of Theorem 1. 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We", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 306, + 507, + 322 + ], + "spans": [ + { + "bbox": [ + 105, + 306, + 184, + 322 + ], + "score": 1.0, + "content": "may set the source", + "type": "text" + }, + { + "bbox": [ + 185, + 307, + 259, + 320 + ], + "score": 0.91, + "content": "\\rho ( \\mathbf { x } ) = p ( \\mathbf { x } ) \\in \\mathcal { C } ^ { 0 \\ }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 306, + 426, + 322 + ], + "score": 1.0, + "content": "4 and compute the resulting gradient field", + "type": "text" + }, + { + "bbox": [ + 427, + 308, + 450, + 320 + ], + "score": 0.89, + "content": "\\mathbf { E } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 450, + 306, + 507, + 322 + ], + "score": 1.0, + "content": "from Eq. 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If we", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 373, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 373, + 253, + 386 + ], + "score": 1.0, + "content": "instead add an additional dimension", + "type": "text" + }, + { + "bbox": [ + 253, + 375, + 260, + 383 + ], + "score": 0.73, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 261, + 373, + 506, + 386 + ], + "score": 1.0, + "content": "(Fig. 2(a) right), particles can hit different points on the disk", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 384, + 279, + 396 + ], + "spans": [ + { + "bbox": [ + 106, + 384, + 279, + 396 + ], + "score": 1.0, + "content": "and faithfully recover the data distribution.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 294, + 507, + 396 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 399, + 505, + 468 + ], + "lines": [ + { + "bbox": [ + 105, + 399, + 507, + 414 + ], + "spans": [ + { + "bbox": [ + 105, + 399, + 328, + 414 + ], + "score": 1.0, + "content": "Consequently, instead of solving the Poisson equation", + "type": "text" + }, + { + "bbox": [ + 329, + 400, + 398, + 412 + ], + "score": 0.91, + "content": "\\nabla ^ { 2 } \\varphi ( \\mathbf { x } ) = - p ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 399, + 507, + 414 + ], + "score": 1.0, + "content": "in the original data space,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 104, + 411, + 507, + 425 + ], + "spans": [ + { + "bbox": [ + 104, + 411, + 321, + 425 + ], + "score": 1.0, + "content": "we solve the Poisson equation in an augmented space", + "type": "text" + }, + { + "bbox": [ + 321, + 412, + 394, + 424 + ], + "score": 0.91, + "content": "\\tilde { \\mathbf { x } } = ( \\mathbf { x } , z ) \\in \\mathbb { R } ^ { N + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 411, + 507, + 425 + ], + "score": 1.0, + "content": "with an additional variable", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 107, + 424, + 506, + 437 + ], + "spans": [ + { + "bbox": [ + 107, + 424, + 129, + 434 + ], + "score": 0.87, + "content": "z \\in \\mathbb { R }", + "type": "inline_equation" + }, + { + "bbox": [ + 129, + 424, + 255, + 437 + ], + "score": 1.0, + "content": ". 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As a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 434, + 505, + 447 + ], + "spans": [ + { + "bbox": [ + 105, + 434, + 349, + 447 + ], + "score": 1.0, + "content": "consequence, the data distribution in the augmented space is", + "type": "text" + }, + { + "bbox": [ + 349, + 435, + 419, + 447 + ], + "score": 0.93, + "content": "\\tilde { p } ( \\tilde { \\mathbf { x } } ) = p ( \\mathbf { x } ) \\delta ( z )", + "type": "inline_equation" + }, + { + "bbox": [ + 419, + 434, + 449, + 447 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 450, + 435, + 456, + 444 + ], + "score": 0.82, + "content": "\\delta", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 434, + 505, + 447 + ], + "score": 1.0, + "content": "is the Dirac", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 444, + 504, + 459 + ], + "spans": [ + { + "bbox": [ + 105, + 444, + 433, + 459 + ], + "score": 1.0, + "content": "delta function. By Eq. (3), the Poisson field by solving the new Poisson equation", + "type": "text" + }, + { + "bbox": [ + 434, + 445, + 504, + 457 + ], + "score": 0.93, + "content": "\\nabla ^ { 2 } \\varphi ( \\tilde { \\mathbf { x } } ) = - \\tilde { p } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 455, + 200, + 469 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 200, + 469 + ], + "score": 1.0, + "content": "has an analytical form:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 20.5, + "bbox_fs": [ + 104, + 399, + 507, + 469 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 177, + 473, + 434, + 500 + ], + "lines": [ + { + "bbox": [ + 177, + 473, + 434, + 500 + ], + "spans": [ + { + "bbox": [ + 177, + 473, + 434, + 500 + ], + "score": 0.92, + "content": "\\forall \\tilde { { \\mathbf { x } } } \\in \\mathbb { R } ^ { N + 1 } , \\mathbf { E } ( \\tilde { { \\mathbf { x } } } ) = - \\nabla \\varphi ( \\tilde { { \\mathbf { x } } } ) = \\frac { 1 } { S _ { N } ( 1 ) } \\int \\frac { \\tilde { { \\mathbf { x } } } - \\tilde { { \\mathbf { y } } } } { \\left\\| \\tilde { { \\mathbf { x } } } - \\tilde { { \\mathbf { y } } } \\right\\| ^ { N + 1 } } \\tilde { p } ( \\tilde { { \\mathbf { y } } } ) d \\tilde { { \\mathbf { y } } }", + "type": "interline_equation", + "image_path": "f56f7ed322ed6d07de15ab2cec692248f6cf98d936a9d732fd2c626117ea7697.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 177, + 473, + 434, + 482.0 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 177, + 482.0, + 434, + 491.0 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 177, + 491.0, + 434, + 500.0 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 504, + 505, + 594 + ], + "lines": [ + { + "bbox": [ + 106, + 504, + 506, + 517 + ], + "spans": [ + { + "bbox": [ + 106, + 505, + 374, + 517 + ], + "score": 1.0, + "content": "The associated forward/backward ODEs of the Poisson field are", + "type": "text" + }, + { + "bbox": [ + 374, + 504, + 502, + 517 + ], + "score": 0.92, + "content": "d \\tilde { \\mathbf { x } } / d t = \\mathbf { E } ( \\tilde { \\mathbf { x } } ) , d \\tilde { \\mathbf { x } } / d t = - \\mathbf { E } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 505, + 506, + 517 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 516, + 505, + 527 + ], + "spans": [ + { + "bbox": [ + 106, + 516, + 417, + 527 + ], + "score": 1.0, + "content": "Intuitively, theses ODEs uniquely define trajectories of particles between the", + "type": "text" + }, + { + "bbox": [ + 418, + 517, + 439, + 526 + ], + "score": 0.88, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 440, + 516, + 505, + 527 + ], + "score": 1.0, + "content": "hyperplane and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 527, + 506, + 539 + ], + "score": 1.0, + "content": "an enclosing hemisphere (cf. Fig. 1(a)). In the following theorem, we show that the backward", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "spans": [ + { + "bbox": [ + 105, + 537, + 505, + 550 + ], + "score": 1.0, + "content": "ODE defines a transformation between the uniform distribution on an infinite hemisphere and the", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 549, + 505, + 561 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 175, + 561 + ], + "score": 1.0, + "content": "data distribution", + "type": "text" + }, + { + "bbox": [ + 176, + 549, + 196, + 560 + ], + "score": 0.91, + "content": "\\tilde { p } ( \\tilde { { \\mathbf x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 549, + 224, + 561 + ], + "score": 1.0, + "content": "in the", + "type": "text" + }, + { + "bbox": [ + 224, + 549, + 247, + 559 + ], + "score": 0.9, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 549, + 505, + 561 + ], + "score": 1.0, + "content": "plane. We present the formal proof to Appendix A, illustrated", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 559, + 505, + 572 + ], + "spans": [ + { + "bbox": [ + 106, + 559, + 436, + 572 + ], + "score": 1.0, + "content": "by Fig. 2(b). The proof is based on the idea that when the radius of hemisphere", + "type": "text" + }, + { + "bbox": [ + 436, + 561, + 466, + 570 + ], + "score": 0.88, + "content": "r \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 466, + 559, + 505, + 572 + ], + "score": 1.0, + "content": ", the data", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 104, + 569, + 506, + 583 + ], + "spans": [ + { + "bbox": [ + 104, + 569, + 154, + 583 + ], + "score": 1.0, + "content": "distribution", + "type": "text" + }, + { + "bbox": [ + 154, + 570, + 174, + 582 + ], + "score": 0.91, + "content": "\\tilde { p } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 175, + 569, + 506, + 583 + ], + "score": 1.0, + "content": "can be effectively viewed as a delta distribution at origin. Consequently, the Poisson", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 581, + 493, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 251, + 595 + ], + "score": 1.0, + "content": "field points in the radial direction at", + "type": "text" + }, + { + "bbox": [ + 251, + 583, + 280, + 592 + ], + "score": 0.86, + "content": "r \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 280, + 581, + 351, + 595 + ], + "score": 1.0, + "content": ", perpendicular to", + "type": "text" + }, + { + "bbox": [ + 352, + 581, + 379, + 594 + ], + "score": 0.92, + "content": "S _ { N } ^ { + } ( r )", + "type": "inline_equation" + }, + { + "bbox": [ + 380, + 581, + 493, + 595 + ], + "score": 1.0, + "content": "(Green arrows in Fig. 2(b)).", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 30.5, + "bbox_fs": [ + 104, + 504, + 506, + 595 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 596, + 506, + 654 + ], + "lines": [ + { + "bbox": [ + 105, + 595, + 506, + 609 + ], + "spans": [ + { + "bbox": [ + 105, + 595, + 457, + 609 + ], + "score": 1.0, + "content": "Theorem 1. Suppose particles are sampled from a uniform distribution on the upper", + "type": "text" + }, + { + "bbox": [ + 457, + 596, + 483, + 608 + ], + "score": 0.82, + "content": "( z > 0 ,", + "type": "inline_equation" + }, + { + "bbox": [ + 484, + 595, + 506, + 609 + ], + "score": 1.0, + "content": "half", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 605, + 504, + 622 + ], + "spans": [ + { + "bbox": [ + 104, + 605, + 350, + 622 + ], + "score": 1.0, + "content": "of the sphere of radius r and evolved by the backward ODE", + "type": "text" + }, + { + "bbox": [ + 351, + 607, + 401, + 621 + ], + "score": 0.85, + "content": "\\begin{array} { r } { \\frac { d \\tilde { \\mathbf { x } } } { d t } = - \\mathbf { E } \\big ( \\tilde { \\mathbf { x } } \\big ) } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 401, + 605, + 482, + 622 + ], + "score": 1.0, + "content": "until they reach the", + "type": "text" + }, + { + "bbox": [ + 482, + 609, + 504, + 618 + ], + "score": 0.88, + "content": "z = 0", + "type": "inline_equation" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 620, + 505, + 632 + ], + "spans": [ + { + "bbox": [ + 106, + 620, + 247, + 632 + ], + "score": 1.0, + "content": "hyperplane, where the Poisson field", + "type": "text" + }, + { + "bbox": [ + 248, + 620, + 271, + 632 + ], + "score": 0.86, + "content": "\\mathbf { E } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 620, + 376, + 632 + ], + "score": 1.0, + "content": "is generated by the source", + "type": "text" + }, + { + "bbox": [ + 377, + 621, + 397, + 632 + ], + "score": 0.9, + "content": "\\tilde { p } ( \\tilde { { \\mathbf x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 620, + 426, + 632 + ], + "score": 1.0, + "content": ". In the", + "type": "text" + }, + { + "bbox": [ + 427, + 621, + 456, + 631 + ], + "score": 0.87, + "content": "r \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 456, + 620, + 505, + 632 + ], + "score": 1.0, + "content": "limit, under", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 631, + 507, + 645 + ], + "spans": [ + { + "bbox": [ + 105, + 631, + 275, + 645 + ], + "score": 1.0, + "content": "some mild conditions detailed in Appendix", + "type": "text" + }, + { + "bbox": [ + 276, + 632, + 283, + 641 + ], + "score": 0.43, + "content": "\\cdot", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 631, + 465, + 645 + ], + "score": 1.0, + "content": ", this process generates a particle distribution", + "type": "text" + }, + { + "bbox": [ + 465, + 631, + 486, + 643 + ], + "score": 0.91, + "content": "\\tilde { p } ( \\tilde { { \\mathbf x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 631, + 507, + 645 + ], + "score": 1.0, + "content": ", i.e.,", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 642, + 282, + 654 + ], + "spans": [ + { + "bbox": [ + 105, + 642, + 162, + 654 + ], + "score": 1.0, + "content": "a distribution", + "type": "text" + }, + { + "bbox": [ + 163, + 642, + 183, + 654 + ], + "score": 0.91, + "content": "p ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 184, + 642, + 210, + 654 + ], + "score": 1.0, + "content": "in the", + "type": "text" + }, + { + "bbox": [ + 210, + 642, + 232, + 652 + ], + "score": 0.88, + "content": "z = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 642, + 282, + 654 + ], + "score": 1.0, + "content": "hyperplane.", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37, + "bbox_fs": [ + 104, + 595, + 507, + 654 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 660, + 503, + 683 + ], + "lines": [ + { + "bbox": [ + 106, + 660, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 106, + 660, + 419, + 673 + ], + "score": 1.0, + "content": "Proof sketch. Suppose the flux of the backward ODE connects a solid angle", + "type": "text" + }, + { + "bbox": [ + 420, + 661, + 433, + 671 + ], + "score": 0.75, + "content": "d \\Omega", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 660, + 451, + 673 + ], + "score": 1.0, + "content": "(on", + "type": "text" + }, + { + "bbox": [ + 451, + 660, + 483, + 672 + ], + "score": 0.9, + "content": "S _ { N } ^ { + } ( r ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 660, + 505, + 673 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 671, + 505, + 685 + ], + "spans": [ + { + "bbox": [ + 105, + 671, + 137, + 685 + ], + "score": 1.0, + "content": "an area", + "type": "text" + }, + { + "bbox": [ + 138, + 672, + 152, + 682 + ], + "score": 0.77, + "content": "d A", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 671, + 169, + 685 + ], + "score": 1.0, + "content": "(on", + "type": "text" + }, + { + "bbox": [ + 169, + 671, + 217, + 684 + ], + "score": 0.75, + "content": "\\operatorname { s u p p } ( \\tilde { p } ( \\tilde { \\mathbf { x } } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 218, + 671, + 396, + 685 + ], + "score": 1.0, + "content": ". According to Gauss’s law, the outflow flux", + "type": "text" + }, + { + "bbox": [ + 397, + 672, + 476, + 683 + ], + "score": 0.91, + "content": "d \\Phi _ { o u t } = d \\Omega / S _ { N } \\bar { ( 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 477, + 671, + 505, + 685 + ], + "score": 1.0, + "content": "on the", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 72, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 345, + 85 + ], + "score": 1.0, + "content": "hemisphere (Green arrows in Fig. 2(b)) equals the inflow flux", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 346, + 73, + 419, + 84 + ], + "score": 0.91, + "content": "d \\Phi _ { i n } = p ( { \\bf x } ) d A / 2", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 420, + 72, + 432, + 85 + ], + "score": 1.0, + "content": "on", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 432, + 73, + 482, + 85 + ], + "score": 0.79, + "content": "\\operatorname { s u p p } ( \\tilde { p } ( \\tilde { \\mathbf { x } } ) )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 482, + 72, + 506, + 85 + ], + "score": 1.0, + "content": "(Red", + "type": "text", + "cross_page": true + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 191, + 96 + ], + "score": 1.0, + "content": "arrows in Fig. 2(b)).", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 191, + 84, + 248, + 95 + ], + "score": 0.92, + "content": "d \\Phi _ { i n } = d \\Phi _ { o u t }", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 248, + 83, + 272, + 96 + ], + "score": 1.0, + "content": "gives", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 273, + 83, + 403, + 95 + ], + "score": 0.91, + "content": "d \\Omega / d A = p ( \\mathbf { x } ) S _ { N } ( 1 ) / 2 \\propto \\tilde { p } ( \\mathbf { \\tilde { x } } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 403, + 83, + 507, + 96 + ], + "score": 1.0, + "content": ". Together, by change-of-", + "type": "text", + "cross_page": true + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 93, + 506, + 108 + ], + "spans": [ + { + "bbox": [ + 105, + 93, + 321, + 108 + ], + "score": 1.0, + "content": "variable, we conclude that the final distribution in the", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 321, + 96, + 343, + 105 + ], + "score": 0.87, + "content": "z = 0", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 343, + 93, + 399, + 108 + ], + "score": 1.0, + "content": "hyperplane is", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 400, + 95, + 421, + 106 + ], + "score": 0.91, + "content": "p ( \\mathbf { x } )", + "type": "inline_equation", + "cross_page": true + }, + { + "bbox": [ + 421, + 93, + 425, + 108 + ], + "score": 1.0, + "content": ".", + "type": "text", + "cross_page": true + }, + { + "bbox": [ + 494, + 95, + 506, + 105 + ], + "score": 1.0, + "content": "□", + "type": "text", + "cross_page": true + } + ], + "index": 2 + } + ], + "index": 40.5, + "bbox_fs": [ + 105, + 660, + 505, + 685 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 106 + ], + "lines": [ + { + "bbox": [ + 105, + 72, + 506, + 85 + ], + "spans": [ + { + "bbox": [ + 105, + 72, + 345, + 85 + ], + "score": 1.0, + "content": "hemisphere (Green arrows in Fig. 2(b)) equals the inflow flux", + "type": "text" + }, + { + "bbox": [ + 346, + 73, + 419, + 84 + ], + "score": 0.91, + "content": "d \\Phi _ { i n } = p ( { \\bf x } ) d A / 2", + "type": "inline_equation" + }, + { + "bbox": [ + 420, + 72, + 432, + 85 + ], + "score": 1.0, + "content": "on", + "type": "text" + }, + { + "bbox": [ + 432, + 73, + 482, + 85 + ], + "score": 0.79, + "content": "\\operatorname { s u p p } ( \\tilde { p } ( \\tilde { \\mathbf { x } } ) )", + "type": "inline_equation" + }, + { + "bbox": [ + 482, + 72, + 506, + 85 + ], + "score": 1.0, + "content": "(Red", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 105, + 83, + 507, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 83, + 191, + 96 + ], + "score": 1.0, + "content": "arrows in Fig. 2(b)).", + "type": "text" + }, + { + "bbox": [ + 191, + 84, + 248, + 95 + ], + "score": 0.92, + "content": "d \\Phi _ { i n } = d \\Phi _ { o u t }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 83, + 272, + 96 + ], + "score": 1.0, + "content": "gives", + "type": "text" + }, + { + "bbox": [ + 273, + 83, + 403, + 95 + ], + "score": 0.91, + "content": "d \\Omega / d A = p ( \\mathbf { x } ) S _ { N } ( 1 ) / 2 \\propto \\tilde { p } ( \\mathbf { \\tilde { x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 83, + 507, + 96 + ], + "score": 1.0, + "content": ". 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We defer the formal proof and technical assumptions", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 141, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 505, + 155 + ], + "score": 1.0, + "content": "of the theorem to Appendix A. 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The rationale behind the design is that points farther away from the data", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "score": 1.0, + "content": "support play a less important role in generative modeling, sharing a similar spirit with the choice of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 460, + 284, + 472 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 284, + 472 + ], + "score": 1.0, + "content": "noisy scales in score-based models [32, 33].", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24 + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 100, + 469, + 506, + 499 + ], + "spans": [ + { + "bbox": [ + 100, + 469, + 221, + 499 + ], + "score": 1.0, + "content": "In practice, we sample the p", + "type": "text" + }, + { + "bbox": [ + 232, + 469, + 243, + 499 + ], + "score": 1.0, + "content": "ts", + "type": "text" + }, + { + "bbox": [ + 272, + 469, + 369, + 499 + ], + "score": 1.0, + "content": "urbing a mini-batch data", + "type": "text" + }, + { + "bbox": [ + 369, + 475, + 418, + 491 + ], + "score": 0.94, + "content": "B = \\{ \\mathbf { x } _ { i } \\} _ { i = 1 } ^ { | B | }", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 469, + 506, + 499 + ], + "score": 1.0, + "content": "each iteration. We", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 222, + 489, + 433, + 502 + ], + "spans": [ + { + "bbox": [ + 222, + 491, + 232, + 500 + ], + "score": 0.74, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 489, + 272, + 501 + ], + "score": 0.94, + "content": "[ 0 , M ]", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 489, + 421, + 502 + ], + "score": 1.0, + "content": "=for each datapoint. We select a large", + "type": "text" + }, + { + "bbox": [ + 421, + 490, + 433, + 500 + ], + "score": 0.8, + "content": "M", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 499, + 504, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 490, + 513 + ], + "score": 1.0, + "content": "300) to ensure the perturbed points can reach a large enough hemisphere. 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We defer the formal proof and technical assumptions", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 141, + 505, + 155 + ], + "spans": [ + { + "bbox": [ + 105, + 141, + 505, + 155 + ], + "score": 1.0, + "content": "of the theorem to Appendix A. The property allows generative modeling by following the Poisson", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 151, + 212, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 151, + 138, + 166 + ], + "score": 1.0, + "content": "flow of", + "type": "text" + }, + { + "bbox": [ + 138, + 152, + 208, + 165 + ], + "score": 0.93, + "content": "\\nabla ^ { 2 } \\varphi ( \\tilde { \\mathbf { x } } ) = - \\tilde { p } ( \\tilde { \\mathbf { x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 208, + 151, + 212, + 166 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 4.5, + "bbox_fs": [ + 104, + 119, + 505, + 166 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 178, + 294, + 190 + ], + "lines": [ + { + "bbox": [ + 106, + 178, + 295, + 191 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 295, + 191 + ], + "score": 1.0, + "content": "3.2 Learning the normalized Poisson Field", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 198, + 504, + 221 + ], + "lines": [ + { + "bbox": [ + 105, + 196, + 506, + 214 + ], + "spans": [ + { + "bbox": [ + 105, + 196, + 216, + 214 + ], + "score": 1.0, + "content": "Given a set of training data", + "type": "text" + }, + { + "bbox": [ + 217, + 198, + 266, + 211 + ], + "score": 0.92, + "content": "\\mathcal { D } = \\{ \\mathbf { x } _ { i } \\} _ { i = 1 } ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 196, + 425, + 214 + ], + "score": 1.0, + "content": "i.i.d sampled from the data distribution", + "type": "text" + }, + { + "bbox": [ + 425, + 198, + 446, + 210 + ], + "score": 0.91, + "content": "p ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 446, + 196, + 506, + 214 + ], + "score": 1.0, + "content": ", we define the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 209, + 340, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 209, + 340, + 222 + ], + "score": 1.0, + "content": "=empirical version of the Poisson field (Eq. (4)) as follows:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 196, + 506, + 222 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 244, + 227, + 366, + 255 + ], + "lines": [ + { + "bbox": [ + 244, + 227, + 366, + 255 + ], + "spans": [ + { + "bbox": [ + 244, + 227, + 366, + 255 + ], + "score": 0.94, + "content": "\\hat { \\bf E } ( \\tilde { \\bf x } ) = c ( \\tilde { \\bf x } ) \\sum _ { i = 1 } ^ { n } \\frac { \\tilde { \\bf x } - \\tilde { \\bf x } _ { i } } { \\| \\tilde { \\bf x } - \\tilde { \\bf x } _ { i } \\| ^ { N + 1 } }", + "type": "interline_equation", + "image_path": "8de60ed6b47f961bff7ed279b4d1c104d1dd296b9f1066034aae261490653d35.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 244, + 227, + 366, + 255 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 261, + 505, + 351 + ], + "lines": [ + { + "bbox": [ + 104, + 260, + 504, + 276 + ], + "spans": [ + { + "bbox": [ + 104, + 260, + 276, + 276 + ], + "score": 1.0, + "content": "where the gradient field is calculated on", + "type": "text" + }, + { + "bbox": [ + 276, + 264, + 284, + 271 + ], + "score": 0.54, + "content": "n", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 260, + 379, + 276 + ], + "score": 1.0, + "content": "augmented datapoints", + "type": "text" + }, + { + "bbox": [ + 379, + 261, + 451, + 274 + ], + "score": 0.94, + "content": "\\{ \\tilde { \\mathbf { x } } _ { i } = ( \\mathbf { x } _ { i } , 0 ) \\} _ { i = 1 } ^ { n }", + "type": "inline_equation" + }, + { + "bbox": [ + 451, + 260, + 474, + 276 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 474, + 261, + 504, + 273 + ], + "score": 0.93, + "content": "c ( \\tilde { \\mathbf { x } } ) =", + "type": "inline_equation" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 272, + 508, + 291 + ], + "spans": [ + { + "bbox": [ + 106, + 273, + 179, + 289 + ], + "score": 0.93, + "content": "\\textstyle 1 / \\sum _ { i = 1 } ^ { n } { \\frac { 1 } { \\left\\| \\tilde { \\mathbf { x } } - \\tilde { \\mathbf { x } } _ { i } \\right\\| ^ { N + 1 } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 179, + 272, + 508, + 291 + ], + "score": 1.0, + "content": "is the multiplier for numerical stability. We further normalize the field to re-", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 287, + 506, + 302 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 316, + 302 + ], + "score": 1.0, + "content": "solve the variations in the magnitude of the norm", + "type": "text" + }, + { + "bbox": [ + 316, + 287, + 362, + 301 + ], + "score": 0.71, + "content": "\\Vert \\hat { \\textbf { E } } ( \\tilde { \\textbf { x } } ) \\ \\Vert _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 363, + 289, + 506, + 302 + ], + "score": 1.0, + "content": ", and fit the neural network to the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 282, + 315 + ], + "score": 1.0, + "content": "more amenable negative normalized field", + "type": "text" + }, + { + "bbox": [ + 282, + 301, + 411, + 315 + ], + "score": 0.88, + "content": "\\mathbf { v } ( \\tilde { \\mathbf { x } } ) = - \\sqrt { N } \\hat { \\mathbf { E } } ( \\tilde { \\mathbf { x } } ) / \\| \\hat { \\mathbf { E } } ( \\tilde { \\mathbf { x } } ) \\| _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 302, + 506, + 315 + ], + "score": 1.0, + "content": ". 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We denote the empirical field calculated on batch data", + "type": "text" + }, + { + "bbox": [ + 396, + 326, + 405, + 336 + ], + "score": 0.81, + "content": "\\boldsymbol { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 405, + 326, + 419, + 338 + ], + "score": 1.0, + "content": "by", + "type": "text" + }, + { + "bbox": [ + 419, + 324, + 434, + 337 + ], + "score": 0.9, + "content": "\\hat { \\mathbf { E } } _ { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 326, + 505, + 338 + ], + "score": 1.0, + "content": "and the negative", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 336, + 331, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 185, + 352 + ], + "score": 1.0, + "content": "normalized field as", + "type": "text" + }, + { + "bbox": [ + 185, + 336, + 328, + 351 + ], + "score": 0.91, + "content": "\\mathbf { v } _ { B } ( \\tilde { \\mathbf { x } } ) = - \\sqrt { N } \\hat { \\mathbf { E } } _ { B } ( \\tilde { \\mathbf { x } } ) / \\| \\hat { \\mathbf { E } } _ { B } ( \\tilde { \\mathbf { x } } ) \\| _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 329, + 336, + 331, + 352 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14, + "bbox_fs": [ + 104, + 260, + 508, + 352 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 355, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 106, + 354, + 505, + 368 + ], + "spans": [ + { + "bbox": [ + 106, + 354, + 505, + 368 + ], + "score": 1.0, + "content": "Similar to the scored-based models, we sample points inside the hemisphere by perturbing the", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 366, + 505, + 378 + ], + "spans": [ + { + "bbox": [ + 106, + 366, + 309, + 378 + ], + "score": 1.0, + "content": "augmented training data. 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The upper limit", + "type": "text" + }, + { + "bbox": [ + 491, + 416, + 502, + 425 + ], + "score": 0.77, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 502, + 414, + 507, + 429 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 106, + 426, + 185, + 439 + ], + "score": 1.0, + "content": "standard deviation", + "type": "text" + }, + { + "bbox": [ + 185, + 429, + 192, + 437 + ], + "score": 0.79, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 426, + 211, + 439 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 212, + 429, + 219, + 437 + ], + "score": 0.78, + "content": "\\tau", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 426, + 360, + 439 + ], + "score": 1.0, + "content": "are hyper-parameters. With fixed", + "type": "text" + }, + { + "bbox": [ + 361, + 429, + 366, + 437 + ], + "score": 0.74, + "content": "\\epsilon", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 426, + 385, + 439 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 385, + 429, + 393, + 437 + ], + "score": 0.62, + "content": "\\mathbf { u }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 426, + 506, + 439 + ], + "score": 1.0, + "content": ", the added noise increases", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 437, + 506, + 450 + ], + "spans": [ + { + "bbox": [ + 105, + 437, + 186, + 450 + ], + "score": 1.0, + "content": "exponentially with", + "type": "text" + }, + { + "bbox": [ + 186, + 439, + 196, + 447 + ], + "score": 0.77, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 437, + 506, + 450 + ], + "score": 1.0, + "content": ". The rationale behind the design is that points farther away from the data", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 506, + 461 + ], + "score": 1.0, + "content": "support play a less important role in generative modeling, sharing a similar spirit with the choice of", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 460, + 284, + 472 + ], + "spans": [ + { + "bbox": [ + 106, + 460, + 284, + 472 + ], + "score": 1.0, + "content": "noisy scales in score-based models [32, 33].", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 24, + "bbox_fs": [ + 105, + 414, + 507, + 472 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 100, + 469, + 506, + 499 + ], + "spans": [ + { + "bbox": [ + 100, + 469, + 221, + 499 + ], + "score": 1.0, + "content": "In practice, we sample the p", + "type": "text" + }, + { + "bbox": [ + 232, + 469, + 243, + 499 + ], + "score": 1.0, + "content": "ts", + "type": "text" + }, + { + "bbox": [ + 272, + 469, + 369, + 499 + ], + "score": 1.0, + "content": "urbing a mini-batch data", + "type": "text" + }, + { + "bbox": [ + 369, + 475, + 418, + 491 + ], + "score": 0.94, + "content": "B = \\{ \\mathbf { x } _ { i } \\} _ { i = 1 } ^ { | B | }", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 469, + 506, + 499 + ], + "score": 1.0, + "content": "each iteration. We", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 222, + 489, + 433, + 502 + ], + "spans": [ + { + "bbox": [ + 222, + 491, + 232, + 500 + ], + "score": 0.74, + "content": "m", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 489, + 272, + 501 + ], + "score": 0.94, + "content": "[ 0 , M ]", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 489, + 421, + 502 + ], + "score": 1.0, + "content": "=for each datapoint. We select a large", + "type": "text" + }, + { + "bbox": [ + 421, + 490, + 433, + 500 + ], + "score": 0.8, + "content": "M", + "type": "inline_equation" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 499, + 504, + 513 + ], + "spans": [ + { + "bbox": [ + 105, + 499, + 490, + 513 + ], + "score": 1.0, + "content": "300) to ensure the perturbed points can reach a large enough hemisphere. We use a larger batch", + "type": "text" + }, + { + "bbox": [ + 490, + 500, + 504, + 511 + ], + "score": 0.86, + "content": "\\boldsymbol { B } _ { L }", + "type": "inline_equation" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 509, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 505, + 524 + ], + "score": 1.0, + "content": "for the estimation of normalized field since the empirical normalized field is biased, which empirically", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 103, + 518, + 504, + 544 + ], + "spans": [ + { + "bbox": [ + 103, + 518, + 345, + 544 + ], + "score": 1.0, + "content": "gives better results. Denoting the set of perturbed points as", + "type": "text" + }, + { + "bbox": [ + 345, + 522, + 376, + 537 + ], + "score": 0.93, + "content": "\\{ \\tilde { \\mathbf { y } } _ { i } \\} _ { i = 1 } ^ { | B | }", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 518, + 493, + 544 + ], + "score": 1.0, + "content": ", we train the neural network", + "type": "text" + }, + { + "bbox": [ + 493, + 525, + 504, + 536 + ], + "score": 0.85, + "content": "f _ { \\theta }", + "type": "inline_equation" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 535, + 470, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 535, + 470, + 549 + ], + "score": 1.0, + "content": "=on these points to estimate the negative normalized field by minimizing the following loss:", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 29.5, + "bbox_fs": [ + 100, + 469, + 506, + 549 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 228, + 553, + 383, + 585 + ], + "lines": [ + { + "bbox": [ + 228, + 553, + 383, + 585 + ], + "spans": [ + { + "bbox": [ + 228, + 553, + 383, + 585 + ], + "score": 0.95, + "content": "\\mathcal { L } ( \\boldsymbol { \\theta } ) = \\frac { 1 } { | \\mathcal { B } | } \\sum _ { i = 1 } ^ { | \\mathcal { B } | } \\parallel f _ { \\boldsymbol { \\theta } } \\big ( \\tilde { \\mathbf { y } } _ { i } \\big ) - \\mathbf { v } _ { \\mathcal { B } _ { L } } \\big ( \\tilde { \\mathbf { y } } _ { i } \\big ) \\parallel _ { 2 } ^ { 2 }", + "type": "interline_equation", + "image_path": "267bd119595567558b0a74a4a1831aacb48d9aad01458f9169bbd40b572ce3f8.jpg" + } + ] + } + ], + "index": 33.5, + "virtual_lines": [ + { + "bbox": [ + 228, + 553, + 383, + 569.0 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 228, + 569.0, + 383, + 585.0 + ], + "spans": [], + "index": 34 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 589, + 503, + 613 + ], + "lines": [ + { + "bbox": [ + 106, + 589, + 505, + 602 + ], + "spans": [ + { + "bbox": [ + 106, + 589, + 470, + 602 + ], + "score": 1.0, + "content": "We summarize the training process in Algorithm 1. In practice, we add a small constant", + "type": "text" + }, + { + "bbox": [ + 471, + 592, + 478, + 601 + ], + "score": 0.84, + "content": "\\gamma", + "type": "inline_equation" + }, + { + "bbox": [ + 479, + 589, + 505, + 602 + ], + "score": 1.0, + "content": "to the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 600, + 475, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 600, + 408, + 613 + ], + "score": 1.0, + "content": "denominator of the normalized field to overcome the numerical issue when", + "type": "text" + }, + { + "bbox": [ + 408, + 601, + 471, + 613 + ], + "score": 0.93, + "content": "\\exists i , \\left\\| \\tilde { \\mathbf { x } } - \\tilde { \\mathbf { x } } _ { i } \\right\\| \\approx 0", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 600, + 475, + 613 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 35.5, + "bbox_fs": [ + 106, + 589, + 505, + 613 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 625, + 362, + 638 + ], + "lines": [ + { + "bbox": [ + 105, + 626, + 361, + 639 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 361, + 639 + ], + "score": 1.0, + "content": "3.3 Backward ODE anchored by the additional dimension", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 37 + }, + { + "type": "text", + "bbox": [ + 106, + 646, + 505, + 690 + ], + "lines": [ + { + "bbox": [ + 106, + 646, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 646, + 257, + 658 + ], + "score": 1.0, + "content": "After estimating the normalized field", + "type": "text" + }, + { + "bbox": [ + 258, + 648, + 265, + 657 + ], + "score": 0.38, + "content": "\\mathbf { v }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 646, + 505, + 658 + ], + "score": 1.0, + "content": ", we can sample from the data distribution by the backward", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 656, + 506, + 671 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 130, + 671 + ], + "score": 1.0, + "content": "ODE", + "type": "text" + }, + { + "bbox": [ + 130, + 657, + 182, + 669 + ], + "score": 0.91, + "content": "d { \\tilde { \\mathbf { x } } } = \\mathbf { v } ( { \\tilde { \\mathbf { x } } } ) d t", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 656, + 506, + 671 + ], + "score": 1.0, + "content": ". Nevertheless, the boundary condition of the above ODE is unclear: the starting", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 668, + 505, + 681 + ], + "spans": [ + { + "bbox": [ + 105, + 668, + 180, + 681 + ], + "score": 1.0, + "content": "and terminal time", + "type": "text" + }, + { + "bbox": [ + 180, + 670, + 185, + 678 + ], + "score": 0.74, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 668, + 505, + 681 + ], + "score": 1.0, + "content": "of the ODE are both unknown. To remedy the issue, we propose an equivalent", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 678, + 375, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 207, + 691 + ], + "score": 1.0, + "content": "backward ODE in which", + "type": "text" + }, + { + "bbox": [ + 208, + 681, + 216, + 689 + ], + "score": 0.66, + "content": "\\mathbf { x }", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 678, + 364, + 691 + ], + "score": 1.0, + "content": "evolves with the augmented variable", + "type": "text" + }, + { + "bbox": [ + 364, + 681, + 370, + 689 + ], + "score": 0.76, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 370, + 678, + 375, + 691 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 39.5, + "bbox_fs": [ + 105, + 646, + 506, + 691 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 207, + 696, + 405, + 721 + ], + "lines": [ + { + "bbox": [ + 207, + 696, + 405, + 721 + ], + "spans": [ + { + "bbox": [ + 207, + 696, + 405, + 721 + ], + "score": 0.92, + "content": "d ( \\mathbf { x } , z ) = ( \\frac { d \\mathbf { x } } { d t } \\frac { d t } { d z } d z , d z ) = ( \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { \\mathbf { x } } \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { z } ^ { - 1 } , 1 ) d z", + "type": "interline_equation", + "image_path": "6a077a3c370ba6f955394864da8dd52fa6d1d64d41dacb58fe358b5d5b9cba4a.jpg" + } + ] + } + ], + "index": 42, + "virtual_lines": [ + { + "bbox": [ + 207, + 696, + 405, + 721 + ], + "spans": [], + "index": 42 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 109, + 73, + 316, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 71, + 318, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 71, + 318, + 85 + ], + "score": 1.0, + "content": "Algorithm 1 Learning the normalized Poisson Field", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "table", + "bbox": [ + 114, + 87, + 496, + 202 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 114, + 87, + 496, + 202 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 87, + 496, + 202 + ], + "spans": [ + { + "bbox": [ + 114, + 87, + 496, + 202 + ], + "score": 0.795, + "html": "
Input: Training iteration T,Initial model fe,dataset D,constant y,learning rate n. fort=1...Tdo
from BL |B|
Simulate the ODE: {yi = perturb(xi) Ji=1 Calculate the normalized field by BL: VB (yi)=-√NEB,(yi)/(ll EB (yi) Il2 +γ), ∀i
|l f(yi)-vBL(yi)l² i1
Update the model parameter: 0 = 0 - nVL(0)
end for
return fe
", + "type": "table", + "image_path": "7fb9bff56e4d77cca1acec77cbc61c1cdab6b3654cb5169569ef79914e39aaec.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 114, + 87, + 496, + 125.33333333333334 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 114, + 125.33333333333334, + 496, + 163.66666666666669 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 114, + 163.66666666666669, + 496, + 202.00000000000003 + ], + "spans": [], + "index": 3 + } + ] + } + ], + "index": 2 + }, + { + "type": "title", + "bbox": [ + 107, + 216, + 205, + 227 + ], + "lines": [ + { + "bbox": [ + 105, + 214, + 205, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 214, + 190, + 230 + ], + "score": 1.0, + "content": "Algorithm 2 perturb", + "type": "text" + }, + { + "bbox": [ + 190, + 216, + 205, + 228 + ], + "score": 0.31, + "content": "\\cdot", + "type": "inline_equation" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "table", + "bbox": [ + 112, + 231, + 388, + 291 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 112, + 231, + 388, + 291 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 112, + 231, + 388, + 291 + ], + "spans": [ + { + "bbox": [ + 112, + 231, + 388, + 291 + ], + "score": 0.617, + "html": "
Sample the power m ~U[0,M] Sample the initial noise (∈x,∈z)~N(O,σ²I(N+1)x(N+1))
Uniformly sample the vector from the unit ball u ~U(SN(1))
Construct training point y = x+ | x I (1 + 𝑇)mu, z = |∈zl(1 + T)m
return y = (y, z)
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The new backward ODE also defines", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 475, + 506, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 252, + 488 + ], + "score": 1.0, + "content": "a bijective transformation between", + "type": "text" + }, + { + "bbox": [ + 252, + 475, + 288, + 487 + ], + "score": 0.92, + "content": "p _ { \\mathrm { p r i o r } } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 475, + 402, + 488 + ], + "score": 1.0, + "content": "on the infinite hyperplane", + "type": "text" + }, + { + "bbox": [ + 403, + 476, + 447, + 486 + ], + "score": 0.86, + "content": "z _ { \\mathrm { m a x } } \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 448, + 475, + 506, + 488 + ], + "score": 1.0, + "content": ") and the data", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 102, + 485, + 506, + 519 + ], + "spans": [ + { + "bbox": [ + 102, + 485, + 154, + 519 + ], + "score": 1.0, + "content": "distribution the norm (r", + "type": "text" + }, + { + "bbox": [ + 155, + 486, + 176, + 498 + ], + "score": 0.91, + "content": "\\tilde { p } ( \\tilde { { \\mathbf x } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 485, + 272, + 519 + ], + "score": 1.0, + "content": ", analogous to Theorem ) from the distribution:", + "type": "text" + }, + { + "bbox": [ + 379, + 487, + 414, + 498 + ], + "score": 0.91, + "content": "p _ { \\mathrm { p r i o r } } ( \\mathbf { x } )", + "type": "inline_equation" + }, + { + "bbox": [ + 465, + 485, + 506, + 519 + ], + "score": 1.0, + "content": "to sampleand then", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 272, + 498, + 465, + 513 + ], + "spans": [ + { + "bbox": [ + 272, + 498, + 465, + 513 + ], + "score": 0.87, + "content": "p _ { \\mathrm { r a d i u s } } ( \\| \\textbf { x } \\| _ { 2 } ) \\propto \\| \\textbf { x } \\| _ { 2 } ^ { N - 1 } / ( \\| \\textbf { x } \\| _ { 2 } ^ { 2 } + z _ { \\operatorname* { m a x } } ^ { 2 } ) ^ { \\frac { N + 1 } { 2 } }", + "type": "inline_equation" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 510, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 505, + 524 + ], + "score": 1.0, + "content": "uniformly sample its angle. We provide detailed derivations and practical sampling procedure in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 522, + 505, + 535 + ], + "spans": [ + { + "bbox": [ + 105, + 522, + 360, + 535 + ], + "score": 1.0, + "content": "Appendix A.4. We further achieve exponential decay on the", + "type": "text" + }, + { + "bbox": [ + 361, + 524, + 367, + 532 + ], + "score": 0.77, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 522, + 505, + 535 + ], + "score": 1.0, + "content": "dimension by introducing a new", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 533, + 153, + 544 + ], + "spans": [ + { + "bbox": [ + 104, + 533, + 140, + 544 + ], + "score": 1.0, + "content": "variable", + "type": "text" + }, + { + "bbox": [ + 141, + 533, + 148, + 543 + ], + "score": 0.82, + "content": "t ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 148, + 533, + 153, + 544 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 23.5 + }, + { + "type": "interline_equation", + "bbox": [ + 196, + 549, + 415, + 564 + ], + "lines": [ + { + "bbox": [ + 196, + 549, + 415, + 564 + ], + "spans": [ + { + "bbox": [ + 196, + 549, + 415, + 564 + ], + "score": 0.86, + "content": "\\begin{array} { r l } { [ \\mathrm { B a c k w a r d ~ O D E } ] } & { { } d ( \\mathbf { x } , z ) = ( \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { \\mathbf { x } } \\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { z } ^ { - 1 } z , z ) d t ^ { \\prime } } \\end{array}", + "type": "interline_equation", + "image_path": "646814215122bed857b46f4e0d543f1b8287dd5a0d4e674bbbfce9f8fe8215a8.jpg" + } + ] + } + ], + "index": 28, + "virtual_lines": [ + { + "bbox": [ + 196, + 549, + 415, + 564 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 571, + 506, + 638 + ], + "lines": [ + { + "bbox": [ + 105, + 570, + 506, + 584 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 124, + 584 + ], + "score": 1.0, + "content": "The", + "type": "text" + }, + { + "bbox": [ + 124, + 574, + 131, + 582 + ], + "score": 0.77, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 570, + 292, + 584 + ], + "score": 1.0, + "content": "component in the backward ODE, i.e.,", + "type": "text" + }, + { + "bbox": [ + 292, + 572, + 331, + 582 + ], + "score": 0.9, + "content": "d z = z d t ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 570, + 406, + 584 + ], + "score": 1.0, + "content": ", can be solved by", + "type": "text" + }, + { + "bbox": [ + 406, + 570, + 434, + 582 + ], + "score": 0.9, + "content": "z = e ^ { t ^ { \\prime } }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 570, + 464, + 584 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 464, + 574, + 471, + 582 + ], + "score": 0.76, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 570, + 506, + 584 + ], + "score": 1.0, + "content": "reaches", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 138, + 595 + ], + "score": 1.0, + "content": "zero as", + "type": "text" + }, + { + "bbox": [ + 139, + 583, + 178, + 593 + ], + "score": 0.91, + "content": "t ^ { \\prime } \\to - \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 582, + 356, + 595 + ], + "score": 1.0, + "content": ", we instead choose a tiny positive number", + "type": "text" + }, + { + "bbox": [ + 357, + 584, + 374, + 594 + ], + "score": 0.86, + "content": "z _ { \\mathrm { m i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "as the terminal condition. The", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 593, + 506, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 310, + 607 + ], + "score": 1.0, + "content": "corresponding starting/terminal time of the variable", + "type": "text" + }, + { + "bbox": [ + 311, + 594, + 318, + 604 + ], + "score": 0.84, + "content": "t ^ { \\prime }", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 593, + 334, + 607 + ], + "score": 1.0, + "content": "are", + "type": "text" + }, + { + "bbox": [ + 334, + 594, + 403, + 606 + ], + "score": 0.91, + "content": "\\log z _ { \\operatorname* { m a x } } / \\log z _ { \\operatorname* { m i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 403, + 593, + 506, + 607 + ], + "score": 1.0, + "content": "respectively. Empirically,", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 604, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 604, + 254, + 617 + ], + "score": 1.0, + "content": "this simple change of variable leads to", + "type": "text" + }, + { + "bbox": [ + 255, + 605, + 267, + 614 + ], + "score": 0.86, + "content": "2 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 267, + 604, + 506, + 617 + ], + "score": 1.0, + "content": "faster sampling with almost no harm to the sample quality. In", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 615, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 615, + 245, + 627 + ], + "score": 1.0, + "content": "addition, we substitue the predicted", + "type": "text" + }, + { + "bbox": [ + 246, + 615, + 272, + 627 + ], + "score": 0.92, + "content": "\\mathbf { v } ( \\tilde { \\mathbf { x } } ) _ { z }", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 615, + 394, + 627 + ], + "score": 1.0, + "content": "with a more accurate one when", + "type": "text" + }, + { + "bbox": [ + 395, + 617, + 401, + 625 + ], + "score": 0.79, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 402, + 615, + 506, + 627 + ], + "score": 1.0, + "content": "is small (Appendix B.2.3).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 626, + 412, + 638 + ], + "spans": [ + { + "bbox": [ + 105, + 626, + 412, + 638 + ], + "score": 1.0, + "content": "We defer more details of the simulation of backward ODE to Appendix B.2.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 31.5 + }, + { + "type": "title", + "bbox": [ + 106, + 652, + 356, + 667 + ], + "lines": [ + { + "bbox": [ + 105, + 652, + 356, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 356, + 668 + ], + "score": 1.0, + "content": "4 Generative Modeling via the Backward ODE", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 677, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 505, + 690 + ], + "score": 1.0, + "content": "In this section, we demonstrate the effectiveness of the backward ODE associated with PFGM", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 506, + 701 + ], + "score": 1.0, + "content": "on image generation tasks. In Section 4.1, we show that PFGM achieves currently best in class", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 505, + 712 + ], + "score": 1.0, + "content": "performance in the normalizing flow family. In comparison to the existing state-of-the-art SDE", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 710, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 268, + 724 + ], + "score": 1.0, + "content": "or MCMC approaches, PFGM exhibits", + "type": "text" + }, + { + "bbox": [ + 268, + 711, + 285, + 721 + ], + "score": 0.86, + "content": "1 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 710, + 297, + 724 + ], + "score": 1.0, + "content": "or", + "type": "text" + }, + { + "bbox": [ + 298, + 711, + 315, + 721 + ], + "score": 0.86, + "content": "2 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 315, + 710, + 506, + 724 + ], + "score": 1.0, + "content": "acceleration while maintaining competitive or", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 37.5 + } + ], + "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": "text", + "bbox": [ + 109, + 73, + 316, + 84 + ], + "lines": [ + { + "bbox": [ + 106, + 71, + 318, + 85 + ], + "spans": [ + { + "bbox": [ + 106, + 71, + 318, + 85 + ], + "score": 1.0, + "content": "Algorithm 1 Learning the normalized Poisson Field", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 106, + 71, + 318, + 85 + ] + }, + { + "type": "table", + "bbox": [ + 114, + 87, + 496, + 202 + ], + "blocks": [ + { + "type": "table_body", + "bbox": [ + 114, + 87, + 496, + 202 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 114, + 87, + 496, + 202 + ], + "spans": [ + { + "bbox": [ + 114, + 87, + 496, + 202 + ], + "score": 0.795, + "html": "
Input: Training iteration T,Initial model fe,dataset D,constant y,learning rate n. fort=1...Tdo
from BL |B|
Simulate the ODE: {yi = perturb(xi) Ji=1 Calculate the normalized field by BL: VB (yi)=-√NEB,(yi)/(ll EB (yi) Il2 +γ), ∀i
|l f(yi)-vBL(yi)l² i1
Update the model parameter: 0 = 0 - nVL(0)
end for
return fe
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Sample the power m ~U[0,M] Sample the initial noise (∈x,∈z)~N(O,σ²I(N+1)x(N+1))
Uniformly sample the vector from the unit ball u ~U(SN(1))
Construct training point y = x+ | x I (1 + 𝑇)mu, z = |∈zl(1 + T)m
return y = (y, z)
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Since", + "type": "text" + }, + { + "bbox": [ + 464, + 574, + 471, + 582 + ], + "score": 0.76, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 570, + 506, + 584 + ], + "score": 1.0, + "content": "reaches", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 582, + 505, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 582, + 138, + 595 + ], + "score": 1.0, + "content": "zero as", + "type": "text" + }, + { + "bbox": [ + 139, + 583, + 178, + 593 + ], + "score": 0.91, + "content": "t ^ { \\prime } \\to - \\infty", + "type": "inline_equation" + }, + { + "bbox": [ + 178, + 582, + 356, + 595 + ], + "score": 1.0, + "content": ", we instead choose a tiny positive number", + "type": "text" + }, + { + "bbox": [ + 357, + 584, + 374, + 594 + ], + "score": 0.86, + "content": "z _ { \\mathrm { m i n } }", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 582, + 505, + 595 + ], + "score": 1.0, + "content": "as the terminal condition. 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We take the same set of hyper-parameters, such as batch size, learning rate and", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 612, + 505, + 622 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 505, + 622 + ], + "score": 1.0, + "content": "training iterations from [33]. We provide more training details in Appendix B.1, and discuss how to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 623, + 373, + 633 + ], + "spans": [ + { + "bbox": [ + 105, + 623, + 373, + 633 + ], + "score": 1.0, + "content": "set these hyper-parameters for general datasets in B.1.1 and B.2.1.", + "type": "text" + } + ], + "index": 41 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 645, + 505, + 722 + ], + "lines": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 644, + 505, + 658 + ], + "score": 1.0, + "content": "Baselines We compare PFGM to modern autoregressive model [36], GAN [17, 24], normalizing", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 505, + 668 + ], + "score": 1.0, + "content": "flow [19] and EBM [8]. 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Invertible?Inception ↑FID↓NFE↓
PixelCNN[36]4.6065.91024
IGEBM[8]6.0240.660
ViTGAN [24]9.306.661
StyleGAN2-ADA [17]9.832.921
StyleGAN2-ADA (cond.) [17]xxxxxxxxxx10.142.421
NCSN[31]8.8725.321001
NCSNv2 [32]8.4010.871161
DDPM[16]9.463.171000
NCSN++ VE-SDE[33]9.832.382000
NCSN++ deep VE-SDE [33]9.892.202000
Glow [19]3.9248.91
DDIM,T=50 [30]-4.6750
DDIM, T=100 [30]14.16100
NCSN++ VE-ODE [33]9.345.29194
NCSN++ deep VE-ODE[33]9.177.66194
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VP-SDE[33]9.582.551000
sub-VP-SDE[33]xx-9.562.611000
VP-ODE [33]9.462.97134
sub-VP-ODE [33]9.303.16146
PFGM (ours)9.652.48104
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VP-SDE [33]9.682.411000
sub-VP-SDE[33]xx-9.572.411000
VP-ODE [33]9.472.86134
sub-VP-ODE [33]9.403.05146
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(6)) is compatible with any general purpose ODE", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "score": 1.0, + "content": "solver. In our experiments, the default solver of ODEs is the black box solver in the Scipy library [37]", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "score": 1.0, + "content": "with the RK45 [7] method (RK45), unless otherwise specified. For VE/VP/subVP-SDEs, we", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 284, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 299 + ], + "score": 1.0, + "content": "use the predictor-corrector (PC) sampler introduced in [33]. For VP/sub-VP-SDEs, we apply the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 296, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 506, + 309 + ], + "score": 1.0, + "content": "predictor-only sampler, because its performance is on par with the PC sampler while requiring half", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 307, + 162, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 162, + 320 + ], + "score": 1.0, + "content": "computation.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 333, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 106, + 333, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 506, + 347 + ], + "score": 1.0, + "content": "Results For quantitative evaluation on CIFAR-10, we report the Inception [29] (higher is better)", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 345, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 505, + 357 + ], + "score": 1.0, + "content": "and FID [13] scores (lower is better) in Table 1. We also include our preliminary experimental results", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 355, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 505, + 369 + ], + "score": 1.0, + "content": "on a weaker architecture NCSNv2 [32] in Appendix D.2. We measure the inference speed by the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 365, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 506, + 380 + ], + "score": 1.0, + "content": "average NFE (number of function evaluation). We also explicitly indicate which methods belong to", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 375, + 211, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 211, + 390 + ], + "score": 1.0, + "content": "the invertible flow family.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "text", + "bbox": [ + 106, + 394, + 506, + 536 + ], + "lines": [ + { + "bbox": [ + 106, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "Our main findings are: (1) PFGM achieves the best Inception scores and FID scores among the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "normalizing flow models. Specifically, PFGM obtains an Inception score of 9.68 and a FID score of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 166, + 429 + ], + "score": 1.0, + "content": "2.48 using the", + "type": "text" + }, + { + "bbox": [ + 167, + 416, + 209, + 426 + ], + "score": 0.61, + "content": "\\mathrm { D D P M + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "deep architecture. To our best knowledge, these are the highest FID and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 391, + 439 + ], + "score": 1.0, + "content": "Inception scores by flow models on CIFAR-10. (2) PFGM achieves a", + "type": "text" + }, + { + "bbox": [ + 391, + 427, + 435, + 437 + ], + "score": 0.89, + "content": "1 0 \\times \\sim 2 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "faster inference", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 104, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "speed than the SDE methods using the similar architectures, while retaining comparable sample", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "score": 1.0, + "content": "quality. As shown in Table 1, PFGM requires NFEs of 110 whereas the SDE methods typically use", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 159, + 470 + ], + "score": 0.87, + "content": "1 0 0 0 \\sim 2 0 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 460, + 391, + 471 + ], + "score": 1.0, + "content": "inference steps. PFGM outperforms all the baselines on", + "type": "text" + }, + { + "bbox": [ + 391, + 459, + 433, + 470 + ], + "score": 0.79, + "content": "\\mathrm { { D D P M + + } }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 460, + 505, + 471 + ], + "score": 1.0, + "content": "in all metrics. In", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "addition, PFGM generally samples faster than other ODE baselines with the same RK45 solver. (3)", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "score": 1.0, + "content": "The backward ODE in PFGM is compatible with architectures with varying capacities. PFGM", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 491, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 104, + 491, + 307, + 505 + ], + "score": 1.0, + "content": "consistently outperforms other ODE baselines on", + "type": "text" + }, + { + "bbox": [ + 307, + 492, + 350, + 503 + ], + "score": 0.82, + "content": "\\mathrm { D D P M + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 491, + 506, + 505 + ], + "score": 1.0, + "content": "(Table 1) or NCSNv2 (Appendix D.2)", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "score": 1.0, + "content": "backbones. (4) PFGM shows scalability to higher resolution datasets. In Appendix D.1, we show", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 513, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 317, + 526 + ], + "score": 1.0, + "content": "that PFGM are capable of scale-up to LSUN bedroom", + "type": "text" + }, + { + "bbox": [ + 318, + 514, + 357, + 524 + ], + "score": 0.87, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 513, + 505, + 526 + ], + "score": 1.0, + "content": ". In particular, PFGM has comparable", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 524, + 305, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 237, + 536 + ], + "score": 1.0, + "content": "performance with VE-SDE with", + "type": "text" + }, + { + "bbox": [ + 238, + 525, + 255, + 535 + ], + "score": 0.86, + "content": "1 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 524, + 305, + 536 + ], + "score": 1.0, + "content": "fewer NFE.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 502, + 563 + ], + "lines": [ + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 428, + 553 + ], + "score": 1.0, + "content": "In Fig. 3, we visualize the uncurated samples from PFGM on CIFAR-10, CelebA", + "type": "text" + }, + { + "bbox": [ + 428, + 541, + 459, + 552 + ], + "score": 0.88, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "and LSUN", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 551, + 363, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 144, + 564 + ], + "score": 1.0, + "content": "bedroom", + "type": "text" + }, + { + "bbox": [ + 145, + 552, + 185, + 563 + ], + "score": 0.87, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 551, + 363, + 564 + ], + "score": 1.0, + "content": ". We provides more samples in Appendix E.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29.5 + }, + { + "type": "title", + "bbox": [ + 106, + 579, + 340, + 591 + ], + "lines": [ + { + "bbox": [ + 105, + 579, + 341, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 341, + 594 + ], + "score": 1.0, + "content": "4.2 Failure of VE/VP-ODEs on NCSNv2 architecture", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 297, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 601, + 297, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 297, + 613 + ], + "score": 1.0, + "content": "In our preliminary experiments on NCSNv2", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 612, + 297, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 297, + 624 + ], + "score": 1.0, + "content": "architectures, we empirically observe that the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 623, + 297, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 297, + 635 + ], + "score": 1.0, + "content": "VE/VP-ODEs have FID scores greater than 90", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 634, + 297, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 297, + 646 + ], + "score": 1.0, + "content": "on CIFAR-10. In particular, VE/VP-ODEs", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 645, + 298, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 298, + 658 + ], + "score": 1.0, + "content": "can only generate decent samples when apply-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 656, + 298, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 298, + 668 + ], + "score": 1.0, + "content": "ing the Langevin dynamics corrector, and even", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 667, + 298, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 298, + 679 + ], + "score": 1.0, + "content": "then, their performances are still inferior to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 677, + 298, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 298, + 690 + ], + "score": 1.0, + "content": "PFGM (Table 9, Table 10). The poor perfor-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 689, + 298, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 298, + 701 + ], + "score": 1.0, + "content": "mance on NCSNv2 stands in striking contrast to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 700, + 298, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 217, + 712 + ], + "score": 1.0, + "content": "their high sample quality on", + "type": "text" + }, + { + "bbox": [ + 218, + 700, + 298, + 711 + ], + "score": 0.78, + "content": "\\mathrm { N C S N + + / D D P M + + }", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 711, + 297, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 297, + 723 + ], + "score": 1.0, + "content": "in [33]. 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From left to right: CIFAR-10", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 221, + 334, + 232 + ], + "spans": [ + { + "bbox": [ + 106, + 221, + 137, + 231 + ], + "score": 0.88, + "content": "3 2 \\times 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 138, + 221, + 173, + 232 + ], + "score": 1.0, + "content": ", CelebA", + "type": "text" + }, + { + "bbox": [ + 174, + 221, + 205, + 231 + ], + "score": 0.89, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 206, + 221, + 289, + 232 + ], + "score": 1.0, + "content": "and LSUN bedroom", + "type": "text" + }, + { + "bbox": [ + 290, + 221, + 331, + 231 + ], + "score": 0.88, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 221, + 334, + 232 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + } + ], + "index": 2.25 + }, + { + "type": "text", + "bbox": [ + 106, + 252, + 505, + 318 + ], + "lines": [ + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "spans": [ + { + "bbox": [ + 105, + 252, + 506, + 266 + ], + "score": 1.0, + "content": "Numerical Solvers The backward ODE (Eq. (6)) is compatible with any general purpose ODE", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "spans": [ + { + "bbox": [ + 105, + 263, + 506, + 277 + ], + "score": 1.0, + "content": "solver. In our experiments, the default solver of ODEs is the black box solver in the Scipy library [37]", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "spans": [ + { + "bbox": [ + 105, + 273, + 506, + 288 + ], + "score": 1.0, + "content": "with the RK45 [7] method (RK45), unless otherwise specified. For VE/VP/subVP-SDEs, we", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 284, + 506, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 284, + 506, + 299 + ], + "score": 1.0, + "content": "use the predictor-corrector (PC) sampler introduced in [33]. For VP/sub-VP-SDEs, we apply the", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 296, + 506, + 309 + ], + "spans": [ + { + "bbox": [ + 105, + 296, + 506, + 309 + ], + "score": 1.0, + "content": "predictor-only sampler, because its performance is on par with the PC sampler while requiring half", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 307, + 162, + 320 + ], + "spans": [ + { + "bbox": [ + 106, + 307, + 162, + 320 + ], + "score": 1.0, + "content": "computation.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 252, + 506, + 320 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 333, + 505, + 389 + ], + "lines": [ + { + "bbox": [ + 106, + 333, + 506, + 347 + ], + "spans": [ + { + "bbox": [ + 106, + 333, + 506, + 347 + ], + "score": 1.0, + "content": "Results For quantitative evaluation on CIFAR-10, we report the Inception [29] (higher is better)", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 345, + 505, + 357 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 505, + 357 + ], + "score": 1.0, + "content": "and FID [13] scores (lower is better) in Table 1. We also include our preliminary experimental results", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 355, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 355, + 505, + 369 + ], + "score": 1.0, + "content": "on a weaker architecture NCSNv2 [32] in Appendix D.2. We measure the inference speed by the", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 365, + 506, + 380 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 506, + 380 + ], + "score": 1.0, + "content": "average NFE (number of function evaluation). We also explicitly indicate which methods belong to", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 375, + 211, + 390 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 211, + 390 + ], + "score": 1.0, + "content": "the invertible flow family.", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13, + "bbox_fs": [ + 105, + 333, + 506, + 390 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 394, + 506, + 536 + ], + "lines": [ + { + "bbox": [ + 106, + 394, + 506, + 407 + ], + "spans": [ + { + "bbox": [ + 106, + 394, + 506, + 407 + ], + "score": 1.0, + "content": "Our main findings are: (1) PFGM achieves the best Inception scores and FID scores among the", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 404, + 506, + 417 + ], + "score": 1.0, + "content": "normalizing flow models. Specifically, PFGM obtains an Inception score of 9.68 and a FID score of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 416, + 506, + 429 + ], + "spans": [ + { + "bbox": [ + 105, + 416, + 166, + 429 + ], + "score": 1.0, + "content": "2.48 using the", + "type": "text" + }, + { + "bbox": [ + 167, + 416, + 209, + 426 + ], + "score": 0.61, + "content": "\\mathrm { D D P M + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 209, + 416, + 506, + 429 + ], + "score": 1.0, + "content": "deep architecture. To our best knowledge, these are the highest FID and", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 426, + 506, + 439 + ], + "spans": [ + { + "bbox": [ + 105, + 426, + 391, + 439 + ], + "score": 1.0, + "content": "Inception scores by flow models on CIFAR-10. (2) PFGM achieves a", + "type": "text" + }, + { + "bbox": [ + 391, + 427, + 435, + 437 + ], + "score": 0.89, + "content": "1 0 \\times \\sim 2 0 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 435, + 426, + 506, + 439 + ], + "score": 1.0, + "content": "faster inference", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 104, + 437, + 506, + 451 + ], + "spans": [ + { + "bbox": [ + 104, + 437, + 506, + 451 + ], + "score": 1.0, + "content": "speed than the SDE methods using the similar architectures, while retaining comparable sample", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 447, + 506, + 462 + ], + "score": 1.0, + "content": "quality. As shown in Table 1, PFGM requires NFEs of 110 whereas the SDE methods typically use", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 459, + 505, + 471 + ], + "spans": [ + { + "bbox": [ + 106, + 459, + 159, + 470 + ], + "score": 0.87, + "content": "1 0 0 0 \\sim 2 0 0 0", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 460, + 391, + 471 + ], + "score": 1.0, + "content": "inference steps. PFGM outperforms all the baselines on", + "type": "text" + }, + { + "bbox": [ + 391, + 459, + 433, + 470 + ], + "score": 0.79, + "content": "\\mathrm { { D D P M + + } }", + "type": "inline_equation" + }, + { + "bbox": [ + 434, + 460, + 505, + 471 + ], + "score": 1.0, + "content": "in all metrics. In", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 470, + 506, + 483 + ], + "spans": [ + { + "bbox": [ + 105, + 470, + 506, + 483 + ], + "score": 1.0, + "content": "addition, PFGM generally samples faster than other ODE baselines with the same RK45 solver. (3)", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 481, + 506, + 494 + ], + "score": 1.0, + "content": "The backward ODE in PFGM is compatible with architectures with varying capacities. PFGM", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 104, + 491, + 506, + 505 + ], + "spans": [ + { + "bbox": [ + 104, + 491, + 307, + 505 + ], + "score": 1.0, + "content": "consistently outperforms other ODE baselines on", + "type": "text" + }, + { + "bbox": [ + 307, + 492, + 350, + 503 + ], + "score": 0.82, + "content": "\\mathrm { D D P M + + }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 491, + 506, + 505 + ], + "score": 1.0, + "content": "(Table 1) or NCSNv2 (Appendix D.2)", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 516 + ], + "score": 1.0, + "content": "backbones. (4) PFGM shows scalability to higher resolution datasets. In Appendix D.1, we show", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 513, + 505, + 526 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 317, + 526 + ], + "score": 1.0, + "content": "that PFGM are capable of scale-up to LSUN bedroom", + "type": "text" + }, + { + "bbox": [ + 318, + 514, + 357, + 524 + ], + "score": 0.87, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 357, + 513, + 505, + 526 + ], + "score": 1.0, + "content": ". In particular, PFGM has comparable", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 524, + 305, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 237, + 536 + ], + "score": 1.0, + "content": "performance with VE-SDE with", + "type": "text" + }, + { + "bbox": [ + 238, + 525, + 255, + 535 + ], + "score": 0.86, + "content": "1 5 \\times", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 524, + 305, + 536 + ], + "score": 1.0, + "content": "fewer NFE.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 22, + "bbox_fs": [ + 104, + 394, + 506, + 536 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 541, + 502, + 563 + ], + "lines": [ + { + "bbox": [ + 105, + 541, + 505, + 553 + ], + "spans": [ + { + "bbox": [ + 105, + 541, + 428, + 553 + ], + "score": 1.0, + "content": "In Fig. 3, we visualize the uncurated samples from PFGM on CIFAR-10, CelebA", + "type": "text" + }, + { + "bbox": [ + 428, + 541, + 459, + 552 + ], + "score": 0.88, + "content": "6 4 \\times 6 4", + "type": "inline_equation" + }, + { + "bbox": [ + 460, + 541, + 505, + 553 + ], + "score": 1.0, + "content": "and LSUN", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 551, + 363, + 564 + ], + "spans": [ + { + "bbox": [ + 105, + 551, + 144, + 564 + ], + "score": 1.0, + "content": "bedroom", + "type": "text" + }, + { + "bbox": [ + 145, + 552, + 185, + 563 + ], + "score": 0.87, + "content": "2 5 6 \\times 2 5 6", + "type": "inline_equation" + }, + { + "bbox": [ + 186, + 551, + 363, + 564 + ], + "score": 1.0, + "content": ". We provides more samples in Appendix E.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 29.5, + "bbox_fs": [ + 105, + 541, + 505, + 564 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 579, + 340, + 591 + ], + "lines": [ + { + "bbox": [ + 105, + 579, + 341, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 341, + 594 + ], + "score": 1.0, + "content": "4.2 Failure of VE/VP-ODEs on NCSNv2 architecture", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 297, + 722 + ], + "lines": [ + { + "bbox": [ + 106, + 601, + 297, + 613 + ], + "spans": [ + { + "bbox": [ + 106, + 601, + 297, + 613 + ], + "score": 1.0, + "content": "In our preliminary experiments on NCSNv2", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 612, + 297, + 624 + ], + "spans": [ + { + "bbox": [ + 106, + 612, + 297, + 624 + ], + "score": 1.0, + "content": "architectures, we empirically observe that the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 623, + 297, + 635 + ], + "spans": [ + { + "bbox": [ + 106, + 623, + 297, + 635 + ], + "score": 1.0, + "content": "VE/VP-ODEs have FID scores greater than 90", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 634, + 297, + 646 + ], + "spans": [ + { + "bbox": [ + 105, + 634, + 297, + 646 + ], + "score": 1.0, + "content": "on CIFAR-10. In particular, VE/VP-ODEs", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 645, + 298, + 658 + ], + "spans": [ + { + "bbox": [ + 105, + 645, + 298, + 658 + ], + "score": 1.0, + "content": "can only generate decent samples when apply-", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 656, + 298, + 668 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 298, + 668 + ], + "score": 1.0, + "content": "ing the Langevin dynamics corrector, and even", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 106, + 667, + 298, + 679 + ], + "spans": [ + { + "bbox": [ + 106, + 667, + 298, + 679 + ], + "score": 1.0, + "content": "then, their performances are still inferior to", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 677, + 298, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 677, + 298, + 690 + ], + "score": 1.0, + "content": "PFGM (Table 9, Table 10). The poor perfor-", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 689, + 298, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 298, + 701 + ], + "score": 1.0, + "content": "mance on NCSNv2 stands in striking contrast to", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 700, + 298, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 700, + 217, + 712 + ], + "score": 1.0, + "content": "their high sample quality on", + "type": "text" + }, + { + "bbox": [ + 218, + 700, + 298, + 711 + ], + "score": 0.78, + "content": "\\mathrm { N C S N + + / D D P M + + }", + "type": "inline_equation" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 711, + 297, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 297, + 723 + ], + "score": 1.0, + "content": "in [33]. It indicates that the VE/VP-ODEs are", + "type": "text" + } + ], + "index": 42 + } + ], + "index": 37, + "bbox_fs": [ + 105, + 601, + 298, + 723 + ] + }, + { + "type": "image", + "bbox": [ + 309, + 601, + 503, + 689 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 309, + 601, + 503, + 689 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 309, + 601, + 503, + 689 + ], + "spans": [ + { + "bbox": [ + 309, + 601, + 503, + 689 + ], + "score": 0.969, + "type": "image", + "image_path": "b8860bcda32dab2d49f72ab93a489b264c43c232817b6c997c0142ac14f89d96.jpg" + } + ] + } + ], + "index": 45.5, + "virtual_lines": [ + { + "bbox": [ + 309, + 601, + 503, + 615.6666666666666 + ], + "spans": [], + "index": 43 + }, + { + "bbox": [ + 309, + 615.6666666666666, + 503, + 630.3333333333333 + ], + "spans": [], + "index": 44 + }, + { + "bbox": [ + 309, + 630.3333333333333, + 503, + 644.9999999999999 + ], + "spans": [], + "index": 45 + }, + { + "bbox": [ + 309, + 644.9999999999999, + 503, + 659.6666666666665 + ], + "spans": [], + "index": 46 + }, + { + "bbox": [ + 309, + 659.6666666666665, + 503, + 674.3333333333331 + ], + "spans": [], + "index": 47 + }, + { + "bbox": [ + 309, + 674.3333333333331, + 503, + 688.9999999999998 + ], + "spans": [], + "index": 48 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 304, + 697, + 505, + 719 + ], + "group_id": 1, + "lines": [ + { + "bbox": [ + 303, + 694, + 505, + 710 + ], + "spans": [ + { + "bbox": [ + 303, + 694, + 505, + 710 + ], + "score": 1.0, + "content": "Figure 4: Sample norm distributions with varying", + "type": "text" + } + ], + "index": 49 + }, + { + "bbox": [ + 304, + 707, + 500, + 720 + ], + "spans": [ + { + "bbox": [ + 304, + 707, + 366, + 720 + ], + "score": 1.0, + "content": "time variables", + "type": "text" + }, + { + "bbox": [ + 367, + 709, + 374, + 717 + ], + "score": 0.7, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 707, + 445, + 720 + ], + "score": 1.0, + "content": "for VE-ODE and", + "type": "text" + }, + { + "bbox": [ + 445, + 709, + 452, + 717 + ], + "score": 0.75, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 707, + 500, + 720 + ], + "score": 1.0, + "content": "for PFGM)", + "type": "text" + } + ], + "index": 50 + } + ], + "index": 49.5 + } + ], + "index": 47.5 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "image", + "bbox": [ + 123, + 75, + 491, + 185 + ], + "blocks": [ + { + "type": "image_body", + "bbox": [ + 123, + 75, + 491, + 185 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 123, + 75, + 491, + 185 + ], + "spans": [ + { + "bbox": [ + 123, + 75, + 491, + 185 + ], + "score": 0.97, + "type": "image", + "image_path": "8f1d6bfd2fc3172f6a771fae4fc3892a6d968815e5d64788e0ff673cb1dd4cc0.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 123, + 75, + 491, + 111.66666666666666 + ], + "spans": [], + "index": 0 + }, + { + "bbox": [ + 123, + 111.66666666666666, + 491, + 148.33333333333331 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 123, + 148.33333333333331, + 491, + 184.99999999999997 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "image_caption", + "bbox": [ + 106, + 194, + 505, + 228 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 106, + 193, + 504, + 207 + ], + "spans": [ + { + "bbox": [ + 106, + 193, + 185, + 207 + ], + "score": 1.0, + "content": "Figure 5: (a) Norm-", + "type": "text" + }, + { + "bbox": [ + 185, + 194, + 204, + 206 + ], + "score": 0.89, + "content": "\\cdot \\sigma ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 193, + 482, + 207 + ], + "score": 1.0, + "content": "relation during the backward sampling of VE-ODE (Euler). (b) Norm-", + "type": "text" + }, + { + "bbox": [ + 483, + 194, + 504, + 206 + ], + "score": 0.9, + "content": "z ( t ^ { \\prime } )", + "type": "inline_equation" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 205, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 217 + ], + "score": 1.0, + "content": "relation during the backward sampling of PFGM (Euler). The shaded areas mean the standard", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 216, + 342, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 342, + 229 + ], + "score": 1.0, + "content": "deviation of norms. (c) Number of steps versus FID score.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 244, + 503, + 266 + ], + "lines": [ + { + "bbox": [ + 106, + 244, + 504, + 256 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 465, + 256 + ], + "score": 1.0, + "content": "more susceptible to estimation errors than PFGM. We hypothesize that the strong norm-", + "type": "text" + }, + { + "bbox": [ + 466, + 246, + 473, + 254 + ], + "score": 0.75, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 244, + 504, + 256 + ], + "score": 1.0, + "content": "correla", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 254, + 394, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 254, + 394, + 267 + ], + "score": 1.0, + "content": "tion seen during the training of score-based models causes the problem.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5 + }, + { + "type": "text", + "bbox": [ + 106, + 271, + 505, + 350 + ], + "lines": [ + { + "bbox": [ + 106, + 271, + 504, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 271, + 219, + 284 + ], + "score": 1.0, + "content": "For score-based models, the", + "type": "text" + }, + { + "bbox": [ + 219, + 272, + 228, + 282 + ], + "score": 0.86, + "content": "l _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 271, + 484, + 284 + ], + "score": 1.0, + "content": "norms of perturbed training samples and the standard deviations", + "type": "text" + }, + { + "bbox": [ + 484, + 271, + 504, + 283 + ], + "score": 0.91, + "content": "\\sigma ( t )", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 282, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 293, + 297 + ], + "score": 1.0, + "content": "of Gaussian noises have strong correlation, e.", + "type": "text" + }, + { + "bbox": [ + 293, + 282, + 384, + 296 + ], + "score": 0.61, + "content": "g . , l _ { 2 } \\ \\mathrm { n o r m } \\approx \\sigma ( t ) \\sqrt { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 283, + 423, + 297 + ], + "score": 1.0, + "content": "for large", + "type": "text" + }, + { + "bbox": [ + 423, + 283, + 443, + 296 + ], + "score": 0.91, + "content": "\\sigma ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 283, + 506, + 297 + ], + "score": 1.0, + "content": "in VE [33]. In", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 295, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 505, + 308 + ], + "score": 1.0, + "content": "contrast, as shown in Fig. 4, PFGM allocates high mass across a wide spectrum of the training sample", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 306, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 505, + 318 + ], + "score": 1.0, + "content": "norms. During sampling, VE/VP-ODEs could break down when the trajectories of backward ODEs", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 316, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 199, + 329 + ], + "score": 1.0, + "content": "deviate from the norm-", + "type": "text" + }, + { + "bbox": [ + 200, + 317, + 219, + 329 + ], + "score": 0.92, + "content": "\\cdot \\sigma ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 316, + 505, + 329 + ], + "score": 1.0, + "content": "relation to which most training samples pertain. The weaker NCSNv2", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "backbone incurs larger errors and thus leads to their failure. The PFGM is more resistant to estimate", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 339, + 351, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 351, + 352 + ], + "score": 1.0, + "content": "errors because of the greater range of training sample norms.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 354, + 505, + 443 + ], + "lines": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "score": 1.0, + "content": "To further verify the hypothesis above, we split a batch of VE-ODE samples into cleaner and noisier", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 365, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 506, + 379 + ], + "score": 1.0, + "content": "samples according to visual quality (Fig. 8(a)). In Fig. 5(a), we investigate the relation for cleaner and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 377, + 395, + 389 + ], + "score": 1.0, + "content": "noisier samples during the forward Euler simulation of VE-ODE when", + "type": "text" + }, + { + "bbox": [ + 396, + 376, + 435, + 388 + ], + "score": 0.92, + "content": "\\sigma ( t ) < 1 5", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 377, + 505, + 389 + ], + "score": 1.0, + "content": ". We can see that", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 388, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 336, + 399 + ], + "score": 1.0, + "content": "the trajectory of cleaner samples stays close to the norm-", + "type": "text" + }, + { + "bbox": [ + 337, + 388, + 356, + 399 + ], + "score": 0.91, + "content": "\\sigma ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 388, + 505, + 399 + ], + "score": 1.0, + "content": "relation (the red dash line), whereas", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "that of the noisier samples diverges from the relation. The Langevin dynamics corrector changes", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "the trajectory of noisier samples to align with the relation. Fig. 5(b) further shows that the anchored", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 140, + 433 + ], + "score": 1.0, + "content": "variable", + "type": "text" + }, + { + "bbox": [ + 141, + 420, + 162, + 432 + ], + "score": 0.91, + "content": "z ( t ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "and the norms in the backward ODE of PFGM are not strongly correlated, giving rise", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 431, + 507, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 507, + 444 + ], + "score": 1.0, + "content": "to the robustness against the imprecise estimation on NCSNv2. We defer more details to Appendix C.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 107, + 455, + 333, + 467 + ], + "lines": [ + { + "bbox": [ + 106, + 455, + 334, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 334, + 468 + ], + "score": 1.0, + "content": "4.3 Effects of step size in the forward Euler method", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 505, + 530 + ], + "lines": [ + { + "bbox": [ + 106, + 475, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 506, + 487 + ], + "score": 1.0, + "content": "In order to accelerate the inference speed of ODEs, we can increase the step size (decrease the NFEs)", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "score": 1.0, + "content": "in numerical solvers such as the forward Euler method. It also enables the trade-off between sample", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "score": 1.0, + "content": "quality and computational efficiency in real-world deployment. We study the effects of increasing", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "score": 1.0, + "content": "step size on PFGM, VP-ODE and DDIM [30] using the forward Euler method, with a varying NFE", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 520, + 203, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 203, + 531 + ], + "score": 1.0, + "content": "ranging from 10 to 100.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 535, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "In Fig. 5(c), we report the sample quality measured by FID scores on CIFAR-10. As expected, all the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "score": 1.0, + "content": "methods have higher FID scores when decreasing the NFE. We observe that the sample quality of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 557, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 506, + 570 + ], + "score": 1.0, + "content": "PFGM degrades gracefully as we decrease the NFE. Our method shows significantly better robustness", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "score": 1.0, + "content": "to step sizes than the VP-ODE, especially when only taking a few Euler steps. In addition, PFGM", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "obtains better FID scores than DDIM on most NFEs except for 10 where PFGM is marginally worse.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "score": 1.0, + "content": "This suggests that the PFGM is a promising method for accommodating instantaneous resource", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 601, + 387, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 387, + 615 + ], + "score": 1.0, + "content": "availability, as high-quality samples can be generated in limited steps.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32 + }, + { + "type": "title", + "bbox": [ + 106, + 625, + 402, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 404, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 404, + 640 + ], + "score": 1.0, + "content": "4.4 Utilities of ODE: likelihood evaluation and latent representation", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 645, + 506, + 690 + ], + "lines": [ + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "Similar to the family of discrete normalizing flows [6, 19, 14] and continuous probability flow [33],", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "the forward ODE in PFGM defines an invertible mapping between the data space and latent space", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 375, + 680 + ], + "score": 1.0, + "content": "with a known prior. 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(b) Norm-", + "type": "text" + }, + { + "bbox": [ + 483, + 194, + 504, + 206 + ], + "score": 0.9, + "content": "z ( t ^ { \\prime } )", + "type": "inline_equation" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 205, + 505, + 217 + ], + "spans": [ + { + "bbox": [ + 105, + 205, + 505, + 217 + ], + "score": 1.0, + "content": "relation during the backward sampling of PFGM (Euler). The shaded areas mean the standard", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 216, + 342, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 342, + 229 + ], + "score": 1.0, + "content": "deviation of norms. (c) Number of steps versus FID score.", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4 + } + ], + "index": 2.5 + }, + { + "type": "text", + "bbox": [ + 106, + 244, + 503, + 266 + ], + "lines": [ + { + "bbox": [ + 106, + 244, + 504, + 256 + ], + "spans": [ + { + "bbox": [ + 106, + 244, + 465, + 256 + ], + "score": 1.0, + "content": "more susceptible to estimation errors than PFGM. We hypothesize that the strong norm-", + "type": "text" + }, + { + "bbox": [ + 466, + 246, + 473, + 254 + ], + "score": 0.75, + "content": "\\sigma", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 244, + 504, + 256 + ], + "score": 1.0, + "content": "correla", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 254, + 394, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 254, + 394, + 267 + ], + "score": 1.0, + "content": "tion seen during the training of score-based models causes the problem.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6.5, + "bbox_fs": [ + 106, + 244, + 504, + 267 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 271, + 505, + 350 + ], + "lines": [ + { + "bbox": [ + 106, + 271, + 504, + 284 + ], + "spans": [ + { + "bbox": [ + 106, + 271, + 219, + 284 + ], + "score": 1.0, + "content": "For score-based models, the", + "type": "text" + }, + { + "bbox": [ + 219, + 272, + 228, + 282 + ], + "score": 0.86, + "content": "l _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 228, + 271, + 484, + 284 + ], + "score": 1.0, + "content": "norms of perturbed training samples and the standard deviations", + "type": "text" + }, + { + "bbox": [ + 484, + 271, + 504, + 283 + ], + "score": 0.91, + "content": "\\sigma ( t )", + "type": "inline_equation" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 282, + 506, + 297 + ], + "spans": [ + { + "bbox": [ + 105, + 283, + 293, + 297 + ], + "score": 1.0, + "content": "of Gaussian noises have strong correlation, e.", + "type": "text" + }, + { + "bbox": [ + 293, + 282, + 384, + 296 + ], + "score": 0.61, + "content": "g . , l _ { 2 } \\ \\mathrm { n o r m } \\approx \\sigma ( t ) \\sqrt { N }", + "type": "inline_equation" + }, + { + "bbox": [ + 385, + 283, + 423, + 297 + ], + "score": 1.0, + "content": "for large", + "type": "text" + }, + { + "bbox": [ + 423, + 283, + 443, + 296 + ], + "score": 0.91, + "content": "\\sigma ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 443, + 283, + 506, + 297 + ], + "score": 1.0, + "content": "in VE [33]. In", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 295, + 505, + 308 + ], + "spans": [ + { + "bbox": [ + 106, + 295, + 505, + 308 + ], + "score": 1.0, + "content": "contrast, as shown in Fig. 4, PFGM allocates high mass across a wide spectrum of the training sample", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 306, + 505, + 318 + ], + "spans": [ + { + "bbox": [ + 106, + 306, + 505, + 318 + ], + "score": 1.0, + "content": "norms. During sampling, VE/VP-ODEs could break down when the trajectories of backward ODEs", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 316, + 505, + 329 + ], + "spans": [ + { + "bbox": [ + 106, + 316, + 199, + 329 + ], + "score": 1.0, + "content": "deviate from the norm-", + "type": "text" + }, + { + "bbox": [ + 200, + 317, + 219, + 329 + ], + "score": 0.92, + "content": "\\cdot \\sigma ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 316, + 505, + 329 + ], + "score": 1.0, + "content": "relation to which most training samples pertain. The weaker NCSNv2", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "spans": [ + { + "bbox": [ + 106, + 327, + 506, + 340 + ], + "score": 1.0, + "content": "backbone incurs larger errors and thus leads to their failure. The PFGM is more resistant to estimate", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 339, + 351, + 352 + ], + "spans": [ + { + "bbox": [ + 106, + 339, + 351, + 352 + ], + "score": 1.0, + "content": "errors because of the greater range of training sample norms.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 271, + 506, + 352 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 354, + 505, + 443 + ], + "lines": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "spans": [ + { + "bbox": [ + 105, + 354, + 506, + 367 + ], + "score": 1.0, + "content": "To further verify the hypothesis above, we split a batch of VE-ODE samples into cleaner and noisier", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 365, + 506, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 506, + 379 + ], + "score": 1.0, + "content": "samples according to visual quality (Fig. 8(a)). In Fig. 5(a), we investigate the relation for cleaner and", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 106, + 377, + 395, + 389 + ], + "score": 1.0, + "content": "noisier samples during the forward Euler simulation of VE-ODE when", + "type": "text" + }, + { + "bbox": [ + 396, + 376, + 435, + 388 + ], + "score": 0.92, + "content": "\\sigma ( t ) < 1 5", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 377, + 505, + 389 + ], + "score": 1.0, + "content": ". We can see that", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 388, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 388, + 336, + 399 + ], + "score": 1.0, + "content": "the trajectory of cleaner samples stays close to the norm-", + "type": "text" + }, + { + "bbox": [ + 337, + 388, + 356, + 399 + ], + "score": 0.91, + "content": "\\sigma ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 356, + 388, + 505, + 399 + ], + "score": 1.0, + "content": "relation (the red dash line), whereas", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 505, + 411 + ], + "score": 1.0, + "content": "that of the noisier samples diverges from the relation. The Langevin dynamics corrector changes", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "spans": [ + { + "bbox": [ + 105, + 409, + 505, + 421 + ], + "score": 1.0, + "content": "the trajectory of noisier samples to align with the relation. Fig. 5(b) further shows that the anchored", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 420, + 506, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 140, + 433 + ], + "score": 1.0, + "content": "variable", + "type": "text" + }, + { + "bbox": [ + 141, + 420, + 162, + 432 + ], + "score": 0.91, + "content": "z ( t ^ { \\prime } )", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 420, + 506, + 433 + ], + "score": 1.0, + "content": "and the norms in the backward ODE of PFGM are not strongly correlated, giving rise", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 431, + 507, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 507, + 444 + ], + "score": 1.0, + "content": "to the robustness against the imprecise estimation on NCSNv2. We defer more details to Appendix C.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 354, + 507, + 444 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 455, + 333, + 467 + ], + "lines": [ + { + "bbox": [ + 106, + 455, + 334, + 468 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 334, + 468 + ], + "score": 1.0, + "content": "4.3 Effects of step size in the forward Euler method", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "text", + "bbox": [ + 106, + 475, + 505, + 530 + ], + "lines": [ + { + "bbox": [ + 106, + 475, + 506, + 487 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 506, + 487 + ], + "score": 1.0, + "content": "In order to accelerate the inference speed of ODEs, we can increase the step size (decrease the NFEs)", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 487, + 505, + 498 + ], + "score": 1.0, + "content": "in numerical solvers such as the forward Euler method. It also enables the trade-off between sample", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "spans": [ + { + "bbox": [ + 105, + 496, + 506, + 511 + ], + "score": 1.0, + "content": "quality and computational efficiency in real-world deployment. We study the effects of increasing", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 507, + 506, + 522 + ], + "score": 1.0, + "content": "step size on PFGM, VP-ODE and DDIM [30] using the forward Euler method, with a varying NFE", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 520, + 203, + 531 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 203, + 531 + ], + "score": 1.0, + "content": "ranging from 10 to 100.", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 475, + 506, + 531 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 535, + 505, + 613 + ], + "lines": [ + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 506, + 549 + ], + "score": 1.0, + "content": "In Fig. 5(c), we report the sample quality measured by FID scores on CIFAR-10. As expected, all the", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 506, + 559 + ], + "score": 1.0, + "content": "methods have higher FID scores when decreasing the NFE. We observe that the sample quality of", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 106, + 557, + 506, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 557, + 506, + 570 + ], + "score": 1.0, + "content": "PFGM degrades gracefully as we decrease the NFE. Our method shows significantly better robustness", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "spans": [ + { + "bbox": [ + 105, + 568, + 505, + 581 + ], + "score": 1.0, + "content": "to step sizes than the VP-ODE, especially when only taking a few Euler steps. In addition, PFGM", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 506, + 592 + ], + "score": 1.0, + "content": "obtains better FID scores than DDIM on most NFEs except for 10 where PFGM is marginally worse.", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 505, + 603 + ], + "score": 1.0, + "content": "This suggests that the PFGM is a promising method for accommodating instantaneous resource", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 601, + 387, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 601, + 387, + 615 + ], + "score": 1.0, + "content": "availability, as high-quality samples can be generated in limited steps.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32, + "bbox_fs": [ + 105, + 535, + 506, + 615 + ] + }, + { + "type": "title", + "bbox": [ + 106, + 625, + 402, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 622, + 404, + 640 + ], + "spans": [ + { + "bbox": [ + 105, + 622, + 404, + 640 + ], + "score": 1.0, + "content": "4.4 Utilities of ODE: likelihood evaluation and latent representation", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 645, + 506, + 690 + ], + "lines": [ + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "spans": [ + { + "bbox": [ + 106, + 645, + 506, + 658 + ], + "score": 1.0, + "content": "Similar to the family of discrete normalizing flows [6, 19, 14] and continuous probability flow [33],", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "spans": [ + { + "bbox": [ + 105, + 656, + 506, + 669 + ], + "score": 1.0, + "content": "the forward ODE in PFGM defines an invertible mapping between the data space and latent space", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 667, + 506, + 680 + ], + "spans": [ + { + "bbox": [ + 105, + 667, + 375, + 680 + ], + "score": 1.0, + "content": "with a known prior. 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(6):", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38.5, + "bbox_fs": [ + 105, + 645, + 506, + 691 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 135, + 695, + 475, + 721 + ], + "lines": [ + { + "bbox": [ + 135, + 695, + 475, + 721 + ], + "spans": [ + { + "bbox": [ + 135, + 695, + 475, + 721 + ], + "score": 0.92, + "content": "\\mathbf { x } ( \\log z _ { \\operatorname* { m a x } } ) = \\mathcal { M } ( \\mathbf { x } ( \\log z _ { \\operatorname* { m i n } } ) ) \\equiv \\mathbf { x } ( \\log z _ { \\operatorname* { m i n } } ) + \\int _ { \\log z _ { \\operatorname* { m i n } } } ^ { \\log z _ { \\operatorname* { m a x } } } \\mathbf { v } ( \\mathbf { x } ( t ^ { \\prime } ) ) _ { \\mathbf { x } } \\mathbf { v } ( \\tilde { \\mathbf { x } } ( t ^ { \\prime } ) ) _ { z } ^ { - 1 } e ^ { t ^ { \\prime } } d t ^ { \\prime }", + "type": "interline_equation", + "image_path": "de973ce12148d28895bba204e84e1d40f37ef0fa8b8705e90efc4d27d0ee8a19.jpg" + } + ] + } + ], + "index": 41, + "virtual_lines": [ + { + "bbox": [ + 135, + 695, + 475, + 721 + ], + "spans": [], + "index": 41 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 128 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 134, + 86 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 73, + 200, + 84 + ], + "score": 0.9, + "content": "\\log z _ { \\mathrm { m i n } } / \\log z _ { \\mathrm { m a x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "are the starting/terminal time in the forward ODE. The forward mapping", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 83, + 506, + 97 + ], + "spans": [ + { + "bbox": [ + 106, + 83, + 312, + 97 + ], + "score": 1.0, + "content": "transfers the data distribution to the prior distribution", + "type": "text" + }, + { + "bbox": [ + 312, + 85, + 333, + 96 + ], + "score": 0.89, + "content": "p _ { \\mathrm { p r i o r } }", + "type": "inline_equation" + }, + { + "bbox": [ + 333, + 83, + 358, + 97 + ], + "score": 1.0, + "content": "on the", + "type": "text" + }, + { + "bbox": [ + 358, + 85, + 392, + 95 + ], + "score": 0.9, + "content": "z = z _ { \\mathrm { m a x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 83, + 506, + 97 + ], + "score": 1.0, + "content": "hyperplane (cf. Section 3.3):", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 94, + 506, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 270, + 106 + ], + "score": 0.89, + "content": "p _ { \\mathrm { p r i o r } } \\big ( \\mathbf { x } \\big ( \\log z _ { \\mathrm { m a x } } \\big ) \\big ) = \\mathcal { M } \\big ( p ( \\mathbf { x } ( \\log \\bar { z } _ { \\mathrm { m i n } } ) ) \\big )", + "type": "inline_equation" + }, + { + "bbox": [ + 271, + 94, + 506, + 107 + ], + "score": 1.0, + "content": ". The invertibility enables likelihood evaluation and creates", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 106, + 505, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 106, + 236, + 118 + ], + "score": 1.0, + "content": "a meaningful latent space on the", + "type": "text" + }, + { + "bbox": [ + 236, + 108, + 270, + 117 + ], + "score": 0.87, + "content": "z = z _ { \\mathrm { m a x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 106, + 505, + 118 + ], + "score": 1.0, + "content": "hyperplane. In addition, we can adapt to the computational", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 117, + 428, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 428, + 128 + ], + "score": 1.0, + "content": "constraints by adjusting the step size or the precision in numerical ODE solvers.", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 132, + 337, + 264 + ], + "lines": [ + { + "bbox": [ + 106, + 132, + 336, + 143 + ], + "spans": [ + { + "bbox": [ + 106, + 132, + 336, + 143 + ], + "score": 1.0, + "content": "Likelihood evaluation We evaluate the data likelihood", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 144, + 338, + 155 + ], + "spans": [ + { + "bbox": [ + 106, + 144, + 338, + 155 + ], + "score": 1.0, + "content": "by the instantaneous change-of-variable formula [4, 33].", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 154, + 338, + 166 + ], + "spans": [ + { + "bbox": [ + 105, + 154, + 338, + 166 + ], + "score": 1.0, + "content": "In Table 2, we report the bits/dim on the uniformly de-", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 165, + 338, + 177 + ], + "spans": [ + { + "bbox": [ + 105, + 165, + 338, + 177 + ], + "score": 1.0, + "content": "quantized CIFAR-10 test set and compare with exist-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 177, + 337, + 187 + ], + "spans": [ + { + "bbox": [ + 106, + 177, + 337, + 187 + ], + "score": 1.0, + "content": "ing baselines that use the same setup. We observe that", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 186, + 338, + 199 + ], + "spans": [ + { + "bbox": [ + 105, + 186, + 338, + 199 + ], + "score": 1.0, + "content": "PFGM achieves better likelihoods than discrete normaliz-", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 198, + 338, + 209 + ], + "spans": [ + { + "bbox": [ + 105, + 198, + 338, + 209 + ], + "score": 1.0, + "content": "ing flow models, even without maximum likelihood train-", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 209, + 337, + 220 + ], + "spans": [ + { + "bbox": [ + 105, + 209, + 337, + 220 + ], + "score": 1.0, + "content": "ing. Among the continuous flow models, sub-VP-ODE", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 219, + 337, + 232 + ], + "spans": [ + { + "bbox": [ + 105, + 219, + 337, + 232 + ], + "score": 1.0, + "content": "shows the lowest bits/dim, although its sample quality is", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 231, + 338, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 231, + 338, + 243 + ], + "score": 1.0, + "content": "worse than VP-ODE and PFGM (Table 1). The explo-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 241, + 337, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 241, + 337, + 253 + ], + "score": 1.0, + "content": "ration of the seeming trade-off between likelihood and", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 253, + 262, + 264 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 262, + 264 + ], + "score": 1.0, + "content": "sample quality is left for future works.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 10.5 + }, + { + "type": "table", + "bbox": [ + 367, + 149, + 481, + 254 + ], + "blocks": [ + { + "type": "table_caption", + "bbox": [ + 360, + 134, + 488, + 145 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 359, + 132, + 489, + 146 + ], + "spans": [ + { + "bbox": [ + 359, + 132, + 489, + 146 + ], + "score": 1.0, + "content": "Table 2: Bits/dim on CIFAR-10", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "table_body", + "bbox": [ + 367, + 149, + 481, + 254 + ], + "group_id": 0, + "lines": [ + { + "bbox": [ + 367, + 149, + 481, + 254 + ], + "spans": [ + { + "bbox": [ + 367, + 149, + 481, + 254 + ], + "score": 0.965, + "html": "
bits/dim ↓
RealNVP [6]3.49
Glow [19] Residual Flow [3]3.35 3.28
Flow++ [14]3.29
DDPM(L)[16]≤3.70*
DDPM++backbone
VP-ODE [33]3.20
sub-VP-ODE[33]3.02
PFGM (ours)3.19
", + "type": "table", + "image_path": "c452efcad2fd82bbc0d70344e1698d29d6fa874798cc81029b380d62e987b32d.jpg" + } + ] + } + ], + "index": 18.5, + "virtual_lines": [ + { + "bbox": [ + 367, + 149, + 481, + 201.5 + ], + "spans": [], + "index": 18 + }, + { + "bbox": [ + 367, + 201.5, + 481, + 254.0 + ], + "spans": [], + "index": 19 + } + ] + } + ], + "index": 17.75 + }, + { + "type": "text", + "bbox": [ + 107, + 269, + 505, + 324 + ], + "lines": [ + { + "bbox": [ + 106, + 269, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 269, + 505, + 281 + ], + "score": 1.0, + "content": "Latent representation Since the samples are uniquely identifiable by their latents via the invertible", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 280, + 505, + 293 + ], + "spans": [ + { + "bbox": [ + 106, + 280, + 144, + 293 + ], + "score": 1.0, + "content": "mapping", + "type": "text" + }, + { + "bbox": [ + 145, + 280, + 158, + 290 + ], + "score": 0.69, + "content": "\\mathcal { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 158, + 280, + 489, + 293 + ], + "score": 1.0, + "content": ", PFGM further supports image manipulation using its latent representation on the", + "type": "text" + }, + { + "bbox": [ + 489, + 281, + 505, + 290 + ], + "score": 0.83, + "content": "z =", + "type": "inline_equation" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 290, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 106, + 292, + 125, + 302 + ], + "score": 0.86, + "content": "z _ { \\mathrm { m a x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 290, + 505, + 304 + ], + "score": 1.0, + "content": "hyperplane. We include the results of image interpolation and the temperature scaling [6, 19, 33]", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 301, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 505, + 315 + ], + "score": 1.0, + "content": "to Appendix D.4 and Appendix D.5. For interpolation, it shows that we can travel along the latent", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 312, + 423, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 423, + 326 + ], + "score": 1.0, + "content": "space to obtain perceptually consistent interpolations between CelebA images.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 107, + 339, + 183, + 352 + ], + "lines": [ + { + "bbox": [ + 104, + 336, + 185, + 356 + ], + "spans": [ + { + "bbox": [ + 104, + 336, + 185, + 356 + ], + "score": 1.0, + "content": "5 Conclusion", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 364, + 505, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 365, + 505, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 505, + 377 + ], + "score": 1.0, + "content": "We present a new deep generative model by solving the Poisson equation whose source term is", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "score": 1.0, + "content": "the data distribution. 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YX and TJ", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 547, + 505, + 559 + ], + "spans": [ + { + "bbox": [ + 106, + 547, + 505, + 559 + ], + "score": 1.0, + "content": "acknowledge support from MIT-DSTA Singapore collaboration, from NSF Expeditions grant (award", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 104, + 556, + 507, + 571 + ], + "spans": [ + { + "bbox": [ + 104, + 556, + 507, + 571 + ], + "score": 1.0, + "content": "1918839) ”Understanding the World Through Code”, and from MIT-IBM Grand Challenge project.", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 104, + 567, + 507, + 582 + ], + "spans": [ + { + "bbox": [ + 104, + 567, + 507, + 582 + ], + "score": 1.0, + "content": "ZL and MT would like to thank the Center for Brains, Minds, and Machines (CBMM) for hospitality.", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 579, + 507, + 592 + ], + "spans": [ + { + "bbox": [ + 105, + 579, + 507, + 592 + ], + "score": 1.0, + "content": "ZL and MT are supported by The Casey and Family Foundation, the Foundational Questions Institute,", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 590, + 484, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 590, + 484, + 604 + ], + "score": 1.0, + "content": "the Rothberg Family Fund for Cognitive Science and IAIFI through NSF grant PHY-2019786.", + "type": "text" + } + ], + "index": 44 + } + ], + "index": 41 + } + ], + "page_idx": 9, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 300, + 741, + 311, + 750 + ], + "lines": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "spans": [ + { + "bbox": [ + 299, + 740, + 313, + 754 + ], + "score": 1.0, + "content": "10", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 72, + 505, + 128 + ], + "lines": [ + { + "bbox": [ + 106, + 72, + 505, + 86 + ], + "spans": [ + { + "bbox": [ + 106, + 72, + 134, + 86 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 73, + 200, + 84 + ], + "score": 0.9, + "content": "\\log z _ { \\mathrm { m i n } } / \\log z _ { \\mathrm { m a x } }", + "type": "inline_equation" + }, + { + "bbox": [ + 200, + 72, + 505, + 86 + ], + "score": 1.0, + "content": "are the starting/terminal time in the forward ODE. 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bits/dim ↓
RealNVP [6]3.49
Glow [19] Residual Flow [3]3.35 3.28
Flow++ [14]3.29
DDPM(L)[16]≤3.70*
DDPM++backbone
VP-ODE [33]3.20
sub-VP-ODE[33]3.02
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We include the results of image interpolation and the temperature scaling [6, 19, 33]", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 301, + 505, + 315 + ], + "spans": [ + { + "bbox": [ + 106, + 301, + 505, + 315 + ], + "score": 1.0, + "content": "to Appendix D.4 and Appendix D.5. For interpolation, it shows that we can travel along the latent", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 312, + 423, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 423, + 326 + ], + "score": 1.0, + "content": "space to obtain perceptually consistent interpolations between CelebA images.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 269, + 505, + 326 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 339, + 183, + 352 + ], + "lines": [ + { + "bbox": [ + 104, + 336, + 185, + 356 + ], + "spans": [ + { + "bbox": [ + 104, + 336, + 185, + 356 + ], + "score": 1.0, + "content": "5 Conclusion", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 107, + 364, + 505, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 365, + 505, + 377 + ], + "spans": [ + { + "bbox": [ + 105, + 365, + 505, + 377 + ], + "score": 1.0, + "content": "We present a new deep generative model by solving the Poisson equation whose source term is", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "spans": [ + { + "bbox": [ + 105, + 375, + 505, + 388 + ], + "score": 1.0, + "content": "the data distribution. We estimate the normalized gradient field of the solution in an augmented", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 386, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 105, + 386, + 506, + 398 + ], + "score": 1.0, + "content": "space with an additional dimension. For sampling, we devise a backward ODE that exponential", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 396, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 396, + 505, + 410 + ], + "score": 1.0, + "content": "decays on the physically meaningful additional dimension. 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We would", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 534, + 506, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 506, + 549 + ], + "score": 1.0, + "content": "like to thank Octavian Ganea and Wengong Jin for reviewing an early draft of this paper. 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Input: Training iteration T,Initial model fe,dataset D,constant y,learning rate n. fort=1...Tdo
from BL |B|
Simulate the ODE: {yi = perturb(xi) Ji=1 Calculate the normalized field by BL: VB (yi)=-√NEB,(yi)/(ll EB (yi) Il2 +γ), ∀i
|l f(yi)-vBL(yi)l² i1
Update the model parameter: 0 = 0 - nVL(0)
end for
return fe
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Sample the power m ~U[0,M] Sample the initial noise (∈x,∈z)~N(O,σ²I(N+1)x(N+1))
Uniformly sample the vector from the unit ball u ~U(SN(1))
Construct training point y = x+ | x I (1 + 𝑇)mu, z = |∈zl(1 + T)m
return y = (y, z)
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Invertible?Inception ↑FID↓NFE↓
PixelCNN[36]4.6065.91024
IGEBM[8]6.0240.660
ViTGAN [24]9.306.661
StyleGAN2-ADA [17]9.832.921
StyleGAN2-ADA (cond.) [17]xxxxxxxxxx10.142.421
NCSN[31]8.8725.321001
NCSNv2 [32]8.4010.871161
DDPM[16]9.463.171000
NCSN++ VE-SDE[33]9.832.382000
NCSN++ deep VE-SDE [33]9.892.202000
Glow [19]3.9248.91
DDIM,T=50 [30]-4.6750
DDIM, T=100 [30]14.16100
NCSN++ VE-ODE [33]9.345.29194
NCSN++ deep VE-ODE[33]9.177.66194
DDPM++backbone
VP-SDE[33]9.582.551000
sub-VP-SDE[33]xx-9.562.611000
VP-ODE [33]9.462.97134
sub-VP-ODE [33]9.303.16146
PFGM (ours)9.652.48104
DDPM++ deep backbone
VP-SDE [33]9.682.411000
sub-VP-SDE[33]xx-9.572.411000
VP-ODE [33]9.472.86134
sub-VP-ODE [33]9.403.05146
PFGM (ours)9.682.35110
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b/parse/dev/w1UbdvWH_R3/w1UbdvWH_R3.md @@ -0,0 +1,1295 @@ +# NEURAL COLLAPSE UNDER MSE LOSS: PROXIMITY TO AND DYNAMICS ON THE CENTRAL PATH + +X.Y. Han∗ Cornell University xh332@cornell.edu + +Vardan Papyan∗ University of Toronto vardan.papyan@utoronto.ca + +David L. Donoho Stanford University donoho@stanford.edu + +# ABSTRACT + +The recently discovered Neural Collapse (NC) phenomenon occurs pervasively in today’s deep net training paradigm of driving cross-entropy (CE) loss towards zero. During NC, last-layer features collapse to their class-means, both classifiers and class-means collapse to the same Simplex Equiangular Tight Frame, and classifier behavior collapses to the nearest-class-mean decision rule. Recent works demonstrated that deep nets trained with mean squared error (MSE) loss perform comparably to those trained with CE. As a preliminary, we empirically establish that NC emerges in such MSE-trained deep nets as well through experiments on three canonical networks and five benchmark datasets. We provide, in a Google Colab notebook, PyTorch code for reproducing MSE-NC and CE-NC: here. The analytically-tractable MSE loss offers more mathematical opportunities than the hard-to-analyze CE loss, inspiring us to leverage MSE loss towards the theoretical investigation of NC. We develop three main contributions: (I) We show a new decomposition of the MSE loss into (A) terms directly interpretable through the lens of NC and which assume the last-layer classifier is exactly the least-squares classifier; and (B) a term capturing the deviation from this least-squares classifier. (II) We exhibit experiments on canonical datasets and networks demonstrating that term-(B) is negligible during training. This motivates us to introduce a new theoretical construct: the central path, where the linear classifier stays MSE-optimal for feature activations throughout the dynamics. (III) By studying renormalized gradient flow along the central path, we derive exact dynamics that predict NC. + +# 1 INTRODUCTION + +Modern deep learning includes paradigmatic procedures that are commonly adopted, but not entirely understood. Some examples are multi-layered architectures, stochastic gradient descent, batch normalization, cross-entropy (CE) loss, and training past zero error towards zero loss. Analyzing the properties of these practices is an important research task. + +In this work, we theoretically investigate behavior of last-layer features in classification deep nets. In particular, we consider the training of deep neural networks on datasets containing images from $C$ different classes with $N$ examples in each class. After passing the $i$ -th example in the $c$ -th class through all layers except the last-layer of the network, the network outputs some last-layer features $\boldsymbol { h } _ { i , c } \in \mathbb { R } ^ { P }$ . The last-layer of the network—which, for each class $c$ , possesses a classifier ${ \pmb w } _ { c } \in \mathbb { R } ^ { P }$ and bias $b _ { c } \in \mathbb { R }$ —then predicts a label for the example using the rule arg $\mathrm { m a x } _ { c ^ { \prime } }$ $( \langle { \pmb w } _ { c ^ { \prime } } , { \pmb h } _ { i , c } \rangle + b _ { c ^ { \prime } } )$ . + +The network’s performance is evaluated by calculating the error defined by + +$$ +\mathrm { E r r o r } = \underset { i , c } { \mathrm { A v e } } ~ \mathbf { 1 } \{ c \neq \arg \operatorname* { m a x } _ { c ^ { \prime } } \left( \langle { \pmb w } _ { c ^ { \prime } } , { \pmb h } _ { i , c } \rangle + b _ { c ^ { \prime } } \right) \} , +$$ + +while the weights, biases, and other parameters of the network (that determine the behavior of the layers before the last layer) in the network are updated by minimizing the CE loss defined by + +$$ +\mathrm { C E } = - \underset { i , c } { \mathrm { A v e } } \log \frac { \exp \{ \langle \pmb { w } _ { c } , \pmb { h } _ { i , c } \rangle + b _ { c } \} } { \sum _ { c ^ { \prime } = 1 } ^ { C } \exp \{ \langle \pmb { w } _ { c ^ { \prime } } , \pmb { h } _ { i , c } \rangle + b _ { c ^ { \prime } } \} } , +$$ + +where Ave is the operator that averages over its subscript indices. + +Prior works such as Zhang et al. (2016); Belkin et al. (2019) have shown that overparameterized classifiers (such as deep nets) can “memorize” their training set without harming performance on unseen test data. Moreover, works such as Soudry et al. (2018) have further shown that continuing to train networks past memorization can still lead to performance improvements1,2. Papyan, Han, and Donoho (2020) recently examined this setting, referring to the phase during which one trains past zero-error towards zero-CE-loss as the Terminal Phase of Training (TPT). During TPT, they exposed a phenomenon called Neural Collapse (NC). + +# 1.1 NEURAL COLLAPSE + +NC is defined relative to the feature global mean, + +$$ +\mu _ { G } = \mathop { \mathrm { A v e } } _ { i , c } h _ { i , c } , +$$ + +the feature class-means, + +$$ +\pmb { \mu _ { c } = \mathrm { A v e } h _ { i , c } , } \quad c = 1 , \ldots , C , +$$ + +the feature within-class covariance, + +$$ +\pmb { \Sigma } _ { W } = \pmb { \mathrm { A v e } } ( \pmb { h } _ { i , c } - \pmb { \mu } _ { c } ) ( \pmb { h } _ { i , c } - \pmb { \mu } _ { c } ) ^ { \top } , +$$ + +and the feature between-class covariance, + +$$ +\begin{array} { r } { \pmb { \Sigma } _ { B } = \underset { c } { \mathrm { A v e } } ( \pmb { \mu } _ { c } - \pmb { \mu } _ { G } ) ( \pmb { \mu } _ { c } - \pmb { \mu } _ { G } ) ^ { \top } . } \end{array} +$$ + +![](images/012c475372c957a756c4dffb6e93ba8d44f97e5948f59046685bc652b6b00fe7.jpg) + +It is characterized by the following four limiting behaviors where limits take place with increasing training epoch $t$ : + +(NC1) Within-class variability collapse3: + +$$ +\Sigma _ { B } ^ { \dagger } \Sigma _ { W } \mathbf { 0 } , +$$ + +where $\dagger$ denotes the Moore-Penrose pseudoinverse. (NC2) Convergence to Simplex ETF: + +$$ +\frac { \langle \pmb { \mu } _ { c } - \pmb { \mu } _ { G } , \pmb { \mu } _ { c ^ { \prime } } - \pmb { \mu } _ { G } \rangle } { \| \pmb { \mu } _ { c } - \pmb { \mu } _ { G } \| _ { 2 } \| \pmb { \mu } _ { c ^ { \prime } } - \pmb { \mu } _ { G } \| _ { 2 } } \{ \begin{array} { l l } { 1 , } & { c = c ^ { \prime } } \\ { \frac { - 1 } { C - 1 } , } & { c \neq c ^ { \prime } } \end{array} +$$ + +$$ +\| \pmb { \mu } _ { c } - \pmb { \mu } _ { G } \| _ { 2 } - \| \pmb { \mu } _ { c ^ { \prime } } - \pmb { \mu } _ { G } \| _ { 2 } \to 0 \quad \forall c \neq c ^ { \prime } +$$ + +(NC3) Convergence to self-duality: + +$$ +{ \frac { { \pmb w } _ { c } } { \| { \pmb w } _ { c } \| _ { 2 } } } - { \frac { { \pmb \mu } _ { c } - { \pmb \mu } _ { G } } { \| { \pmb \mu } _ { c } - { \pmb \mu } _ { G } \| _ { 2 } } } 0 +$$ + +(NC4): Simplification to nearest class center: + +![](images/ae3b26a3a7de004b8695a58badcfe2eb49d356509226493a8bdaeee488ea4498.jpg) +Figure 1: Portrait of Neural Collapse. Top figure depicts the last-layer features, classmeans, and classifiers with which NC is defined—as well as the Simplex ETF to which they all converge with training. Bottom figure shows the deviations of features from their corresponding class-means. Reproduced and modified from Figure 1 of Papyan, Han, and Donoho (2020). + +$$ +\arg \operatorname* { m a x } _ { c ^ { \prime } } w _ { c ^ { \prime } } , h + b _ { c ^ { \prime } } \arg \operatorname* { m i n } _ { c ^ { \prime } } \| h - \mu _ { c ^ { \prime } } \| _ { 2 } +$$ + +The (NC2) property captures convergence to a simple geometric structure called an Equiangular Tight Frame (ETF). An ETF is a collection of vectors $\{ { \pmb v } _ { c } \} _ { c = 1 } ^ { \top }$ having equal lengths and equal, maximally separated pair-wise angles. In classification deep nets, last-layer features are of higher dimension than the number of classes i.e. $P { > } C$ . In this setting, the maximal angles are given by + +$$ +\frac { \left. { \pmb v } _ { c } , { \pmb v } _ { c ^ { \prime } } \right. } { \| { \pmb v } _ { c } \| _ { 2 } \| { \pmb v } _ { c ^ { \prime } } \| _ { 2 } } = \left\{ \begin{array} { l l } { 1 , } & { \mathrm { f o r } c = c ^ { \prime } } \\ { - \frac { 1 } { C - 1 } , } & { \mathrm { f o r } c \neq c ^ { \prime } } \end{array} \right. , +$$ + +and the ETF is called a Simplex $\mathrm { E T F ^ { 4 } }$ . Observe that as $C$ increases, the ETF approaches a (partial) orthogonal matrix. Thus, when $C$ is large, this translates to the intuitive notion that classifiers and class-means tend with training to (near) orthogonality. + +# 1.2 DEEP NET CLASSIFICATION WITH MSE LOSS + +While classification deep nets are typically trained with CE loss, Demirkaya et al. (2020) and Hui & Belkin (2020) recently reported deep nets trained with squared error (MSE) loss, + +$$ +\begin{array} { r l r } { { \mathcal { L } ( W , b , H ) = \frac { 1 } { 2 } \operatorname { A v e } \| W h _ { i , c } + b - y _ { i , c } \| _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } ( \| W \| _ { F } ^ { 2 } + \| b \| _ { 2 } ^ { 2 } ) } } \\ & { } & { \quad = \frac { 1 } { 2 C N } \| W H + b \mathbb { 1 } _ { C N } ^ { \top } - { \mathbf { Y } } \| _ { F } ^ { 2 } + \frac { \lambda } { 2 } ( \| W \| _ { F } ^ { 2 } + \| b \| _ { 2 } ^ { 2 } ) , } \end{array} +$$ + +achieve comparable test performance as those trained with CE loss. Above, $H \in \mathbb { R } ^ { P \times C N }$ and Y ∈ RC×CN are matrices resulting from stacking5 together the feature vectors $h _ { i , c }$ and one-hot vectors $_ { { \mathbf { \mathit { y } } } _ { i , c } }$ as their respective columns; $\pmb { W } \in \mathbb { R } ^ { C \times P }$ is the matrix resulting from the stacking of classifiers ${ \pmb w } _ { c }$ as rows; $\pmb { b } \in \mathbb { R } ^ { C }$ is the vector resulting from concatenating the scalars $\{ b _ { c } \} _ { c = 1 } ^ { C }$ ; and $\Im { _ { C N } }$ is the length- $C N$ vector of ones. Table 1 in Appendix A shows supplementary measurements affirming the findings of Hui & Belkin (2020); Demirkaya et al. (2020), i.e. the measurements affirm that MSE-trained networks indeed achieve accuracies on testing data comparable to those of CE-trained networks (cf. the analogous Table 1 in Papyan, Han, and Donoho (2020)). The analytically-tractable MSE loss offers more mathematical opportunities than the hard-to-analyze CE loss and inspires this paper’s main theoretical contributions explicitly characterizing MSE-NC. + +# 1.3 CONTRIBUTIONS + +Our main contributions are as follows: + +• We propose a new decomposition of the MSE loss: $\mathcal { L } = \mathcal { L } _ { \mathrm { N C 1 } } + \mathcal { L } _ { \mathrm { N C 2 / 3 } } + \mathcal { L } _ { \mathrm { L S } } ^ { \perp }$ . The terms $\mathcal { L } _ { \mathrm { N C 1 } }$ and $\mathcal { L } _ { \mathrm { N C } 2 / 3 }$ possess interpretations attributable to NC phenomena and assume the classifier $W$ is exactly the least-squares optimal classifier $W _ { \mathrm { L S } }$ (relative to the given $\pmb { H }$ ); +and $\mathcal { L } _ { \mathrm { L S } } ^ { \perp }$ captures the deviation of $W$ from $W _ { \mathrm { L S } }$ . (Section 2) +• We provide empirical measurements of our decomposition (Figure 2) on realistic datasetnetwork combinations showing that $\mathcal { L } _ { \mathrm { L S } } ^ { \perp }$ becomes negligible during training—leading us to +define the central path where $\mathcal { L } _ { \mathrm { L S } } ^ { \perp } { = } z e r o$ . (Section 2) +• We reveal a key invariance property on the central path. The invariance motivates the +examination of a representative set of features, $\scriptstyle { X = \sum _ { W } ^ { - { \frac { 1 } { 2 } } } H }$ , that we call renormalized +features. (Sections 3.1-3.2) +• We study the gradient flow of those renormalized features along the central path and derive exact, closed-form dynamics that imply NC. The dynamics are explicit in terms of the + +singular value decomposition of the renormalized feature class-means at initialization. (Section 3.3) + +Additionally, we complement this paper with new, extensive measurements on five benchmark datasets—in particular, the MNIST, FashionMNIST, CIFAR10, SVHN, and STL10 datasets6 (Deng et al., 2009; Krizhevsky & Hinton, 2009; LeCun et al., 2010; Xiao et al., 2017)—and three canonical deep nets—in particular, the VGG, ResNet, and DenseNet networks (He et al., 2016; Huang et al., 2017; Simonyan & Zisserman, 2014)—that verify the empirical reality of MSE-NC i.e. they show (NC1)-(NC4) indeed occur for networks trained with MSE loss. These experiments establish that theoretical modeling of MSE-NC is empirically well-motivated. They are lengthy—together spanning four pages with seven figures and a table—so we collectively defer them to Appendix A. + +# 2 DECOMPOSITION OF MSE LOSS + +Inspired by the community’s interest in the role of the MSE loss in deep net training (Demirkaya et al., 2020; Hui & Belkin, 2020; Mixon et al., 2020; Poggio & Liao, 2020a;b), we derive a new decomposition of the MSE loss that gives insights into the NC phenomenon. First, absorb the bias vector into the weight matrix—by defining the extended weight matrix $\widetilde { W } = [ W , b ] \in \mathbb { R } ^ { C \times ( P + 1 ) }$ and the extended feature vector $\widetilde { \pmb { h } } _ { i , c } = [ \pmb { h } _ { i , c } ; 1 ] \in \mathbb { R } ^ { P + 1 }$ —so that Equation 2 can be rewritten as + +$$ +\mathcal { L } ( \widetilde { W } , \widetilde { H } ) = \frac { 1 } { 2 } \mathop { \mathrm { A v e } } _ { i , c } \| \widetilde { W } \widetilde { h } _ { i , c } - y _ { i , c } \| _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } \| \widetilde { W } \| _ { F } ^ { 2 } . +$$ + +Using $\left\{ \widetilde { h } _ { i , c } \right\}$ , define the entities $\widetilde { \mu } _ { c } , \widetilde { \mu } _ { G } ,$ $\widetilde { H }$ , and $\widetilde { \pmb { \Sigma } } _ { W }$ analogously to those in Section 1.1. We further define the extended total covariance and extended class-means matrices, respectively, as + +$$ +\begin{array} { r l } & { \widetilde { \boldsymbol { \Sigma } } _ { T } = \underset { i , c } { \mathrm { A v e } } ( \widetilde { \boldsymbol { h } } _ { i , c } - \widetilde { \pmb { \mu } } _ { G } ) ( \widetilde { \boldsymbol { h } } _ { i , c } - \widetilde { \pmb { \mu } } _ { G } ) ^ { \top } \in \mathbb { R } ^ { ( P + 1 ) \times ( P + 1 ) } } \\ & { \widetilde { \boldsymbol { M } } = [ \widetilde { \mu } _ { 1 } , \dots , \widetilde { \pmb { \mu } } _ { C } ] \in \mathbb { R } ^ { ( P + 1 ) \times C } . } \end{array} +$$ + +Next, we reformulate, with weight decay incorporated, a classic result of Webb & Lowe (1990): + +Proposition 1 (Webb & Lowe (1990) with Weight Decay). For fixed extended features $\widetilde { H }$ , the optimal classifier minimizing the MSE loss $\mathcal { L } ( \widetilde { W } , \widetilde { H } )$ is + +$$ +\widetilde { \pmb { W } } _ { L S } = \frac { 1 } { C } \widetilde { \pmb { M } } ^ { \top } ( \widetilde { \pmb { \Sigma } } _ { T } + \widetilde { \pmb { \mu } } _ { G } \widetilde { \pmb { \mu } } _ { G } ^ { \top } + \lambda \pmb { I } ) ^ { - 1 } , +$$ + +where $\pmb { I }$ is the identity matrix. Note that $\widetilde { W _ { L S } }$ depends on $\widetilde { H }$ only. + +Note that we can interpret $\widetilde { W _ { \mathrm { L S } } }$ as a function of $\widetilde { H }$ , leading us to identify the following decomposition of $\mathcal { L }$ where one term depends on $\widetilde { H }$ only. + +Theorem 1. (Decomposition of MSE Loss; Proof in Appendix $\pmb { B }$ ) The MSE loss, $\mathcal { L } ( \widetilde { W } , \widetilde { H } )$ , can be decomposed into two terms, $\mathcal { L } ( \widetilde { W } , \widetilde { H } ) = \mathcal { L } _ { L S } ( \widetilde { H } ) + \mathcal { L } _ { L S } ^ { \perp } ( \widetilde { W } , \widetilde { H } )$ , where + +$$ +\mathcal { L } _ { L S } ( \widetilde { H } ) = \frac { 1 } { 2 } \mathop { \mathrm { A v e } } _ { i , c } \Vert \widetilde { W } _ { L S } \widetilde { h } _ { i , c } - \pmb { y } _ { i , c } \Vert _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } \Vert \widetilde { W } _ { L S } \Vert _ { F } ^ { 2 } , +$$ + +and + +$$ +\mathcal { L } _ { L S } ^ { \perp } ( \widetilde { W } , \widetilde { H } ) = \frac { 1 } { 2 } \mathrm { t r } \bigg \{ ( \widetilde { W } - \widetilde { W } _ { L S } ) \left( \widetilde { \boldsymbol { \Sigma } } _ { T } + \widetilde { \mu } _ { G } \widetilde { \boldsymbol { \mu } } _ { G } ^ { \top } + \lambda I \right) ( \widetilde { W } - \widetilde { W } _ { L S } ) ^ { \top } \bigg \} . +$$ + +In the above, $\mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } )$ is independent of $\widetilde { W }$ . Intuitively, it is the MSE-performance of the optimal classifiers $\widetilde { W _ { \mathrm { L S } } }$ (rather than the “real classifiers” $\widetilde { W }$ ) on input $\widetilde { \pmb { H } }$ . + +The component $\mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { W } , \widetilde { H } )$ is non-negative7 and is zero only when $\widetilde { W } = \widetilde { W } _ { \mathrm { L S } }$ . Therefore, $\mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { \pmb { H } } )$ quantifies the distance of $\widetilde { W }$ from $\widetilde { W _ { \mathrm { L S } } }$ . In short, the least-squares component, $\mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } )$ , captures the behavior of the network when the classifier possesses optimal, least squares behavior. Meanwhile, the deviation component, $\mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { W } , \widetilde { H } )$ , captures the divergence from that behavior. + +We can further decompose $\mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } )$ into two terms, one capturing activation collapse (NC1) and the other capturing convergence to Simplex ETF of both features and classifiers ((NC2) and (NC3)). + +Theorem 2. (Decomposition of Least-Squares Component; Proof in Appendix $c$ ) The least-squares component, $\mathcal { L } _ { L S } ( \widetilde { \pmb { H } } )$ , of the MSE decomposition in Theorem $^ { l }$ can be further decomposed into $\mathcal { L } _ { L S } ( \widetilde { H } ) = \mathcal { L } _ { N C I } ( \widetilde { H } ) + \mathcal { L } _ { N C 2 / 3 } ( \widetilde { H } )$ , where + +$$ +\begin{array} { r l r } & { } & { \mathcal { L } _ { N C I } ( \widetilde { \pmb { H } } ) = \frac { 1 } { 2 } \operatorname { t r } \biggr \{ \widetilde { W } _ { L S } \left[ \widetilde { \pmb { \Sigma } } _ { W } + \lambda { \pmb I } \right] \widetilde { W } _ { L S } ^ { \top } \biggr \} , } \\ & { } & { \mathcal { L } _ { N C 2 / 3 } ( \widetilde { \pmb { H } } ) = \frac { 1 } { 2 C } \| \widetilde { W } _ { L S } \widetilde { \pmb { M } } - { \pmb I } \| _ { F } ^ { 2 } . \qquad } \end{array} +$$ + +Inspection of these terms is revealing. First, observe that $\mathcal { L } _ { \mathrm { N C } 2 / 3 }$ is a function of the class-means and MSE-optimal classifiers. Minimizing $\mathcal { L } _ { \mathrm { N C } 2 / 3 }$ will push the (unextended) class-means and classifiers towards the same Simpex ETF matrix8 i.e. (NC2)-(NC3). Next, note that the within-class variation is independent of the means. Thus, despite the fact that classifiers are converging towards some (potentially large) ETF matrix, we can always reduce $\mathcal { L } _ { \mathrm { N C 1 } }$ by pushing $\Sigma _ { W }$ towards zero, which corresponds to (NC1) . + +This motivates us to formulate the central path: + +$$ +\mathcal { P } = \left\{ ( \widetilde { W } _ { \mathrm { L S } } ( \widetilde { H } ) , \widetilde { H } ) | \widetilde { H } \in \mathbb { R } ^ { ( P + 1 ) \times C N } \right\} , +$$ + +where the notation $\widetilde { W } _ { \mathrm { L S } } ( \cdot )$ makes explicit the fact that $\widetilde { W _ { \mathrm { L S } } }$ is a function of $\widetilde { H }$ only. Intuitively, for a classifier-features pair to lie on the central path, i.e. $( \widetilde { W } , \widetilde { H } ) \in \mathcal { P }$ , means that the “real classifier” $\widetilde { W }$ will exactly equal $\widetilde { W _ { \mathrm { L S } } } ( \widetilde { H } )$ —the optimal classifier that would result from fixing $\widetilde { H }$ and minimizing $\mathcal { L }$ w.r.t. just the classifier. Combined with Theorem 1, we see $( \widetilde { W } , \widetilde { H } ) \in \mathcal { P }$ if and only if $\mathcal { L } ( \widetilde { W } , \widetilde { H } ) { = } \mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } )$ . Figure 2 shows that classifier-features pairs lie approximately on the central path during TPT, allowing us to shift focus from $\mathcal { L }$ to $\mathcal { L } _ { \mathrm { L S } }$ . + +# 3 EXACT CLOSED-FORM ANALYSIS ON CENTRAL PATH + +Consider $\lambda = 0$ in this section. For the subsequent theory, we adopt the unconstrained features (Mixon et al., 2020) or layer-peeled (Fang et al., 2021) modeling perspective9. We consider continuous training dynamics with gradient flow where time-of-training is denoted by the variable $\cdot ^ { 1 0 } t { \geq } 0$ . Within this model, we analyze the dynamics of the renormalized features $\scriptstyle { X = \sum _ { W } ^ { - { \frac { 1 } { 2 } } } H }$ on the central path + +$$ +\frac { \mathrm { d } } { \mathrm { d } t } \pmb { X } = - \Pi _ { T \pmb { x } } \pmb { \chi } \left( \nabla \pmb { x } \mathcal { L } _ { \mathrm { L S } } ( \pmb { X } ) \right) , +$$ + +![](images/1aba7ffade98a2c136d8e535d90b3068c4781eddd835f16a3cc36ce01b6a9d8a.jpg) +Figure 2: Decomposition of MSE loss: Each array column shows a benchmark image classification dataset while each row shows a canonical deep net architecture trained with MSE loss. The red vertical line indicates the epoch at which zero training error was achieved. In each array cell, we plot terms of the MSE loss decomposition $\mathcal { L } ( \widetilde { W } , \widetilde { H } ) = \mathcal { L } _ { \mathrm { N C 1 } } ( \widetilde { H } ) + \mathcal { L } _ { \mathrm { N C 2 / 3 } } ( \widetilde { H } ) + \mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { W } , \widetilde { H } )$ from Section 2. Starting from an early epoch in training, $\mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { W } , \widetilde { H } )$ becomes negligible compared to the dominant term, $\mathcal { L } _ { \mathrm { N C 1 } } ( \widetilde { \pmb { H } } )$ , implying $\mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { W } , \widetilde { H } ) { \ll } \mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } ) { = } \mathcal { L } _ { \mathrm { N C 1 } } ( \widetilde { H } ) { + } \mathcal { L } _ { \mathrm { N C 2 / 3 } } ( \widetilde { H } ) ,$ , i.e. the features and classifiers are effectively on the central path during TPT. Note that $\mathcal { L } _ { \mathrm { N C } 2 / 3 } ( \widetilde { H } )$ diminishes the fastest among all the terms: Intuitively, this shows that the network primarily focuses on distributing the feature class-means into a “uniform” Simplex ETF configuration (NC1)-(NC2) early on and, from there, compresses the activations towards their class-means, i.e. (NC1) , as much as possible. Further experimental details are in Appendix A. Outlier behavior is discussed in Appendix A.7. + +where the operator $\Pi _ { T _ { X } \mathcal { X } }$ projects the gradient onto the tangent space of the manifold11, $\mathcal { X }$ , of all identity-covariance features. For $\Sigma _ { W } ^ { - \frac { 1 } { 2 } } H$ to be well-defined, we assume that $\Sigma _ { W }$ remains full-rank12 during training. We call Equation 5 the continually renormalized gradient flow and will motivate it in more detail in later subsections. We now state our main theorem: + +Theorem 3. (NC Under Continually Renormalized Gradient Flow) Consider the continually renormalized gradient flow (Equation 5) in which the dynamics are restricted to the central path, and the features are renormalized to identity within-class covariance. Assume the features are initialized with zero global mean. Then, Neural Collapse emerges on the renormalized features with explicit dynamics of the flow given in Proposition 2 as well as Corollaries 1 and 2 later in this paper. + +Three assumptions standout which we discuss below: + +(A1) Restriction to central path: Figure 2 shows that—in practice, during TPT— $\mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { W } , \widetilde { H } )$ is observed to be negligible compared to the dominant term, $\mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } )$ . This indicates $( \widetilde W , \widetilde H )$ is close to the central path (Equation 4) where $\mathcal { L } ( \widetilde { W } , \widetilde { H } ) = \mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } )$ . One the central path, one is effectively training with $\mathcal { L } _ { \mathrm { L S } }$ as the loss. + +(A2) Zero global mean: Proximity to the central path implies that the last-layer biases become close to $b _ { \mathrm { L S } }$ . Having biases $b = b _ { \mathrm { { L S } } }$ is effectively performing classification with no bias term (i.e. using only a linear classifier $W$ ) on zero-mean data. To see this, define the globally-centered features, globally-centered means, and total-covariance matrix in unextended coordinates: + +$$ +\overline { { H } } = H - \mu _ { G } \mathbb { 1 } _ { C N } ^ { \top } ; \quad \overline { { M } } = [ \mu _ { 1 } - \mu _ { G } , \ldots , \mu _ { C } - \mu _ { G } ] ; \quad \Sigma _ { T } = \frac { 1 } { C N } \overline { { H } } \overline { { H } } ^ { \top } . +$$ + +Proposition 1 then reduces to the following forms for the unextended weights and biases: + +$$ +\widetilde { W } _ { \mathrm { L S } } = [ W _ { \mathrm { L S } } , \ b _ { \mathrm { L S } } ] = \left[ C ^ { - 1 } \overline { { { M } } } ^ { \top } \Sigma _ { T } ^ { - 1 } , \quad C ^ { - 1 } \mathbb { 1 } _ { C } - C ^ { - 1 } \overline { { { M } } } ^ { \top } \Sigma _ { T } ^ { - 1 } \mu _ { G } \right] . +$$ + +For an arbitrary activation-target pair $( h , y )$ , the prediction error obeys + +$$ +\begin{array} { r l } & { W _ { \mathrm { L S } } h + b _ { \mathrm { L S } } - y = C ^ { - 1 } \overline { { M } } ^ { \top } \Sigma _ { T } ^ { - 1 } h + C ^ { - 1 } \mathbb { 1 } _ { C } - C ^ { - 1 } \overline { { M } } ^ { \top } \Sigma _ { T } ^ { - 1 } \mu _ { G } - y } \\ & { ~ = W _ { \mathrm { L S } } ( h - \mu _ { G } ) - ( y - C ^ { - 1 } \mathbb { 1 } _ { C } ) . } \end{array} +$$ + +The last line exhibits two terms in parentheses, both traceable to the action of the bias $b _ { \mathrm { L S } }$ . The term $h - \mu _ { G }$ demonstrates that the bias induces a global-mean subtraction on $^ { h }$ , while the term $\pmb { y } - C ^ { - 1 } \pmb { 1 }$ demonstrates that the bias also induces a global-mean subtraction on the one-hot targets. + +(A3) Renormalization to identity covariance: Renormalization is ubiquitous in the empirical deep learning literature through works such batch normalization and its variants (Ioffe & Szegedy, 2015; Salimans & Kingma, 2016; Wu & He, 2018; Ulyanov et al., 2016; Ba et al., 2016; Krizhevsky et al., 2012). It is also ideologically precedented in the theoretical ML literature through works such as Douglas et al. (1998); Banburski et al. (2019); Poggio & Liao (2020a;b). Within this paper, the covariance-renormalization is inspired by an invariance property of the loss as well as the intuitive concept of the signal-to-noise ratio from mathematical statistics (discussed later in Sections 3.1-3.2). + +In the subsequent sections, we motivate and introduce the theoretical constructs necessary for proving Theorem 3 and for presenting the explicit dynamics of the flow. + +# 3.1 INVARIANCE PROPERTY + +By Assumption (A2), classification on the central path is equivalent to classification on globallycentered features using only the linear classifier $W _ { \mathrm { L S } }$ . Then, using Equation 6, we can equivalently represent the central path (Equation 4) as follows: + +# Definition 1 (Zero Global Mean Central Path). + +$$ +\bar { \mathcal { P } } = \left\{ \left( W _ { L S } , \overline { { H } } \right) ~ \bigg | ~ W _ { L S } = C ^ { - 1 } \overline { { M } } ^ { \top } \Sigma _ { T } ^ { - 1 } \right\} . +$$ + +An invariance property holds on the central path. Let $\pmb { A }$ denote a symmetric, full-rank matrix. Then, the explicit form in Equation 6 for $W _ { \mathrm { L S } }$ implies + +$$ +\begin{array} { r l } & { W _ { \mathrm { L S } } ( A \overline { { H } } ) A \overline { { H } } = C ^ { - 1 } \left( A \overline { { M } } \right) ^ { \top } \left[ \left( A \overline { { H } } \right) \left( A \overline { { H } } \right) ^ { \top } \right] ^ { - 1 } A \overline { { H } } } \\ & { \qquad = C ^ { - 1 } \overline { { M } } ^ { \top } A \left[ A ^ { - 1 } \left( \overline { { H } } \overline { { H } } ^ { \top } \right) ^ { - 1 } A ^ { - 1 } \right] A \overline { { H } } } \\ & { \qquad = C ^ { - 1 } \overline { { M } } ^ { \top } \left( \overline { { H } } \overline { { H } } ^ { \top } \right) ^ { - 1 } \overline { { H } } = C ^ { - 1 } \overline { { M } } ^ { \top } \Sigma _ { T } ^ { - 1 } \overline { { H } } = W _ { \mathrm { L S } } \left( \overline { { H } } \right) \overline { { H } } , } \end{array} +$$ + +where the notation $W _ { \mathrm { L S } } ( \cdot )$ makes explicit that $W _ { \mathrm { L S } }$ is a function of a set of input features. Thus, the actual predictions made by the least squares classifier are invariant to choice of the coordinates in which we express $\overline { { H } }$ , i.e. all features $\overline { { A H } }$ are equivalently performing. Among those coordinate systems, we will prefer the one in which the “noise” is “whitened” or “sphered.” Recall that we assume $\dot { \Sigma } _ { W } ( \overline { { \pmb { H } } } )$ —where the notation $\pmb { \Sigma } _ { W } ( \cdot )$ expresses the within-class covariance as a function of the features—is positive-definite. Consider the coordinate transformation $\overline { { H } } \mapsto A \overline { { H } }$ with $\pmb { A } = \pmb { \Sigma } _ { W } ^ { - \frac 1 2 } ( \overline { { \pmb { H } } } )$ . In these coordinates, the features are “renormalized” to spherical covariance, + +$$ +\Sigma _ { W } ( A { \overline { { H } } } ) = A \Sigma _ { W } ( { \overline { { H } } } ) A = I , +$$ + +so we will call $A \overline { { H } }$ the renormalized features. The class-means of $A \overline { { H } }$ are + +$$ +\overline { { { M } } } ( A \overline { { { H } } } ) = A \overline { { { M } } } ( \overline { { { H } } } ) = \Sigma _ { W } ^ { - \frac 1 2 } ( \overline { { { H } } } ) \overline { { { M } } } ( \overline { { { H } } } ) , +$$ + +where the notation $\overline { { M } } ( \cdot )$ expresses that the means are a function of features. Thus, Equation 5 describes continuous training dynamics where we continually “renormalize” features to their equivalently-performing representer. + +The $\Sigma _ { W } ^ { - \frac { 1 } { 2 } } \overline { { M } }$ term evokes the canonical idea of a signal-to-noise ratio from statistics. To see this, note that the classifier in Equation 6 can be rewritten as + +$$ +\begin{array} { r } { W _ { \mathrm { L S } } = C ^ { - 1 } \overline { { M } } ^ { \top } \left( C ^ { - 1 } \overline { { M } } \overline { { M } } ^ { \top } + \Sigma _ { W } \right) ^ { - 1 } . } \end{array} +$$ + +The combined presence of the terms ${ \overline { { M } } } { \overline { { M } } } ^ { \top }$ and $\Sigma _ { W }$ in the denominator, along with $\bar { M }$ in the numerator, signals to us the presence of the informative signal-to-noise (SNR) ratio matrix: + +$$ +\mathrm { S N R } \equiv { \bf C } _ { W } ^ { - \frac { 1 } { 2 } } \overline { { { \cal M } } } . +$$ + +Why this terminology? The globally-centered class-means represent the overall “signal” indicating that the class-means are separated from each other: if they were non-separated—e.g. all equal— $\breve { M }$ would be zero. However, a classifier decision must keep in view noise—captured by $\Sigma _ { W }$ —which might confuse the classifier. So, one wishes the signal be large compared to the noise. It may help to consider the mental model—which is not at all necessary to the correctness of our analysis—under which the activations are normally distributed with $\pmb { h } _ { i , c } \sim \mathcal { N } ( \pmb { \mu _ { c } } , \pmb { \Sigma _ { W } } )$ . Under that model, a linear classifier will indeed get confused if the norm $\| \pmb { \mu } _ { c } - \pmb { \mu } _ { G } \| _ { 2 }$ is “small compared” to $\Sigma _ { W }$ . Replacing this somewhat vague statement by a discussion of quantitative properties of the SNR matrix is well understood by mathematical statisticians to be decisive for understanding classification performance in the normal case. Additionally, observe that $\mathrm { S N R } = \overline { { M } } ( \Sigma _ { W } ^ { - \frac { 1 } { 2 } } \overline { { H } } )$ . Thus, connecting back to Section 3.1, the SNR matrix is simply the class-means matrix of the renormalized features. + +The SNR can be further understood through its singular value decomposition (SVD). + +Definition 2 (SVD of SNR Matrix). Denote the SVD of the SNR matrix (Equation 8) as follows: + +$$ +\mathrm { S N R } = U \Omega V ^ { \top } = \sum _ { j = 1 } ^ { C - 1 } \omega _ { j } \pmb { u } _ { j } \pmb { v } _ { j } ^ { \top } . +$$ + +Here, $\{ \omega _ { c } \} _ { c = 1 } ^ { C - 1 }$ are the non-zero singular values of SNR; $\Omega = \mathrm { d i a g } \left( \left\{ \omega _ { c } \right\} _ { c = 1 } ^ { C - 1 } , 0 \right) \in \mathbb { R } ^ { C \times C }$ ; and the left and right singular-vectors, $U \in \mathbb { R } ^ { P \times C }$ and $V \in \mathbb { R } ^ { C \times C }$ , are partial orthogonal and orthogonal matrices, respectively, with columns $\{ u _ { j } \} _ { j = 1 } ^ { C }$ and $\{ \pmb { v } _ { j } \} _ { j = 1 } ^ { C }$ . The SNR matrix is rank $C - 1$ since $\Sigma _ { W }$ is assumed full-rank and $\bar { M }$ is rank $C - 1$ due to global-mean subtraction. + +The non-zero singular values, $\{ \omega _ { j } \} _ { j = 1 } ^ { C - 1 }$ , are decisive for understanding the separation performance of the least-squares linear classifier. Good performance demands that the singular values be large. Works such as Fukunaga (1972, Chapter 10) and Hastie & Tibshirani (1996) show that the magnitude of each singular value of the SNR matrix is the size of the class separation in the direction of the corresponding singular vector. In this sense, the smallest singular value captures the smallest separation between classes. Consequently, driving-larger the smallest non-zero singular value makes the task of linear separation more immune to (spherical) noise and to Euclidean-norm-constrained adversarial noise. As we will see in the next section, examining the dynamics of these singular-values when the features undergo gradient flow in renormalized coordinates leads to precise characterizations of Neural Collapse13. + +# 3.3 DYNAMICS OF SNR + +For any matrix $z$ , we use $\scriptstyle { Z _ { t } }$ in this section to denote the state of that matrix at time $t$ . Similarly, we denote with Proposition 2 an $\{ \omega _ { j } ( t ) \} _ { j = 1 } ^ { C - 1 }$ the state of the non-zero SNR singular values at s 1-2 that provide the explicit dynamics referenced $t$ . We now presenty Theorem 3. + +Proposition 2 (Dynamics of Singular Values of SNR Matrix; Proof in Appendix D.4). Continually renormalized gradient flow on the central path (Equation 5) induces the following closed-form dynamics on the SNR singular values (Definition 2): + +$$ +c _ { 1 } \log ( \omega _ { j } ( t ) ) + c _ { 2 } \omega _ { j } ^ { 2 } ( t ) + c _ { 3 } \omega _ { j } ^ { 4 } ( t ) = a _ { j } + t , \quad t \geq 0 , \quad f o r a l l j = 1 , \ldots , C - 1 . +$$ + +$c _ { 1 } , \ : c _ { 2 }$ , and $c _ { 3 }$ are positive constants independent of $j$ , and $a _ { j }$ is a constant depending on $\omega _ { j } ( 0 )$ + +Corollary 1 (Properties of SNR Singular Values; Proof in Appendix D.5). SNR singular values (Definition 2) following the Equation 9 dynamics satisfy the following limiting behaviors: + +$$ +\begin{array} { r l } & { 1 . \ \operatorname* { l i m } _ { t \to \infty } \omega _ { j } ( t ) = \infty \quad a n d \quad \ \operatorname* { l i m } _ { t \to \infty } \frac { \omega _ { j } ( t ) } { \sqrt [ 4 ] { t / c _ { 3 } } } = 1 , \quad f o r a l l \ j = 1 , \ldots , C - 1 . } \\ & { } \\ & { 2 . \ \operatorname* { l i m } _ { t \to \infty } \frac { \operatorname* { m a x } _ { j } \omega _ { j } ( t ) } { \operatorname* { m i n } _ { j } \omega _ { j } ( t ) } = 1 . } \end{array} +$$ + +The first fact shows that all non-zero singular values of the SNR matrix, $\Sigma _ { W } ^ { - \frac { 1 } { 2 } } \overline { { M } }$ , grow to infinity at an asymptotic rate of $\sqrt [ 4 ] { t / c _ { 3 } }$ . Intuitively, this shows that the “signal” becomes infinitely large compared to the “noise”, i.e. (NC1). The second fact shows that the singular values of $\Sigma _ { W } ^ { - \frac { 1 } { 2 } } \overline { { M } }$ (which has zero-mean columns) approach equality—implying that the limiting matrix is a Simplex ETF (Lemma 7, Appendix D.6) i.e. (NC2). Finally, Papyan, Han, and Donoho (2020, Theorem 1) show that (NC1-2) imply (NC3-4) on the central path. Corollary 2 formalizes these intuitions. + +Corollary 2 (Neural Collapse Under MSE Loss; Proof in Appendix D.6). Under continually renormalized gradient flow (Equation $5$ ), the SNR matrix (Equation 8) converges to + +$$ +\operatorname* { l i m } _ { t \infty } \frac { 1 } { \omega _ { \mathrm { m a x } } ( t ) } \mathrm { S N R } _ { t } = \widehat { U } _ { 0 } \widehat { V } _ { 0 } ^ { \top } , +$$ + +where $\widehat { U } _ { 0 } \in \mathbb { R } ^ { P \times ( C - 1 ) }$ and $\widehat { V } _ { 0 } \in \mathbb { R } ^ { C \times ( C - 1 ) }$ are the left and right singular vectors of the SNR matrix (Definition 2) at $t { = } 0$ corresponding to the non-zero singular values; and $\omega _ { \mathrm { m a x } } ( t )$ is the largest singular value at time $t$ . Furthermore, Corollary $^ { l }$ implies the occurrence of (NC1)-(NC4) i.e. renormalized gradient flow on the central path leads to Neural Collapse. + +Moreover, denoting the Kronecker product with $\otimes$ , the renormalized features matrix converges to + +$$ +\operatorname* { l i m } _ { t \to \infty } \frac { 1 } { \omega _ { \mathrm { m a x } } ( t ) } \Sigma _ { W , t } ^ { - \frac { 1 } { 2 } } \overline { { H } } _ { t } = ( \widehat { U } _ { 0 } \widehat { V } _ { 0 } ^ { \top } ) \otimes \mathbf { 1 } _ { N } ^ { \top } . +$$ + +# 4 RELATED WORKS + +Since the publication of Papyan, Han, and Donoho (2020), several works (Mixon et al., 2020; Lu & Steinerberger, 2020; E & Wojtowytsch, 2020; Poggio & Liao, 2020a;b; Fang et al., 2021; Ergen & Pilanci, 2020; Zhu et al., 2021) proposed mathematical frameworks ratifying Neural Collapse. + +Among them, Mixon et al. (2020) and Poggio & Liao (2020a;b) also examine MSE-NC. Our contributions are distinct from the MSE-NC analyses of Mixon et al. (2020) and Poggio & Liao (2020a;b): The work of Mixon et al. (2020) relies on a linearization of the unconstrained features model ODE while Poggio & Liao (2020a;b)—in a special section co-authored with Andrzej Banburski—examine homogeneous, weight-normalized networks. In contrast, this paper considers the dynamics of the renormalized gradient flow on the central path (motivated by the discussions in Sections 2-3). Neither Mixon et al. (2020) nor Poggio & Liao (2020a;b) provide exact, closed-form dynamics as we do. + +Outside the MSE setting, Lu & Steinerberger (2020); E & Wojtowytsch (2020); Ergen & Pilanci (2020); Fang et al. (2021); Zhu et al. (2021) examine the emergence of the NC properties under variants of the unconstrained features/layer-peeled model trained with CE loss. These works focus on characterizing the loss landscape or the global minima without describing the dynamics. + +We provide a detailed survey of all above-mentioned papers in Appendix E. + +# 5 CONCLUSION + +In this paper, after verifying that NC occurs when prototypical classification deep nets are trained with MSE loss on canonical datasets, we then derive and measure a novel decomposition of the MSE loss. We observed that the last-layer classifier tends to the least-squares classifier—motivating us to define the central path on which the classifier behaves exactly as optimal least-squares classifier. On the central path, we showed invariance properties that inspired us to examine the renormalized features and their corresponding continually renormalized gradient flow. This flow induces closed-form dynamics that imply the occurrence of Neural Collapse. + +# REPRODUCIBILITY STATEMENT + +This paper is reproducible. Experimental details about all empirical results described in this paper are provided in Appendix A. Additionally, we provide PyTorch (Paszke et al., 2019) code for reproducing NC under both MSE and CE—as well as the Figure 2 MSE decomposition—in the following Google Colaboratory notebook: here. Experimental measurements used to generated the plots in this paper have been deposited in the Stanford Digital Repository, here. All datasets and networks used in our experiments originate from the PyTorch Model Zoo with pre-processing details described in Appendix A. Formal statements and proofs of all our theoretical results are provided in Appendices B-D. + +# ACKNOWLEDGEMENTS + +Some of the computing for this project was performed on the Sherlock cluster. We would like to thank Stanford University and the Stanford Research Computing Center for providing computational resources and support that contributed to these research results. + +We acknowledge the support of the Natural Sciences and Engineering Research Council of Canada (NSERC), [funding reference number 512236 and 512265]. This research was funded by a Connaught New Researcher Award at the University of Toronto. This research was enabled in part by support provided by Compute Ontario (www.computeontario.ca) and Compute Canada (www.computecanada.ca). This work was also partially supported by NSF Division of Mathematical Sciences Grants 1407813, 1418362, and 1811614 and by private donors. + +# REFERENCES + +P-A Absil, Robert Mahony, and Rodolphe Sepulchre. Optimization algorithms on matrix manifolds. Princeton University Press, 2009. + +Sanjeev Arora, Simon Du, Wei Hu, Zhiyuan Li, and Ruosong Wang. 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A geometric analysis of neural collapse with unconstrained features. arXiv preprint arXiv:2105.02375, 2021. + +# APPENDIX + +# A MSE Neural Collapse experiments 14 + +A.1 Datasets . . . 14 +A.2 Networks 14 +A.3 Optimization methodology 14 +A.4 Computational resources 14 +A.5 Formatting . . 15 +A.6 Experimental results 15 +A.7 Exceptions: STL10-ResNet and STL10-DenseNet . 21 +A.8 Open Questions: Weight-decay, batch normalization, SGD, generalization, test data 21 + +B Theorem 1 22 + +C Theorem 2 22 +C.1 Intuitions for Theorem 2 in unextended coordinates 23 +C.2 Additional intuitions for Theorem 2 terms 23 + +# D Theorem 3 23 + +D.1 Implications of invariance . . . 23 +D.2 Aligned SNR coordinates . 25 +D.3 Continually renormalized gradient flow 27 +D.4 Proof of Proposition 2 (gradient flow in aligned SNR coordinates) 28 +D.5 Proof of Corollary 1 . . 31 +D.6 Proof of Corollary 2 . . . . 31 + +# E Related works examining Neural Collapse 33 + +E.1 Mixon, Parshall, and Pi (2020) 34 +E.2 Lu and Steinerberger (2020) 34 +E.3 E and Wojtowytsch (2020) 34 +E.4 Poggio & Liao (2020a;b) (with Banburski) . 35 +E.5 Ergen & Pilanci (2020) . . 35 +E.6 Fang, He, Long, and Su (2021) . 35 +E.7 Zhu, Ding, Zhou, Li, You, Sulam, and Qu (2021) 36 + +# A MSE NEURAL COLLAPSE EXPERIMENTS + +The experiments in this section examine the properties of Neural Collapse (NC) on deep nets trained using MSE loss. The direct MSE-analogues to the cross-entropy (CE) loss table and figures in Papyan, Han, and Donoho (2020) are in Table 1 and Figures 3-9 here. Furthermore, Figures 10-11 compares the MSE-NC experiments observed in this paper with the CE-NC behaviors in Papyan, Han, and Donoho (2020). Experimental descriptions and discussions are within the captions. Subsections A.1-A.5 describe formatting and experimental details. Then, Subsection A.6 collectively presents all experimental figures for this section. Subsection A.7 addresses outlier behaviors observed in the plots. Finally, Subsection A.8 discusses open questions inspired by NC. + +# A.1 DATASETS + +We consider the MNIST, FashionMNIST, CIFAR10, SVHN, and STL10 datasets with pre-processing the same as in Papyan, Han, and Donoho (2020). + +# A.1.1 CHOICE OF DATASETS + +Demirkaya et al. (2020) and Hui & Belkin (2020) showed multi-class classification deep nets trained with MSE loss—sometimes with a heuristical-scaling—demonstrate comparable test-error performance to those trained with CE loss. Even without additional scaling, i.e. with vanilla MSE loss, we found this true for ten class classification datasets—such as MNIST, FashionMNIST, SVHN, CIFAR10, and STL10—so we focus on these five datasets. For more than ten classes (i.e. datasets such as CIFAR100 and ImageNet), both Demirkaya et al. (2020) and Hui & Belkin (2020) showed that the additional scaling-heuristic does need to be applied to the loss before comparable test-performance can be achieved. In informal, exploratory experiments not reported here, we were able to reproduce their results on datasets with more than ten classes. But, we feel these scaling-heuristics merit further scientific investigation of their own and are beyond the scope of this article14, so we do not include datasets that require scaling-heuristic tuning. + +# A.2 NETWORKS + +We train VGG, ResNet, and DenseNet models with the same depth-selection procedures and architecture-specification choices as in Papyan, Han, and Donoho (2020). In the MSE setting, the final chosen depths were as follows: + +
DATASETVGGREsNETDENSENET
MNISTVGG11RESNET18DENSENET40
FASHIONMNISTVGG11RESNET18DENSENET250
SVHNVGG13RESNET34DENSENET40
CIFAR10VGG11RESNET50DENSENET100
STL10VGG11REsNET18DENSENET201
+ +# A.3 OPTIMIZATION METHODOLOGY + +The optimization algorithm, parameters, and hyperparameter tuning are the same as in Papyan, Han, and Donoho (2020). + +# A.4 COMPUTATIONAL RESOURCES + +The experiments were run on Stanford University’s Sherlock computing cluster. Each dataset-network combination was trained on a single GPU attached to a CPU with at least 32GB of RAM—the specific types of the CPUs/GPUs vary according to whichever was first assigned to us by the HPC cluster scheduler. + +# A.5 FORMATTING + +The coloring and formatting of the plots are the same as in Papyan, Han, and Donoho (2020). + +A.6 EXPERIMENTAL RESULTS + +Table 1: Table comparing test-accuracy at moment 0-error is achieved vs. at the end of training. Analogous to Table 1 of Papyan, Han, and Donoho (2020). The median improvement is 0.962 percentage points; the mean is 1.833 percentage points. + +
DATASETNETACC.O-ERRORACC.FINAL
MNISTVGG99.2399.59
REsNET99.1699.70
DENSENET99.6299.70
FASHIONVGG92.7692.95
REsNET93.5593.76
DENSENET90.5692.95
SVHNVGG89.3593.91
REsNET85.1892.65
DENSENET95.6195.23
CIFAR10VGG83.1384.54
RESNET75.4376.39
DENSENET91.7791.78
STL10VGG60.4367.24
REsNET59.3560.56
DENSENET58.7460.41
+ +![](images/1a5a20823d00014721f4f070824528c01577910c0644409d2bb4a915f782b32b.jpg) +Figure 3: Plots analogous to Figure 2 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features and classifiers approach equinormness. + +![](images/5ad656b67277f05b330662e5d7c7b13441d87d37edf723d58832ac1bac89f9ea.jpg) +Figure 4: Plots analogous to Figure 3 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features and classifiers approach equiangularity. + +![](images/e259a5a69271cb16e72dbc11924d5cb35517522cfbc3fe49618fa0f4907aac44.jpg) +Figure 5: Plots analogous to Figure 4 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features and classifiers approach maximal-equiangularity. + +![](images/d200bcf6655dc539c9ce58a3314d99fe521699b6048f874084558682e155e5e4.jpg) +Figure 6: Plots analogous to Figure 5 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features and classifiers approach self-duality. + +![](images/a6e0a6af51918ff0a38c8104437875b67cd360ee056d054c6e8b6d10900db684.jpg) +Figure 7: Plots analogous to Figure 6 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features undergo variability collapse. + +![](images/9a51fb3bf6eda26486d9513714a004164fc133e3029978c4dc1c44ff651b69ef.jpg) +Figure 8: Plots analogous to Figure 7 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that classifier decisions converge to those of the nearest class center decision rule. + +![](images/887d330a45b7ecf81a5003434bcb9976663691dd78e51f5bdb1f5b19e7a99115.jpg) +Figure 9: Plots analogous to Figure 8 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that networks become more robust when trained beyond 0-error. The median improvement in the robustness measure in the last epoch over the first epoch achieving zero training error is 0.1762; the mean improvement is 0.9278. + +![](images/548263508631703764e0cea45e1848fccd806a59d27cd5c5226b4a8c3bfe16fb.jpg) +Figure 10: Activation collapse under MSE loss vs. $C E$ loss: Comparison of activation collapse observed in this paper for networks trained under MSE loss (Figure 7) with that observed in Papyan et al. (2020) under CE loss. Networks trained with MSE loss tend to achieve faster activation collapse than those trained with CE. + +![](images/871c1e2c26dcbf84a0415b823405fb97099975611566ab4f51db0af18251bb50.jpg) +Figure 11: Adversarial robustness under MSE loss vs. CE loss: Comparison of adversarial robustness observed in this paper for networks trained under MSE loss (Figure 9) with that observed in Papyan et al. (2020) under CE loss. Robustness tends to be better—sometimes several magnitudes better— when the networks are trained with MSE loss than with CE loss. + +![](images/bcd8a043fb633c6f9aee84c24f9a00781670d86288a5577407db229b3cd151a0.jpg) +Figure 12: Activation collapse on test data for both losses: Activation collapse observed on test data for models trained with MSE loss (from this current paper) and CE loss (posted by Papyan, Han, and Donoho (2020) on Stanford Data Repository). On the test data, activation collapse still visibly occurs on multiple dataset-network combinations: Albeit the rate of collapse is much slower on the test data compared to that on the train data, and the plotted measure (described in Figure 6 of Papyan, Han, and Donoho (2020)) at the last epoch is larger than that on the train data. Also interesting is that the value at the last epoch is roughly monotonic with the difficulty of the dataset. See discussion in Section A.8. + +A.7 EXCEPTIONS: STL10-RESNET AND STL10-DENSENET + +The STL10-ResNet and STL10-DenseNet dataset-network pairs stand out among the experiments described in this section—sometimes displaying outlier behavior either by converging more slowly to Neural Collapse or by exhibiting trends inconsistent with those found in other dataset-network pairs. + +STL10 stands apart from the other canonical datasets for multiple reasons15 and is a “less-typical” benchmark compared to more “compulsory” datasets like CIFAR10. In this particular case, we hypothesize that its outlier behavior might be caused by the size of the STL10 images $( 9 6 \times 9 6$ compared to the $3 2 \times 3 2$ , after padding, of the other datasets)—leading to a higher-dimensional problem, which, in turn, induces a harder non-convex optimization problem, which might make SGD less likely to converge to a useful optimum or might make the convergence much slower and harder to observe under a fixed computational budget. + +It was previously noted in Hui & Belkin (2020) and Demirkaya et al. (2020) that more challenging classification problems—in those projects, problems with more classes to be labeled—may require modifications to the MSE loss. We decided that such modifications are unnecessary in the ten class problems examined in this paper’s experiments. But perhaps the outlier nature of the STL10-ResNet and STL10-DenseNet combinations signal that the MSE loss modifications proposed by Hui & Belkin (2020) and Demirkaya et al. (2020) ought to have been used. + +A.8 OPEN QUESTIONS: WEIGHT-DECAY, BATCH NORMALIZATION, SGD, GENERALIZATION, TEST DATA + +The experiments in this paper as well as those in Papyan, Han, and Donoho (2020) were conducted under the canonical setting where deep nets were trained using SGD with weight-decay and batch normalization—leading one to wonder about the roles that these particular ingredients play on the NC phenomena. Additionally, most observables focus on the train data—raising the question of how the NC phenomena behave on test data as well as their relationship to generalization. We find these questions intriguing, but feel each deserves careful experimentation outside the scope of this paper. + +Nonetheless, we note here that several existing papers have already begun insightful investigations in these directions. For example, weight-decay, weight-normalization (as a proxy for batchnormalization), and SGD play key roles in the analyses of Banburski et al. (2019); Poggio & Liao (2020a;b) that, along other things, lead to the prediction of NC in homogeneous deep nets. Banburski et al. (2021) also explores the connection between NC and margin distributions with generalization. + +Another example is Zhu et al. (2021) in which the authors conduct several experiments on ResNets trained on CIFAR10. On their models, the authors examine NC-related properties relative to the train data, test data, and randomly labeled data; they also conducted ablation studies varying control parameters (weight-decay, width, etc.) and the optimization algorithm (SGD, ADAM, L-BFGS). Based on their results, Zhu et al. (2021) propose thought-provoking conjectures on the role of each of these components (see Section E.7 for a brief survey of their findings). + +As a preliminary exploration, we include Figure 12 showing the variability collapse (NC1) behavior on test data for the networks trained with MSE loss (used in this paper) as well as those trained with CE loss (released16 by Papyan, Han, and Donoho (2020)). From Figure 12, we see that variability collapse occurs much slower on the test data than on the train data. Although not shown here, the other NC phenomena behave similarly. + +In this Appendix, we show Figure 12 since it is concise, within reach, and may be of interest to readers who share our curiosity. We refrain from presenting the entire series of multi-figure NC measurements on test data because it is outside the scope of this paper and would significantly lengthen this appendix. We also refrain from speculating on any underlying explanations until more meticulous experiments are conducted. + +# B THEOREM 1 + +Theorem 1. (Decomposition of MSE Loss) The MSE loss, $\mathcal { L } ( \widetilde { W } , \widetilde { H } )$ , can be decomposed into two terms, $\mathcal { L } ( \widetilde { W } , \widetilde { H } ) = \bar { \mathcal { L } } _ { L S } ( \widetilde { H } ) + \mathcal { L } _ { L S } ^ { \bot } ( \widetilde { W } , \widetilde { H } )$ , where + +$$ +\mathcal { L } _ { L S } ( \widetilde { H } ) = \frac { 1 } { 2 } \mathop { \mathrm { A v e } } _ { i , c } \Vert \widetilde { W } _ { L S } \widetilde { h } _ { i , c } - \pmb { y } _ { i , c } \Vert _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } \Vert \widetilde { W } _ { L S } \Vert _ { F } ^ { 2 } , +$$ + +and + +$$ +\mathcal { L } _ { L S } ^ { \perp } ( \widetilde { W } , \widetilde { H } ) = \frac { 1 } { 2 } \mathrm { t r } \bigg \{ ( \widetilde { W } - \widetilde { W } _ { L S } ) \left( \widetilde { \boldsymbol { \Sigma } } _ { T } + \widetilde { \mu } _ { G } \widetilde { \boldsymbol { \mu } } _ { G } ^ { \top } + \lambda I \right) ( \widetilde { W } - \widetilde { W } _ { L S } ) ^ { \top } \bigg \} . +$$ + +Proof. Recall the MSE loss: + +$$ +\mathcal { L } ( \widetilde { W } , \widetilde { H } ) = \frac { 1 } { 2 } \mathop { \mathrm { A v e } } _ { i , c } \| \widetilde { W } \widetilde { h } _ { i , c } - y _ { i , c } \| _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } \| \widetilde { W } \| _ { F } ^ { 2 } . +$$ + +Consider a specific extended activations matrix $\widetilde { H }$ ; the least-squares solution $\widetilde { W }$ minimizing $\mathcal { L } ( \widetilde { W } , \widetilde { H } )$ with $\widetilde { H }$ kept fixed must obey the following first-order optimality condition: + +$$ +\underset { i , c } { \mathrm { A v e } } \big ( \widetilde { W } _ { \mathrm { L S } } \widetilde { h } _ { i , c } - { \pmb y } _ { i , c } \big ) \widetilde { { \pmb h } } _ { i , c } ^ { \top } + \lambda \widetilde { { \pmb W } } _ { \mathrm { L S } } = 0 . +$$ + +From Proposition 1 in the main manuscript, the solution to the above is given by + +$$ +\widetilde { \pmb { W } } _ { \mathrm { L S } } = C ^ { - 1 } \widetilde { \pmb { M } } ^ { \top } ( \widetilde { \pmb { \Sigma } } _ { T } + \widetilde { \pmb { \mu } } _ { G } \widetilde { \pmb { \mu } } _ { G } ^ { \top } + \lambda \pmb { I } ) ^ { - 1 } . +$$ + +The loss can be rewritten as + +$$ +\frac { 1 } { 2 } \mathop { \mathrm { A v e } } _ { i , c } \| \widetilde { W } _ { \mathrm { L S } } \widetilde { h } _ { i , c } - y _ { i , c } + ( \widetilde { W } - \widetilde { W } _ { \mathrm { L S } } ) \widetilde { h } _ { i , c } \| _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } \| \widetilde { W } \| _ { F } ^ { 2 } . +$$ + +Combining the above with Equation 13 gives, after rearranging: + +$$ +\frac { 1 } { 2 } \operatorname { A v e } \| \widetilde { W } _ { \mathrm { L S } } \widetilde { h } _ { i , c } - y _ { i , c } \| _ { 2 } ^ { 2 } + \frac { 1 } { 2 } \operatorname { A v e } \| ( \widetilde { W } - \widetilde { W } _ { \mathrm { L S } } ) \widetilde { h } _ { i , c } \| _ { 2 } ^ { 2 } - \lambda \mathrm { t r } \Big \{ \widetilde { W } _ { \mathrm { L S } } ( \widetilde { W } - \widetilde { W } _ { \mathrm { L S } } ) ^ { \top } \Big \} + \frac { \lambda } { 2 } \| \widetilde { W } \| _ { F } ^ { 2 } , +$$ + +which is equivalent to + +$$ +\frac { 1 } { 2 } \operatorname { A v e } \| \widetilde { W } _ { \mathrm { L S } } \widetilde { h } _ { i , c } - y _ { i , c } \| _ { 2 } ^ { 2 } + \frac { 1 } { 2 } \operatorname { A v e } \| ( \widetilde { W } - \widetilde { W } _ { \mathrm { L S } } ) \widetilde { h } _ { i , c } \| _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } \| \widetilde { W } _ { \mathrm { L S } } \| _ { F } ^ { 2 } + \frac { \lambda } { 2 } \| \widetilde { W } _ { \mathrm { L S } } - \widetilde { W } \| _ { F } ^ { 2 } . +$$ + +Using the above, the loss can indeed be decomposed as + +$$ +\mathcal { L } ( \widetilde { W } , \widetilde { H } ) = \mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } ) + \mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { W } , \widetilde { H } ) , +$$ + +where + +$$ +\mathcal { L } _ { \mathrm { L S } } ( \widetilde { \pmb { H } } ) \equiv \frac { 1 } { 2 } \underset { i , c } { \mathrm { A v e } } \Vert \widetilde { \pmb { W } } _ { \mathrm { L S } } \widetilde { \pmb { h } } _ { i , c } - \pmb { y } _ { i , c } \Vert _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } \Vert \widetilde { \pmb { W } } _ { \mathrm { L S } } \Vert _ { F } ^ { 2 } +$$ + +and + +$$ +\begin{array} { l } { \mathcal { L } _ { \mathrm { L S } } ^ { \perp } ( \widetilde { W } , \widetilde { H } ) \equiv \displaystyle \frac { 1 } { 2 } \operatorname { A v e } _ { i , c } \| ( \widetilde { W } - \widetilde { W } _ { \mathrm { L S } } ) \widetilde { h } _ { i , c } \| _ { 2 } ^ { 2 } + \displaystyle \frac { \lambda } { 2 } \| \widetilde { W } _ { \mathrm { L S } } - \widetilde { W } \| _ { F } ^ { 2 } } \\ { \displaystyle \qquad = \displaystyle \frac { 1 } { 2 } \operatorname { t r } \Big \{ ( \widetilde { W } - \widetilde { W } _ { \mathrm { L S } } ) \left( \widetilde { \Sigma } _ { T } + \widetilde { \mu } _ { G } \widetilde { \mu } _ { G } ^ { \top } + \lambda I \right) ( \widetilde { W } - \widetilde { W } _ { \mathrm { L S } } ) ^ { \top } \Big \} . } \end{array} +$$ + +This completes the proof. + +# C THEOREM 2 + +Theorem 2. (Decomposition of Least-Squares Component) The least-squares component, $\mathcal { L } _ { L S } ( \widetilde { \pmb { H } } )$ , of the MSE decomposition in Theorem 1 can be further decomposed into $\mathcal { L } _ { L S } ( \widetilde { H } ) = \mathcal { L } _ { N C I } ( \widetilde { H } ) +$ $\mathcal { L } _ { N C 2 / 3 } ( \widetilde { H } )$ , where + +$$ +\begin{array} { r l r } & { } & { \mathcal { L } _ { N C I } ( \widetilde { \pmb { H } } ) = \frac { 1 } { 2 } \operatorname { t r } \biggr \{ \widetilde { W } _ { L S } \left[ \widetilde { \pmb { \Sigma } } _ { W } + \lambda { \pmb I } \right] \widetilde { W } _ { L S } ^ { \top } \biggr \} , } \\ & { } & { \mathcal { L } _ { N C 2 / 3 } ( \widetilde { \pmb { H } } ) = \frac { 1 } { 2 C } \| \widetilde { W } _ { L S } \widetilde { \pmb { M } } - { \pmb I } \| _ { F } ^ { 2 } . \qquad } \end{array} +$$ + +Proof. Under Euclidean distance, perturbations to the extended activations matrix $\widetilde { H }$ which affect only the class-means or global-mean are orthogonal to perturbations which affect only the within-class covariance. Using this, $\overline { { \mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } ) } }$ can be further decomposed via the Pythagorean theorem: + +$$ +\mathcal { L } _ { \mathrm { L S } } ( \widetilde { H } ) = \frac { 1 } { 2 } \mathop { \mathrm { A v e } } _ { i , c } \Vert \widetilde { W } _ { \mathrm { L S } } ( \widetilde { h } _ { i , c } - \widetilde { \mu } _ { c } ) \Vert _ { 2 } ^ { 2 } + \frac { \lambda } { 2 } \Vert \widetilde { W } _ { \mathrm { L S } } \Vert _ { F } ^ { 2 } + \frac { 1 } { 2 } \mathop { \mathrm { A v e } } _ { c } \Vert \widetilde { W } _ { \mathrm { L S } } \widetilde { \mu } _ { c } - y _ { i , c } \Vert _ { 2 } ^ { 2 } . +$$ + +The first and second terms above merge into $\mathcal { L } _ { \mathrm { N C 1 } } ( \widetilde { H } )$ , while the third term becomes $\mathcal { L } _ { \mathrm { N C } 2 / 3 } ( \widetilde { H } )$ + +$$ +\begin{array} { r l } & { \mathcal { L } _ { \mathrm { N C 1 } } ( \widetilde { \pmb { H } } ) = \displaystyle \frac { 1 } { 2 } \mathrm { t r } \Big \{ \widetilde { W } _ { \mathrm { L S } } \left( \widetilde { \pmb { \Sigma } } _ { W } + \lambda I \right) \widetilde { W } _ { \mathrm { L S } } ^ { \top } \Big \} } \\ & { \mathcal { L } _ { \mathrm { N C 2 } / 3 } ( \widetilde { \pmb { H } } ) = \displaystyle \frac { 1 } { 2 C } \| \widetilde { W } _ { \mathrm { L S } } \widetilde { M } - \pmb { I } \| _ { F } ^ { 2 } . } \end{array} +$$ + +This completes the proof. + +C.1 INTUITIONS FOR THEOREM 2 IN UNEXTENDED COORDINATES + +For intuition, consider when $\lambda = 0$ , i.e. the no weight-decay case. Proposition 1 in the main text gives + +$$ +\begin{array} { r } { W _ { \mathrm { L S } } = C ^ { - 1 } \overline { { M } } ^ { \top } \Sigma _ { T } ^ { - 1 } , } \end{array} +$$ + +where $\overline { { M } } \in \mathbb { R } ^ { P \times C }$ is the matrix with columns $\mu _ { c } - \mu _ { G }$ . Returning to the unextended coordinates, $\mathcal { L } _ { \mathrm { N C 1 } } ( \overline { { H } } )$ simplifies to + +$$ +\mathcal { L } _ { \mathrm { N C 1 } } ( \overline { { H } } ) = \frac { 1 } { 2 } \mathrm { t r } \big \{ W _ { \mathrm { L S } } \Sigma _ { W } W _ { \mathrm { L S } } ^ { \top } \big \} , +$$ + +where $\overline { { H } } \in \mathbb { R } ^ { P \times C N }$ has columns $h _ { i , c } - \mu _ { G }$ . The term $\mathcal { L } _ { \mathrm { N C } 2 / 3 } ( \overline { { H } } )$ also simplifies instructively to + +$$ +\mathcal { L } _ { \mathrm { N C 2 / 3 } } ( \overline { { H } } ) = \frac { 1 } { 2 C } \| W _ { \mathrm { L S } } \overline { { M } } - \Phi \| _ { F } ^ { 2 } , +$$ + +where $\Phi \in \mathbb { R } ^ { C \times C }$ is the standard Simplex ETF: + +$$ +\pmb { \Phi } = \pmb { I } - \frac { 1 } { C } \pmb { 1 } \pmb { 1 } ^ { \top } . +$$ + +C.2 ADDITIONAL INTUITIONS FOR THEOREM 2 TERMS + +The expressions in Equation 15 and Equation 17 further evoke the intuition that $\mathcal { L } _ { \mathrm { N C 1 } } ( \overline { { H } } )$ is a variance term that goes to zero only under activation collapse (NC1) + +More specifically, we see that, with the class-means held constant, the only way to have ${ \mathcal { L } } _ { \mathrm { N C l } } ( { \overline { { H } } } ) \to$ 0 is for $\pmb { \Sigma } _ { W } \mathbf { 0 }$ . Similarly, by examining Equation 18, we see that + +$\mathcal { L } _ { \mathrm { N C } 2 / 3 } ( \overline { { H } } )$ quantifies deviations of $W _ { \mathrm { L S } } \overline { { M } }$ —i.e. the matrix of class-mean predictions—from the standard Simplex ETF. + +Under (NC2) and (NC3) , both $W _ { \mathrm { L S } }$ and $\bar { M }$ tend to jointly aligned ETF’s, possibly in an alternate pose; so $W _ { \mathrm { L S } } \to \Phi U ^ { T }$ and ${ \overline { { M } } } \to U \Phi$ for a partial orthogonal matrix $U$ satisfying ${ \pmb U } ^ { T } { \pmb U } = { \pmb I } _ { C }$ . Since $\Phi ^ { 2 } \ = \ \Phi$ , (NC2) and (NC3) together demand $W _ { \mathrm { L S } } ^ { \mathrm { { - } } } \overline { { M } } \to \Phi$ . Thus, $\bar { \mathcal { L } } _ { \mathrm { N C } 2 / 3 } ( \overline { { H } } )$ can be interpreted as a semi-metric reflecting the distance from achieving (NC2) and (NC3) . + +# D THEOREM 3 + +# D.1 IMPLICATIONS OF INVARIANCE + +In this section, we will discuss in more detail how the invariance observed Section 3.1 leads the the continually renormalized gradient flow (Equation 5). In particular, we have seen in Section 3.1 of the main text that, on the central path, both the predictions $W _ { \mathrm { L S } } ( \overline { { H } } ) \overline { { H } }$ and the MSE loss $\mathcal { L } ( W _ { \mathrm { L S } } ( \overline { { H } } ) , \overline { { M } } ( \overline { { H } } ) )$ are invariant under the transformation ${ \overline { { H } } } \mapsto A { \overline { { H } } }$ when $\pmb { A }$ is a invertible matrix. Since our interest mainly lies with $\pmb { A } = \pmb { \Sigma } _ { W } ^ { - \frac 1 2 }$ , we will restrict the intuitive discussion in this section to positive-definite $\pmb { A }$ . + +![](images/48d78045372077da56f0b7660be5f816a79676c505297e28b102f0b683f839f9.jpg) +Figure 13: Fiber bundle. Any full-rank features matrix, $\overline { { H } }$ , has a representative element, $\boldsymbol { X }$ , on $\mathcal { X }$ . For any $\mathbf x \in \mathcal X$ , a fiber is the set $s \times x$ i.e. $\{ A X : ~ A \in { \mathcal { S } } \}$ (the Minkowski set product), where $s$ is the set of symmetric positive-definite matrices. Features on the same fiber generate the same class predictions and the same MSE loss. The optimization described in Sections D.1-D.3 moves fiber-to-fiber. + +Now, consider the set $\mathcal { H }$ of features $\overline { { H } }$ with with non-singular within-class covariances. We view $\mathcal { H }$ as a fiber bundle17, where—on each fiber—live (apparently) different activations, $\overline { { H } }$ , that (in fact) generate the exact same class predictions and the exact same MSE loss (see Figure 13). The base space—we will denote it $\mathcal { X }$ —can be taken to be the collection of $\mathbf { } X \in { \mathcal { H } }$ where $\Sigma _ { W } ( { \pmb X } ) = { \pmb I }$ . Every $\overline { { H } } \in { \mathcal { H } }$ is representable as ${ \overline { { H } } } = A X$ where ${ \pmb A } = { \pmb \Sigma } _ { W } ^ { - \frac 1 2 } ( \overline { { { \pmb H } } } )$ and $\Sigma _ { W } ( { \pmb X } ) = { \pmb I }$ . The activation matrices $\boldsymbol { X }$ in the base space might be variously called “pre-whitened,” “normalized,” “standardized,” or “sphered.” We shall call $\mathcal { X }$ a normalized features manifold18. + +Invoking invariance, we can make the following observations about our optimization task: + +1. If, at a specific $t$ , $\pmb { H } _ { t }$ happens to be a normalized set of activations (i.e. $\pmb { H } _ { t } \in \mathcal { X }$ is currently located in the base space $\mathcal { X }$ ), there is no performance benefit to leaving the base space. There is also no performance benefit to moving along a fiber; only by moving from fiber-to-fiber can we improve performance. 2. In some sense, we waste time except when jumping from fiber-to-fiber; we might prefer to stay in the base space all the time by forcing the dynamics to jump from fiber-to-fiber. + +On the other hand, we started with the viewpoint of studying gradient flow of the original $\pmb { H }$ . So, we consider the following natural model for the application of gradient descent in $\boldsymbol { X }$ : + +1. For a given initial feature activations, $\overline { { { \cal H } } } _ { 0 } \in \mathcal { H }$ , we renormalize—obtaining a starting point $\boldsymbol { X } _ { 0 } \in \mathcal { X }$ ; here $\begin{array} { r } { X _ { 0 } = \Sigma _ { W } ^ { - \frac { 1 } { 2 } } ( \overline { { H } } _ { 0 } ) \overline { { H } } _ { 0 } } \end{array}$ . Class predictions and MSE loss performance for the MSE-optimal classifier do not change from this renormalization. + +2. We compute the usual gradient of MSE loss, at $X _ { 0 }$ , obtaining a step $\begin{array} { r l } { \Delta X _ { 0 } } & { { } = } \end{array}$ $- \eta \nabla _ { X } \mathcal { L } _ { \mathrm { L S } } ( X _ { 0 } )$ , where $\eta$ is a step size. + +3. We take a step, going to + +$$ +\overline { { { \pmb { H } } } } _ { 1 } = { \pmb X } _ { 0 } + \Delta { \pmb X } _ { 0 } . +$$ + +4. $\overline { { { \pmb { H } } } } _ { 1 }$ will not necessarily be normalized. We map back along whatever fiber we have landed upon, obtaining a corresponding point in the base space $\mathcal { X }$ , call this $X _ { 1 }$ . Here, + +$$ +\begin{array} { r } { { \pmb X } _ { 1 } = \pmb { \Sigma } _ { W } ^ { - \frac { 1 } { 2 } } ( \overline { { \pmb H } } _ { 1 } ) \overline { { \pmb H } } _ { 1 } . } \end{array} +$$ + +Class predictions and MSE loss performance do not change from this renormalization. + +5. Repeat steps 2, 3, 4 at $X _ { 1 }$ , obtaining thereby $X _ { 2 }$ ; and so on. + +This process might be described as gradient descent with continual renormalization: + +1. Renormalize the initial features activation matrix; +2. Compute the ordinary gradient of MSE loss and take the gradient descent step; +3. Renormalize again after each such step; and +4. Repeat steps 2 and 3. + +While the continual renormalization process differs from usual gradient flow, it is both intuitively understandable and sensible. See discussion of assumption (A3) in Section 3 + +# D.2 ALIGNED SNR COORDINATES + +Analysis of continually renormalized gradient flow can be simplified, without loss of generality, by applying a change of basis in both row and column space: + +Definition 3 (Transformation into Aligned SNR Coordinates). Consider the SVD decomposition of the SNR from Definition 2 outputting left singular vectors $U \in \mathbb { R } ^ { P \times C }$ and right singular vectors $V \in$ $\mathbb { R } ^ { C \times C }$ . For any matrix $\boldsymbol { Z } \in \mathbb { R } ^ { P \times C }$ , define the transformation $Z \to U ^ { \top } Z { \bar { V } }$ as the transformation into aligned-SNR coordinates. + +The aligned-SNR coordinates is so-named because it diagonalizes i.e. aligns the SNR matrix: Definition 4 (Aligned SNR Matrix). Consider the SVD decomposition of the SNR from Definition 2. Combined with Equation 8, observe that + +$$ +\boldsymbol { \Omega } = \mathrm { d i a g } \left( \left\{ \omega _ { c } \right\} _ { c = 1 } ^ { C - 1 } , 0 \right) = \boldsymbol { U } ^ { \top } \boldsymbol { \Sigma } _ { W } ^ { - \frac { 1 } { 2 } } \overline { { \boldsymbol { M } } } \boldsymbol { V } +$$ + +We call $\pmb { \Omega }$ the aligned SNR matrix. + +The following facts about the aligned SNR matrix becomes useful later in our derivations: + +Observation 1 (SVD of Aligned SNR Matrix). The SVD of the aligned SNR matrix itself is simply + +$$ +\Omega = \sum _ { j = 1 } ^ { C - 1 } \omega _ { j } \pmb { e } _ { j } \pmb { e } _ { j } ^ { \top } , +$$ + +with the canonical basis $\{ e _ { j } \} _ { j = 1 } ^ { C }$ as its singular vectors. + +As discussed in Section 3.2, the $\{ \omega _ { c } \} _ { c = 1 } ^ { C - 1 }$ that comprise $\pmb { \Omega }$ are decisive for understanding separation performance. In fact, when $\lambda { = } 0$ , the MSE loss can be entirely characterized by the SNR singular values on the central path: + +Lemma 1 (Spectral Representation of MSE Loss). When $\lambda = 0$ , MSE loss obeys + +$$ +\mathcal { L } ( W _ { L S } ( \overline { { H } } ) , \overline { { H } } ) = \mathcal { L } _ { L S } ( W _ { L S } ( \overline { { H } } ) , \overline { { H } } ) = \frac { 1 } { 2 } \sum _ { j = 1 } ^ { C - 1 } \frac { 1 } { \omega _ { j } ^ { 2 } + C } = \mathcal { L } \left( \{ \omega _ { j } \} _ { j = 1 } ^ { C - 1 } \right) , +$$ + +on the central path, and its decomposition obeys + +$$ +\begin{array} { l } { { \displaystyle \mathcal { L } _ { N C I } ( \overline { { { H } } } ) = \frac 1 2 \sum _ { j = 1 } ^ { C - 1 } \frac { \omega _ { j } ^ { 2 } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } = \mathcal { L } _ { N C I } \left( \{ \omega _ { j } \} _ { j = 1 } ^ { C - 1 } \right) } } \\ { { \displaystyle \mathcal { L } _ { N C 2 / 3 } ( \overline { { { H } } } ) = \frac 1 2 \sum _ { j = 1 } ^ { C - 1 } \frac { 1 } { C } \left( \frac { \omega _ { j } ^ { 2 } } { \omega _ { j } ^ { 2 } + C } - 1 \right) ^ { 2 } = \mathcal { L } _ { N C 2 / 3 } \left( \{ \omega _ { j } \} _ { j = 1 } ^ { C - 1 } \right) . } } \end{array} +$$ + +Proof. Using Equation 16, Equation 17, and Equation 18, the loss on the central path equals + +$$ +\mathcal { L } ( W _ { \mathrm { L S } } , \overline { { { M } } } ) = \frac { 1 } { 2 C } \Vert C ^ { - 1 } \overline { { { M } } } ^ { \top } \Sigma _ { T } ^ { - 1 } \overline { { { M } } } - \Phi \Vert _ { F } ^ { 2 } + \frac { 1 } { 2 } \operatorname { t r } \big \{ C ^ { - 1 } \overline { { { M } } } ^ { \top } \Sigma _ { T } ^ { - 1 } \Sigma _ { W } \Sigma _ { T } ^ { - 1 } \overline { { { M } } } C ^ { - 1 } \big \} . +$$ + +Observe $\overline { { M } } ^ { \top } \Sigma _ { T } ^ { - 1 } \overline { { M } }$ and $\Phi$ are simultaneously diagonalizable since they share the same $[ 1 , \ldots , 1 ] ^ { \top }$ null space and $\Phi$ has $C - 1$ equal eigenvalues. Also, observe that + +$$ +\Sigma _ { T } = \Sigma _ { W } + \frac { 1 } { C } \overline { { { M } } } \overline { { { M } } } ^ { T } . +$$ + +Let $\widehat { \Omega }$ be submatrix of the aligned-SNR matrix $\pmb { \Omega }$ corresponding to the non-zero singular values i.e. $\widehat { \Omega } = \mathrm { d i a g } \left( \{ \omega _ { j } \} _ { c = 1 } ^ { C - 1 } \right)$ . After taking simultaneous-diagonalizations and canceling partial orthogonal matrices, Equation 19 can be written solely in terms of $\widehat { \Omega }$ : + +$$ +\mathcal { L } ( \widehat { \Omega } ) = \frac { 1 } { 2 C } \left\| \widehat { \Omega } ^ { \top } \left( \widehat { \Omega } \widehat { \Omega } ^ { \top } + C I _ { C - 1 } \right) ^ { - 1 } \widehat { \Omega } - I _ { C - 1 } \right\| _ { F } ^ { 2 } + \frac { 1 } { 2 } \operatorname { t r } \Big \{ \widehat { \Omega } ^ { \top } ( \widehat { \Omega } \widehat { \Omega } ^ { \top } + C I _ { C - 1 } ) ^ { - 2 } \widehat { \Omega } \Big \} . +$$ + +This can be further simplified into + +$$ +\begin{array} { l } { \displaystyle \mathcal { L } ( \{ \omega _ { j } \} _ { c = 1 } ^ { C - 1 } \} ) = \frac { 1 } { 2 } \sum _ { j = 1 } ^ { C - 1 } \frac { 1 } { C } \left( \frac { \omega _ { j } ^ { 2 } } { \omega _ { j } ^ { 2 } + C } - 1 \right) ^ { 2 } + \frac { \omega _ { j } ^ { 2 } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } } \\ { \displaystyle \quad = \frac { 1 } { 2 } \sum _ { j = 1 } ^ { C - 1 } \frac { 1 } { \omega _ { j } ^ { 2 } + C } . } \end{array} +$$ + +This completes the proof for Lemma 1. + +Thus, the aligned SNR matrix, U ⊤Σ− 12W MĎSNR matrix to a diagonal matrix (Definiti , maximally simplifies analysis by reducing the vanilla on 4) whose entries determine the MSE loss (Lemma 1). + +We introduce the alignment of features into their own notion of aligned SNR coordinates: + +Definition 5 (Renormalization to aligned SNR Coordinates). Consider $\overline { { \pmb { H } } } ~ \in ~ \mathbb { R } ^ { P \times C N }$ with corresponding SNR left and right singular vectors $U$ and $V$ (Definition 2). Then, define the SNRaligned renormalization of the features as + +$$ +\begin{array} { r } { \pmb { X } = \pmb { U } ^ { \top } \left( \pmb { \Sigma } _ { W } \right) ^ { - \frac { 1 } { 2 } } \pmb { \overline { { H } } } ( \pmb { V } \otimes \pmb { I } _ { N } ) = \pmb { U } ^ { \top } \left( \pmb { \overline { { H } } } \pmb { C } \pmb { \overline { { H } } } ^ { \top } \right) ^ { - \frac { 1 } { 2 } } \pmb { \overline { { H } } } ( \pmb { V } \otimes \pmb { I } _ { N } ) \in \mathbb { R } ^ { C \times N C } , } \end{array} +$$ + +where $\otimes$ is the Kronecker product and $C$ is a class-centering matrix defined as + +$$ +\pmb { C } = \frac { 1 } { C N } \left( \pmb { I } _ { C N } - \frac { 1 } { N } \pmb { Y } ^ { \top } \pmb { Y } \right) . +$$ + +As discussed in Section 3.1, the transformation $\overline { { { \pmb { H } } } } \pmb { \Sigma } _ { W } ^ { - \frac { 1 } { 2 } } \overline { { { \pmb { H } } } }$ does not change the predictions of the least squares classifier. Hence, it does not change the MSE loss. It is easy to check that this still holds for $\boldsymbol { X }$ i.e. invariance is preserved by the change into SNR-aligned coordinates. + +It is also easy to check that the sphericity of the within-class covariance is preserved as well: + +Observation 2 (Sphericity of Within-Class Covariance of SNR Coordinates). + +$$ +X C X ^ { \top } = I _ { C } +$$ + +Finally, routine applications of Definitions and canceling out of (partial) orthogonal matrix multiplications in aligned SNR coordinates lead to the following simplified representation for $\pmb { \Omega }$ and its differential: + +Observation 3 (Relation Between SNR Coordinates and SNR Matrix). The aligned SNR matrix, $\pmb { \Omega }$ (Definition 4) can be expressed as a function of the features in aligned SNR-coordinates $\boldsymbol { X }$ (Definition 5) as simply + +$$ +\Omega ( X ) = \frac { 1 } { N } X Y ^ { \top } . +$$ + +Moreover, let $\mathrm { d } \Omega _ { i j } ( \cdot ) : T _ { X } \mathcal { X } \mathbb { R }$ be the differential $I$ -form19 associated with the $i j$ -th entry of $\pmb { \Omega } .$ . Define $\mathrm { d } \Omega ( \cdot ) : T _ { X } \mathcal { X } \mathbb { R } ^ { C \times C }$ such that, for some $Z \in T _ { X } \mathcal { X }$ , each entry matrix of the matrix $\mathrm { d } \Omega \left( Z \right)$ is $\mathrm { d } \Omega _ { i , j } \left( Z \right)$ . Then, it follows that + +$$ +\mathrm { d } \Omega \left( Z \right) = \frac { 1 } { N } Z Y ^ { \top } , \quad \forall Z \in T _ { \mathbf { X } } \mathcal { X } . +$$ + +From a geometric perspective, the transformation in Definition 5 maps the features, $\pmb { H }$ , to $\boldsymbol { X }$ belonging to a Normalized Features Manifold: + +# Definition 6 (Normalized Features Manifold). + +$$ +\mathcal { X } = \{ \boldsymbol { X } \in \mathbb { R } ^ { C \times C N } \mid \boldsymbol { X } C \boldsymbol { X } ^ { \top } = \boldsymbol { I _ { C } } \} +$$ + +To understand the dynamics of the singular values of $\pmb { \Omega }$ —which is connected to the dynamics of the features through Lemma 1—we will analyze the gradient flow on this manifold. To this end, we first identify its tangent space at a particular $\boldsymbol { X }$ as well as the projection operator onto that tangent space. + +Proposition 3 (Tangent Space of Normalized Features Manifold). + +$$ +T _ { \mathbf { X } } \mathcal { X } = \{ Z \in \mathbb { R } ^ { C \times C N } \mid X C Z ^ { \top } + Z C X = \mathbf { 0 } \} +$$ + +Proposition 4 (Projection Onto Tangent Space of Normalized Features Manifold). + +$$ +\Pi _ { T \bf { x } } \chi ( Z ) = Z - \frac { 1 } { 2 } ( X C Z ^ { \top } + Z C X ^ { \top } ) X +$$ + +# D.3 CONTINUALLY RENORMALIZED GRADIENT FLOW + +In fact, gradient flow on the normalized features manifold (Definition 6) is the continuous analogue of the intuitive, discrete algorithm in Subsection D.1. In particular, the intuitive algorithm consists of a gradient step, $\overline { { { \pmb { H } } } } _ { 1 } = \bar { \pmb { X } } _ { 0 } + \Delta { \pmb { X } } _ { 0 }$ followed by a mapping to the base space of the fiber bundle, $\pmb { X } _ { 1 } \overset { \cdot } { = } \pmb { \Sigma } ( \overline { { \pmb { H } } } _ { 1 } ) ^ { - \frac { 1 } { 2 } } \overline { { \pmb { H } } } _ { 1 }$ . For small $\Delta X _ { 0 }$ , these two steps are in fact equivalent (up to a negligible term) to taking a $T _ { X } \mathcal { X }$ -projected gradient step on the manifold $\mathcal { X }$ as proven below: + +Lemma 2. Assuming $\boldsymbol { X } _ { 0 } \in \mathcal { X }$ , a renormalized gradient step, + +$$ +\begin{array} { r } { \pmb { X } _ { 1 } = \pmb { \Sigma } _ { W } ^ { - \frac { 1 } { 2 } } ( \overline { { \pmb { H } } } _ { 1 } ) \overline { { \pmb { H } } } _ { 1 } = \pmb { \Sigma } _ { W } ^ { - \frac { 1 } { 2 } } ( \pmb { X } _ { 0 } + \Delta \pmb { X } _ { 0 } ) \cdot ( \pmb { X } _ { 0 } + \Delta \pmb { X } _ { 0 } ) , } \end{array} +$$ + +is equivalent, up to an $O \left( { \left\| \Delta { { X } _ { 0 } } \right\| ^ { 2 } } \right)$ term, to a $T _ { X } \mathcal { X }$ -projected gradient step, i.e. + +$$ +\begin{array} { r } { \pmb { X } _ { 1 } = \pmb { X } _ { 0 } + \Pi _ { T _ { \pmb { X } } } \pmb { \chi } ( \Delta \pmb { X } _ { 0 } ) + O \left( \left. \Delta \pmb { X } _ { 0 } \right. ^ { 2 } \right) . } \end{array} +$$ + +Proof. Notice that + +$$ +\begin{array} { r l } & { X _ { 1 } = \Sigma _ { W } ^ { - \frac { 1 } { 2 } } ( \overline { H } _ { 1 } ) \overline { H } _ { 1 } } \\ & { \quad = \left( ( X _ { 0 } + \Delta X _ { 0 } ) C ( X _ { 0 } + \Delta X _ { 0 } ) ^ { \top } \right) ^ { - \frac { 1 } { 2 } } \left( X _ { 0 } + \Delta X _ { 0 } \right) } \\ & { \quad = \left( I + \Delta X _ { 0 } C X _ { 0 } ^ { \top } + X _ { 0 } C \Delta X _ { 0 } ^ { \top } + \Delta X _ { 0 } C \Delta X _ { 0 } ^ { T } \right) ^ { - \frac { 1 } { 2 } } ( X _ { 0 } + \Delta X _ { 0 } ) , } \end{array} +$$ + +where in the last step we used our assumption that $\boldsymbol { X } _ { 0 } \in \mathcal { X }$ , i.e., $X _ { 0 } C X _ { 0 } = I$ . By Taylor’s Theorem, + +$$ +( { \cal I } + { \cal A } ) ^ { - \frac { 1 } { 2 } } = { \cal I } - \frac { 1 } { 2 } { \cal A } + O ( \| { \cal A } \| ^ { 2 } ) . +$$ + +Therefore, we get + +$$ +\begin{array} { l } { { \displaystyle { \cal X } _ { 1 } = \left( I - \frac 1 2 \left( \Delta X _ { 0 } C X _ { 0 } ^ { \top } + X _ { 0 } C \Delta { \bf X } _ { 0 } ^ { \top } + \Delta { \bf X } _ { 0 } C \Delta { \bf X } _ { 0 } ^ { T } \right) + { \cal O } \left( \| \Delta { \bf X } _ { 0 } \| ^ { 2 } \right) \right) \left( X _ { 0 } + \Delta { \bf X } _ { 0 } \right) } } \\ { ~ } \\ { { \displaystyle ~ = { \cal X } _ { 0 } + \Delta { \bf X } _ { 0 } - \frac 1 2 \left( \Delta X _ { 0 } C X _ { 0 } ^ { \top } - X _ { 0 } C \Delta { \bf X } _ { 0 } ^ { \top } \right) X _ { 0 } + { \cal O } \left( \| \Delta { \bf X } _ { 0 } \| ^ { 2 } \right) } } \\ { { \displaystyle ~ = { \bf X } _ { 0 } + \Pi _ { T _ { \bf X } } \alpha ( \Delta { \bf X } _ { 0 } ) + { \cal O } \left( \| \Delta { \bf X } _ { 0 } \| ^ { 2 } \right) , } } \end{array} +$$ + +where the last step follows from Proposition 4. + +As we transition from a discrete gradient descent to a continuous gradient flow, the step size $\eta 0$ , and the residual $O \left( { \| \Delta \bar { X _ { 0 } } \| ^ { 2 } } \right)$ in the above lemma becomes negligible, since $\Delta X _ { 0 } =$ $- \eta \nabla _ { X } \mathcal { L } _ { \mathrm { L S } } ( X _ { 0 } )$ . This motivates us to study, in the next section, the continually renormalized gradient flow (as defined in Equation 5 of the main text) of $\boldsymbol { X }$ on $\mathcal { X }$ : + +$$ +\frac { \mathrm { d } } { \mathrm { d } t } \pmb { X } = - \Pi _ { T \pmb { x } } \pmb { \chi } \left( \nabla \pmb { x } \mathcal { L } _ { \mathrm { L S } } ( \pmb { X } ) \right) . +$$ + +D.4 PROOF OF PROPOSITION 2 (GRADIENT FLOW IN ALIGNED SNR COORDINATES) + +To prove Proposition 2, we first set up some auxiliary notation and lemmas. Denote the $j$ -th row (transposed) of $\boldsymbol { X }$ and $\mathbf { Y }$ , respectively, by + +$$ +\pmb { x } _ { j } = \pmb { X } ^ { \top } \pmb { e } _ { j } +$$ + +and + +$$ +\begin{array} { r } { \boldsymbol { y } _ { j } = \boldsymbol { Y } ^ { \top } \boldsymbol { e } _ { j } . } \end{array} +$$ + +Recall that—when differentiating SVDs—the derivative of the $j$ -th singular value, $\omega _ { j }$ , only depends on the $j$ -th singular subspace (see Equation 17 of Townsend (2016)). As a consequence, we will see in the following lemma that, for any differential $\mathrm { d } X$ , the corresponding $\mathrm { d } \omega _ { j }$ only depends on $\mathrm { d } \pmb { x } _ { j }$ . + +Lemma 3 (Derivative of Singular Values With Respect to SNR Coordinates). Given the differential $I$ -form $\mathrm { d } \omega _ { j } ( \cdot ) : T _ { X } \mathcal { X } \mathbb { R } ,$ , the following holds for all19 $\mathrm { d } X \in \mathbb { R } ^ { C \times C N }$ : + +$$ +\mathrm { d } \omega _ { j } \left( \Pi _ { T _ { X } \mathcal { X } } ( \mathrm { d } X ) \right) = \left( \frac { 1 } { N } \pmb { y } _ { j } ^ { \top } - \omega _ { j } \pmb { x } _ { j } ^ { \top } C \right) \mathrm { d } \pmb { x } _ { j } , \quad \forall j = 1 , \ldots , C . +$$ + +where (consistent with Definition 2) we adopt the convention that $\omega _ { C } = 0$ is the $C$ -th singular value of the SNR matrix. + +Proof. Without loss of generality, assume that $\boldsymbol { X }$ is represented in aligned SNR coordinates (Section D.2). Using Observation 1 and the differential of the singular value decomposition (see Equation 17 of Townsend (2016)): + +$$ +\mathrm { d } \omega _ { j } \left( \Pi _ { T _ { \mathbf { X } } \mathcal { X } } ( \mathrm { d } X ) \right) = e _ { j } ^ { \top } \mathrm { d } \Omega \left( \Pi _ { T _ { \mathbf { X } } \mathcal { X } } ( \mathrm { d } X ) \right) e _ { j } , +$$ + +where $\mathrm { d } \Omega \left( \cdot \right)$ is defined as in Observation 3. Next, Observation 3 implies + +$$ +\mathrm { d } \Omega \left( \Pi _ { T _ { \mathbf { X } } } \chi ( \mathrm { d } X ) \right) = \frac { 1 } { N } \Pi _ { T _ { \mathbf { X } } } \chi ( \mathrm { d } X ) \mathbf { Y } ^ { \top } . +$$ + +Using the projection onto the tangent space, given in Proposition 4 above, + +$$ +\Pi _ { T \mathbf { \boldsymbol { x } } \mathbf { \boldsymbol { x } } } ( \mathrm { d } \mathbf { \boldsymbol { X } } ) = \mathrm { d } \mathbf { \boldsymbol { X } } - \frac { 1 } { 2 } ( \mathrm { d } \mathbf { \boldsymbol { X } } \mathbf { \boldsymbol { C } } \mathbf { \boldsymbol { X } } ^ { \top } + \mathbf { \boldsymbol { X } } \mathbf { \boldsymbol { C } } \mathrm { d } \mathbf { \boldsymbol { X } } ^ { \top } ) \mathbf { \boldsymbol { X } } . +$$ + +Combining Equation 23, Equation 24, and Equation 25, we obtain: + +$$ +\begin{array} { r l } & { \mathrm { d } \omega _ { j } \left( \Pi _ { T _ { X } \mathcal { X } } ( \mathrm { d } X ) \right) = e _ { j } ^ { \top } \mathrm { d } \Omega \left( \Pi _ { T _ { X } \mathcal { X } } ( \mathrm { d } X ) \right) e _ { j } } \\ & { \quad \quad \quad \quad = \cfrac { 1 } { N } e _ { j } ^ { \top } \Pi _ { T _ { X } \mathcal { X } } ( \mathrm { d } X ) Y ^ { \top } e _ { j } } \\ & { \quad \quad \quad \quad = \cfrac { 1 } { N } e _ { j } ^ { \top } \left( \mathrm { d } X - \cfrac { 1 } { 2 } \left( \mathrm { d } X C X ^ { \top } + X C \mathrm { d } X ^ { \top } \right) X \right) Y ^ { \top } e _ { j } . } \end{array} +$$ + +Moreover, using Observation 1 and 3, we can simplify these expressions into + +$$ +\begin{array} { r l } & { \qquad \displaystyle \frac { 1 } { N } e _ { j } ^ { \top } \mathrm { d } X Y ^ { \top } e _ { j } = \frac { 1 } { N } { \pmb y } _ { j } ^ { \top } \mathrm { d } { \pmb x } _ { j } } \\ & { \qquad \displaystyle \frac { 1 } { N } e _ { j } ^ { \top } \mathrm { d } X C X ^ { \top } X { \pmb Y } ^ { \top } e _ { j } = \omega _ { j } e _ { j } ^ { \top } \mathrm { d } X C X ^ { \top } e _ { j } = \omega _ { j } { \pmb x } _ { j } ^ { \top } C \mathrm { d } { \pmb x } _ { j } } \\ & { \qquad \displaystyle \frac { 1 } { N } e _ { j } ^ { \top } X C \mathrm { d } X ^ { \top } X { \pmb Y } ^ { \top } e _ { j } = \omega _ { j } e _ { j } ^ { \top } X C \mathrm { d } X ^ { \top } e _ { j } = \omega _ { j } { \pmb x } _ { j } ^ { \top } C \mathrm { d } { \pmb x } _ { j } . } \end{array} +$$ + +Finally, substituting the above three expressions into Equation 26, we get: + +$$ +\mathrm { d } \omega _ { j } \left( \Pi _ { T _ { \mathbf { X } } } \chi ( \mathrm { d } X ) \right) = \left( \frac { 1 } { N } \pmb { y } _ { j } ^ { \top } - \omega _ { j } \pmb { x } _ { j } ^ { \top } \pmb { C } \right) \mathrm { d } \pmb { x } _ { j } , +$$ + +which proves the claim. + +Using Lemma 3, we can now obtain the dynamics of $\mathbf { \Delta } _ { \mathbf { \mathcal { X } } _ { j } }$ under gradient flow: + +Lemma 4. Under continually renormalized gradient flow (Equation 5), + +$$ +\frac { \mathrm { d } } { \mathrm { d } t } { \pmb x } _ { j } = \frac { \omega _ { j } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } \left( \frac { 1 } { N } { \pmb y } _ { j } - \omega _ { j } C { \pmb x } _ { j } \right) , \quad \forall j = 1 , \ldots , C , +$$ + +where (consistent with Definition 2) we adopt the convention that $\omega _ { C } = 0$ is the $C$ -th singular value of the SNR matrix. + +Proof. Recall $\pmb { x } _ { j } \in \mathbb { R } ^ { C N }$ is the $j$ -th row of $\pmb { X } \in \mathbb { R } ^ { C \times C N }$ , which we assume to be in aligned SNR coordinates without loss of generality (Section D.2). Applying the flow definition in Equation 5 to the $i$ -th element of $\mathbf { \Delta } _ { \mathbf { \mathcal { X } } _ { j } }$ gives + +$$ +\begin{array} { r l } & { \frac { \mathrm { d } } { \mathrm { d } t } x _ { j i } = - e _ { j } ^ { \top } \Pi _ { T x } x \left( \frac { \mathrm { d } \mathcal { L } _ { \mathrm { L S } } } { \mathrm { d } X } \right) e _ { i } } \\ & { \quad \quad \quad = - \left. \Pi _ { T x } x \left( \frac { \mathrm { d } \mathcal { L } _ { \mathrm { L S } } } { \mathrm { d } X } \right) , e _ { j } e _ { i } ^ { \top } \right. _ { F } } \\ & { \quad \quad \quad = - \left. \frac { \mathrm { d } \mathcal { L } _ { \mathrm { L S } } } { \mathrm { d } X } , \Pi _ { T x } x \big ( e _ { j } e _ { i } ^ { \top } \big ) \right. _ { F } , } \end{array} +$$ + +where $\frac { \mathrm { d } \mathcal { L } _ { \mathrm { L S } } } { \mathrm { d } X } \in \mathbb { R } ^ { C \times C N }$ is the standard derivative within the ambient $\mathbb { R } ^ { C \times C N }$ -space, $e _ { i } \in \mathbb { R } ^ { C N }$ and $\boldsymbol { e } _ { j } \in \mathbb { R } ^ { \bar { \boldsymbol { C } } }$ are the canonical basis vectors, and $\langle \cdot , \cdot \rangle _ { F }$ is the Frobenius matrix inner-product. Next, observe that the differential 1-form $\mathrm { d } \mathcal { L } _ { \mathrm { L S } } ( \cdot ) : \dot { T } _ { X } \dot { \mathcal { X } } \mathbb { R }$ satisfies the following: + +$$ +\mathrm { d } { \mathcal { L } } _ { \mathrm { L S } } \left( Z \right) = \left. \frac { \mathrm { d } { \mathcal { L } } _ { \mathrm { L S } } } { \mathrm { d } X } , Z \right. _ { F } , \quad \forall Z \in T _ { X } \mathcal { X } . +$$ + +Taking $\pmb { Z } = \Pi _ { T \pmb { x } } \pmb { \chi } \big ( \pmb { e } _ { j } \pmb { e } _ { i } ^ { \top } \big )$ then leads to + +$$ +\begin{array} { r l } & { \displaystyle \frac { \mathrm { d } } { \mathrm { d } t } x _ { j i } = - \mathrm { d } \mathcal { L } _ { \mathrm { L S } } \left( \Pi _ { T _ { X } } \boldsymbol { x } \big ( e _ { j } e _ { i } ^ { \top } \big ) \right) } \\ & { \quad \quad \quad = - \displaystyle \sum _ { k = 1 } ^ { C - 1 } \frac { \mathrm { d } \mathcal { L } _ { \mathrm { L S } } } { \mathrm { d } \omega _ { k } } \mathrm { d } \omega _ { k } \left( \Pi _ { T _ { X } } \boldsymbol { x } \big ( e _ { j } e _ { i } ^ { \top } \big ) \right) } \\ & { \quad \quad \quad = - \displaystyle \frac { \mathrm { d } \mathcal { L } _ { \mathrm { L S } } } { \mathrm { d } \omega _ { j } } \mathrm { d } \omega _ { j } \left( \Pi _ { T _ { X } } \boldsymbol { x } \big ( e _ { j } e _ { i } ^ { \top } \big ) \right) } \end{array} +$$ + +where the second step follows by the chain rule, and the last step follows from Lemma 3 in that $\mathrm { d } \omega _ { k } \left( \Pi _ { T _ { \mathbf { X } } \mathcal { X } } \big ( e _ { j } \pmb { e } _ { i } ^ { \top } \big ) \right) \dot { = } 0$ if $k \neq j$ . Moreover, Lemma 3 also gives + +$$ +\mathrm { d } \omega _ { j } \left( \Pi _ { T _ { \mathbf { X } } } \boldsymbol { x } \big ( e _ { j } e _ { i } ^ { \top } \big ) \right) = \left( \frac { 1 } { N } \pmb { y } _ { j } ^ { \top } - \omega _ { j } \pmb { x } _ { j } ^ { \top } \boldsymbol { C } \right) \boldsymbol { e } _ { i } . +$$ + +It then follows that + +$$ +\begin{array} { r l } & { \displaystyle \frac { \mathrm { d } } { \mathrm { d } t } \pmb { x } _ { j } = - \frac { \mathrm { d } \mathcal { L } _ { \mathrm { L S } } } { \mathrm { d } \omega _ { j } } \left( \frac { 1 } { N } \pmb { y } _ { j } - \omega _ { j } \pmb { C } \pmb { x } _ { j } \right) } \\ & { \quad \quad \quad = \frac { \omega _ { j } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } \left( \frac { 1 } { N } \pmb { y } _ { j } - \omega _ { j } \pmb { C } \pmb { x } _ { j } \right) , } \end{array} +$$ + +where the last step follows from differentiating the expression in Lemma 1. + +The gradient flows of $\mathbf { \Delta } _ { \mathbf { \mathcal { X } } _ { j } }$ induce the dynamics of $\omega _ { j }$ , which are described below. + +Lemma 5 (Induced Dynamics on SVD of SNR). Under continually renormalized gradient flow (Equation 5), the dynamics for the $j$ -th non-zero SNR singular value (Definition 2) is + +$$ +\frac { \mathrm { d } } { \mathrm { d } t } \omega _ { j } = \frac { 1 } { N } \frac { \omega _ { j } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } , \quad \forall j = 1 , \dots , C - 1 . +$$ + +Proof. Without loss of generality, assume $\boldsymbol { X }$ is represented in aligned SNR coordinates (Section D.2). Observation 1, the differential of the singular value decomposition (see Equation 17 of Townsend (2016)), and Observation 3 collectively imply that for any2 $\mathbf { \bar { \Psi } } \mathrm { d } \mathbf { X } \in T _ { X } \mathcal { X }$ , + +$$ +\mathrm { d } \omega _ { j } \left( \mathrm { d } \boldsymbol { X } \right) = e _ { j } ^ { \top } \mathrm { d } \Omega \left( \mathrm { d } \boldsymbol { X } \right) e _ { j } = \frac { 1 } { N } e _ { j } ^ { \top } \mathrm { d } \boldsymbol { X } \boldsymbol { Y } ^ { \top } \boldsymbol { e } _ { j } = \frac { 1 } { N } \boldsymbol { y } _ { j } ^ { \top } \mathrm { d } \boldsymbol { x } _ { j } . +$$ + +Recall that the differential of $\omega _ { j }$ only depends on the differential of $\mathbf { \Delta } _ { \mathbf { \mathcal { X } } _ { j } }$ (see Lemma 3). Then, we can apply the chain rule: + +$$ +\frac { \mathrm { d } } { \mathrm { d } t } \omega _ { j } = \frac { \mathrm { d } \omega _ { j } } { \mathrm { d } x _ { j } } \frac { \mathrm { d } { \pmb x } _ { j } } { \mathrm { d } t } = \frac { 1 } { N } \frac { \omega _ { j } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } { \pmb y } _ { j } ^ { \top } \left( \frac { 1 } { N } { \pmb y } _ { j } - \omega _ { j } C { \pmb x } _ { j } \right) , +$$ + +where the last equality results substituting-in Lemma 4 and Equation 28. Since $\boldsymbol { Y } \boldsymbol { Y } ^ { \intercal } = N \boldsymbol { I }$ + +$$ +{ \frac { 1 } { N ^ { 2 } } } { \pmb y } _ { j } ^ { \top } { \pmb y } _ { j } = { \frac { 1 } { N } } . +$$ + +Applying the same relation and Equation 21: + +$$ +\boldsymbol { x } _ { j } ^ { \top } \boldsymbol { C } \boldsymbol { y } _ { j } = e _ { j } ^ { \top } \boldsymbol { X } \boldsymbol { C } \boldsymbol { Y } ^ { \top } \boldsymbol { e } _ { j } = \frac { 1 } { \boldsymbol { C } N } e _ { j } ^ { \top } \boldsymbol { X } \left( \boldsymbol { I } - \frac { 1 } { N } \boldsymbol { Y } ^ { \top } \boldsymbol { Y } \right) \boldsymbol { Y } ^ { \top } \boldsymbol { e } _ { j } = 0 . +$$ + +Combining all the above equations, we obtain + +$$ +\frac { \mathrm { d } } { \mathrm { d } t } \omega _ { j } = \frac { 1 } { N } \frac { \omega _ { j } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } . +$$ + +The closed-form given in Proposition 2 now directly follows. + +Proposition 2 (Dynamics of Singular Values of SNR Matrix). Continually renormalized gradient flow on the central path (Equation 5) induces the following closed-form dynamics on the SNR singular values (Definition 2): + +$$ +c _ { 1 } \log ( \omega _ { j } ( t ) ) + c _ { 2 } \omega _ { j } ^ { 2 } ( t ) + c _ { 3 } \omega _ { j } ^ { 4 } ( t ) = a _ { j } + t , \quad t \geq 0 , \quad f o r a l l j = 1 , \ldots , C - 1 . +$$ + +$c _ { 1 } , \ : c _ { 2 }$ , and $c _ { 3 }$ are positive constants independent of $j$ , and $a _ { j }$ is a constant depending on $\omega _ { j } ( 0 )$ . + +Proof. Follows from symbolically solving the ODE in Lemma 5 with routine methods. The constants are ${ \dot { c } } _ { 1 } = C ^ { 2 } N$ , $c _ { 2 } = C N$ , and $\begin{array} { r } { c _ { 3 } = \frac { N } { 4 } } \end{array}$ . □ + +# D.5 PROOF OF COROLLARY 1 + +Corollary 1 (Properties of SNR Singular Values). SNR singular values (Definition 2) following the Equation 9 dynamics satisfy the following limiting behaviors: + +$$ +\begin{array} { r l } & { 1 . \ \operatorname* { l i m } _ { t \to \infty } \omega _ { j } ( t ) = \infty \quad a n d \quad \ \operatorname* { l i m } _ { t \to \infty } \frac { \omega _ { j } ( t ) } { \sqrt [ 4 ] { t / c _ { 3 } } } = 1 , \quad f o r a l l \ j = 1 , \ldots , C - 1 . } \\ & { } \\ & { 2 . \ \operatorname* { l i m } _ { t \to \infty } \frac { \operatorname* { m a x } _ { j } \omega _ { j } ( t ) } { \operatorname* { m i n } _ { j } \omega _ { j } ( t ) } = 1 . } \end{array} +$$ + +Proof. As $t$ tends to infinity, the right-hand side of Equation 9 diverges to infinity and therefore so does the left-hand side (LHS). As the LHS approaches infinity, the logarithmic terms become negligible compared to the dominant quartic term, implying $\omega _ { j } ^ { 4 } ( t ) \bar { \infty }$ . Since $\omega _ { j } ( t )$ are singular values, they must be non-negative—implying $\omega _ { j } ( t ) \to { \dot { \infty } }$ . Based on the same argument, observe that limt→∞ $\begin{array} { r } { \operatorname* { l i m } _ { t \infty } \frac { \omega _ { j } ( t ) } { \sqrt [ 4 ] { \frac { t } { c _ { 3 } } } } = 1 } \end{array}$ for all $j$ . Since the constant $c _ { 3 }$ is independent of $j$ , it follows that $\begin{array} { r } { \operatorname* { l i m } _ { t \infty } \frac { \operatorname* { m a x } _ { j } \omega _ { j } ( t ) } { \operatorname* { m i n } _ { j } \omega _ { j } ( t ) } = 1 } \end{array}$ . + +# D.6 PROOF OF COROLLARY 2 + +Lemma 6. Under continually renormalized gradient flow (Equation 5), the left and right singular vectors of the SNR matrix remain constant i.e. they are independent of t. + +Proof. Without loss of generality, assume $\boldsymbol { X }$ is in represented in aligned SNR coordinates (Section D.2). Recall that, in this coordinate system, the corresponding SNR matrix $\Omega = N ^ { - 1 } \dot { X } Y ^ { \top }$ is diagonal, and the left and right singular vectors are simply partial identity matrices. + +To show that the singular values of the SNR remain constant, it then suffices to show that $\scriptstyle { \frac { \mathrm { d } \Omega } { \mathrm { d } t } } = { \frac { \mathrm { d } X } { \mathrm { d } t } } Y$ is a diagonal matrix as well21. Lemma 4 gives + +$$ +\frac { \mathrm { d } } { \mathrm { d } t } X = \frac { 1 } { N } D _ { 1 } Y - D _ { 2 } X C +$$ + +where $D _ { 1 }$ and $D _ { 2 }$ are $C { \times } C$ diagonal matrices with the diagonal entries $\left\{ \frac { \omega _ { j } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } \right\} _ { c = 1 } ^ { C }$ and $\left\{ \frac { \omega _ { j } ^ { 2 } } { ( C + \omega _ { j } ^ { 2 } ) ^ { 2 } } \right\} _ { c = 1 } ^ { C }$ , respectively. Then, + +$$ +{ \frac { \mathrm { d } } { \mathrm { d } t } } \Omega = \left( { \frac { \mathrm { d } } { \mathrm { d } t } } X \right) Y ^ { \top } = { \frac { 1 } { N } } D _ { 1 } Y Y ^ { \top } - D _ { 2 } X C Y ^ { \top } = D _ { 1 } , +$$ + +where, in the last equality, we used the easy-to-check identities that $\boldsymbol { Y } \boldsymbol { Y } ^ { \intercal } = \boldsymbol { N } \boldsymbol { I } _ { \boldsymbol { C } }$ and $C Y { = } \mathbf { 0 }$ . In more detail, the first identity follows from the fact that $\mathbf { Y }$ is the one-hot label vectors stacked as columns; the second identity follows from the facts that $C$ is the class-centering matrix, and the one-hot label is the same for examples from the same class. Thus, we have shown dΩdt is diagonal, which concludes our proof. □ + +Lemma 7. A matrix $\pmb { { \cal E } } \in \mathbb { R } ^ { P \times C }$ is a Simplex ETF if and only if + +1. $\pmb { \cal E }$ has exactly $C { - } 1$ non-zero singular values, which are all equal. + +2. $\pmb { \cal E }$ has a rank-1 nullspace spanned by the ones vector, i.e., $\mathbf { \delta E 1 } _ { C } { = } \mathbf { 0 } .$ . In other words, $\pmb { { \cal E } }$ has zero-mean columns. + +Proof. First, recall from Papyan, Han, and Donoho (2020, Definition 1) that a $P { \times } C$ matrix $\pmb { \cal E }$ is called a Simplex ETF if it satisfies + +$$ +\pmb { E } ^ { \top } \pmb { E } = \alpha \left( \frac { C } { C - 1 } \pmb { I } - \frac { 1 } { C - 1 } \pmb { \mathrm { 1 } } _ { C } \pmb { \mathrm { 1 } } _ { C } ^ { \top } \right) +$$ + +for some scaling $\alpha { > } 0$ . We now prove the equivalence. + +Simplex ETF implies 1-2: Consider the SVD decomposition $\scriptstyle { E = U _ { E } S _ { E } V _ { E } ^ { \intercal } }$ , where $U _ { E }$ is a $\overline { { P \times ( C - 1 ) } }$ partial orthogonal matrix satisfying $U _ { E } ^ { \top } U _ { E } { = } I$ , $S _ { E }$ is the $( C { - } 1 ) { \times } ( C { - } 1 )$ diagonal matrix of singular values, and $V _ { E } ^ { \top }$ is a $( C { - } 1 ) { \times } C$ partial orthogonal matrix satisfying $V _ { E } ^ { \top } V _ { E } { = } I$ . Since $\pmb { \cal E }$ is a Simplex ETF, by definition, + +$$ +\pmb { E } ^ { \top } \pmb { E } = \alpha \left( \frac { C } { C - 1 } \pmb { I } - \frac { 1 } { C - 1 } \pmb { \mathrm { 1 } } _ { C } \pmb { \mathrm { 1 } } _ { C } ^ { \top } \right) , +$$ + +and according to the SVD decomposition + +$$ +\begin{array} { r } { \pmb { E } ^ { \top } \pmb { E } = V _ { E } S _ { E } \pmb { U } _ { E } ^ { \top } \pmb { U } _ { E } S _ { E } \pmb { V } _ { E } ^ { \top } = V _ { E } S _ { E } ^ { 2 } \pmb { V } _ { E } ^ { \top } . } \end{array} +$$ + +Therefore, + +$$ +V _ { E } S _ { E } ^ { 2 } V _ { E } ^ { \top } = \alpha \left( \frac { C } { C - 1 } { \cal I } - \frac { 1 } { C - 1 } \mathbb { 1 } _ { C } \mathbb { 1 } _ { C } ^ { \top } \right) . +$$ + +Notice that the right-hand-side has $C { - } 1$ equal singular values. This implies $S _ { E }$ —and, thus, $\pmb { \cal E }$ as well—has $C { - } 1$ equal singular values. In other words, $S _ { E }$ is a $( C - 1 ) \times ( \bar { C } - 1 )$ diagonal matrix equal to $\mathrm { d i a g } ( s , \ldots , s )$ for some scalar $s { > } 0$ . + +Next, notice that on the one hand + +$$ +\pmb { { E } } ^ { \top } \pmb { { E } } \pmb { 1 } _ { C } = \alpha \left( \frac { C } { C - 1 } \pmb { I } - \frac { 1 } { C - 1 } \pmb { 1 } _ { C } \pmb { 1 } _ { C } ^ { \top } \right) \pmb { 1 } _ { C } = \mathbf { 0 } . +$$ + +On the other hand, + +$$ +\begin{array} { r } { \pmb { E } ^ { \top } \pmb { E } \mathbb { 1 } _ { C } = V _ { E } \pmb { S } _ { E } \pmb { U } _ { E } ^ { \top } U _ { E } \pmb { S } _ { E } V _ { E } ^ { \top } \mathbb { 1 } _ { C } = V _ { E } \pmb { S } _ { E } ^ { 2 } V _ { E } ^ { \top } \mathbb { 1 } _ { C } = s ^ { 2 } V _ { E } V _ { E } ^ { \top } \mathbb { 1 } _ { C } . } \end{array} +$$ + +Combining the above, we get $V _ { E } V _ { E } ^ { \top } \mathbb { 1 } _ { C } { = } \mathbf { 0 }$ . Since $V _ { E } V _ { E } ^ { \top }$ is a $C { \times } C$ matrix of rank $C { - } 1$ , we deduce that the rank-1 nullspace of $V _ { E } ^ { \top }$ is spanned by the $C$ -dimensional ones vector, i.e. $V _ { E } ^ { \top } \mathbb { 1 } _ { C } { = } \mathbf { 0 }$ . Consequently, $\pmb { { \cal E } }$ has zero-mean columns since $\scriptstyle { E \mathbb { 1 } _ { C } = U _ { E } S _ { E } V _ { E } ^ { \top } \mathbb { 1 } _ { C } = \mathbf { 0 } }$ . + +1-2 implies Simplex ETF: Assume $\pmb { \cal E }$ has exactly $C { - } 1$ non-zero, equal singular values as well as a rank-1 nullspace spanned by the ones-vector, i.e., $\mathbf { \delta E 1 } _ { C } { = } \mathbf { 0 }$ . Then, $\scriptstyle { E = U _ { E } S _ { E } V _ { E } ^ { \intercal } }$ where + +• $U _ { E }$ is a $P { \times } ( C { - } 1 )$ partial orthogonal matrix satisfying $U _ { E } ^ { \top } U _ { E } { = } I$ ; • $\boldsymbol { S _ { E } } = \mathrm { d i a g } ( s , . . . , s )$ is a $( C - 1 ) \times ( C - 1 )$ diagonal matrix for some scalar $s { > } 0$ ; and • $V _ { E } ^ { \top }$ is a $( C { - } 1 ) { \times } C$ partial orthogonal matrix satisfying $V _ { E } ^ { \top } V _ { E } { = } I$ and also satisfying $V _ { E } ^ { \top } \mathbb { 1 } _ { C } { = } \mathbf { 0 }$ . + +Therefore, + +$$ +\begin{array} { r } { E ^ { \top } E = V _ { E } S _ { E } U _ { E } ^ { \top } U _ { E } S _ { E } V _ { E } ^ { \top } = V _ { E } S _ { E } ^ { 2 } V _ { E } ^ { \top } = s ^ { 2 } V _ { E } V _ { E } ^ { \top } . } \end{array} +$$ + +Using our assumptions on $V _ { E }$ , + +$$ +V _ { E } V _ { E } ^ { \top } + \frac { 1 } { C } \mathbf { 1 } _ { C } \mathbf { 1 } _ { C } ^ { \top } = I , +$$ + +where we divide each of the ones-vectors by $\sqrt { C }$ to create a unit vector. Thus, we conclude + +$$ +\pmb { E } ^ { \top } \pmb { E } = s ^ { 2 } \left( \pmb { I } - \frac { 1 } { C } \pmb { \mathbb { 1 } } _ { C } \pmb { \mathbb { 1 } } _ { C } ^ { \top } \right) = \alpha \left( \frac { C } { C - 1 } \pmb { I } - \frac { 1 } { C - 1 } \pmb { \mathbb { 1 } } _ { C } \pmb { \mathbb { 1 } } _ { C } ^ { \top } \right) , +$$ + +$\alpha = s ^ { 2 } \frac { C - 1 } { C }$ . Hence, by definition, $\pmb { \cal E }$ is a Simplex ETF. + +Corollary 2 (Neural Collapse Under MSE Loss). Under continually renormalized gradient flow (Equation 5), the SNR matrix (Equation 8) converges to + +$$ +\operatorname* { l i m } _ { t \infty } \frac { 1 } { \omega _ { \mathrm { m a x } } ( t ) } \mathrm { S N R } _ { t } = \widehat { U } _ { 0 } \widehat { V } _ { 0 } ^ { \top } , +$$ + +where $\widehat { U } _ { 0 } \in \mathbb { R } ^ { P \times ( C - 1 ) }$ and $\widehat { V } _ { 0 } \in \mathbb { R } ^ { C \times ( C - 1 ) }$ are the left and right singular vectors of the SNR matrix (Definition 2) at $t { = } 0$ corresponding to the non-zero singular values; and $\omega _ { \mathrm { m a x } } ( t )$ is the + +largest singular value at time t. Furthermore, Corollary 1 implies the occurrence of (NC1)-(NC4) i.e. +renormalized gradient flow on the central path leads to Neural Collapse. + +Moreover, denoting the Kronecker product with $\otimes$ , the renormalized features matrix converges to + +$$ +\operatorname* { l i m } _ { t \to \infty } \frac { 1 } { \omega _ { \mathrm { m a x } } ( t ) } \Sigma _ { W , t } ^ { - \frac { 1 } { 2 } } \overline { { H } } _ { t } = ( \widehat { U } _ { 0 } \widehat { V } _ { 0 } ^ { \top } ) \otimes \mathbf { 1 } _ { N } ^ { \top } . +$$ + +Proof. Derivation of Equation 10: Corollary 1 proves the singular values $j = 1 , \ldots , C - 1$ of $\mathrm { S N R } _ { t }$ diverge to infinity and that their ratio tends to one. By Lemma 6, the renormalized gradient flow will not change the singular vectors of the SNR matrix, and—combined with the fact that the singular values converge to equality (second fact of Corollary 1)—we get the limit in Equation 10. + +Derivation of (NC1): Let $s _ { j } ( \cdot )$ denote the $j$ -th singular value of its argument. Then, observe that + +$$ +\begin{array} { r l r } { \operatorname { t r } ( \sum _ { \stackrel { k , l } { n , k } } ^ { 1 } \sum _ { W , k } ) = C \operatorname { t r } ( ( M , M _ { t } ^ { \prime } ) ^ { \top } \Sigma _ { W , k } ) } & { \qquad } & { \mathrm { ( D e f . ~ o f ~ \Sigma _ { B } , \phi ~ ) } } \\ & { = C \operatorname { t r } ( \Sigma _ { W , k } ^ { \uparrow } ( \overline { { M } } _ { t } \overline { { M } } _ { t } ^ { \prime } ) ^ { \top } \Sigma _ { W , k } ^ { \frac { \eta } { \eta } } ) } & { \mathrm { ( C y c l e c ~ \eta ~ o p o r t y ~ o f ~ t r a c e ) } } \\ & { = C \frac { - 1 } { \gamma _ { 2 } } s _ { j } ( \Sigma _ { W , k } ^ { \uparrow } ( M _ { t } M _ { t } ^ { \prime } ) ^ { \top } ) \Sigma _ { W , l } ^ { \frac { 1 } { \eta } } ) } & { \mathrm { ( f r a c t ~ s u s ~ m o f ~ s i n g u l a r ~ v a l u e s ) } } \\ & { = C \frac { - 1 } { \gamma _ { 2 } } s _ { j } ^ { - 1 } ( \Sigma _ { W , k } ^ { - \frac { 1 } { \eta } } ( \overline { { M } } _ { t } \overline { { M } } _ { t } ^ { \prime } ) ^ { \top } \Sigma _ { W , k } ^ { - \frac { 1 } { \eta } } ) } & { \mathrm { ( f r a c t ~ s u p ~ \eta ~ o f ~ \eta ~ s u p i o t i o n v e r s e ) } } \\ & { = C \displaystyle \sum _ { \stackrel { k , l } { n = 1 } } ^ { \infty } s _ { j } ^ { - 1 } ( \Sigma _ { W , k } ^ { - \frac { 1 } { \eta } } \overline { { M } } _ { t } ) \Sigma _ { W , k } ^ { - \frac { 1 } { \eta } } } & { \mathrm { ( D e f . ~ o f ~ p e s u l o n v e r s e ) } } \\ & { = C \displaystyle \sum _ { j = 1 } ^ { \infty } s _ { j } ^ { - 2 } ( \Sigma _ { W , j } ^ { - \frac { 1 } { \eta } } \overline { { M } } _ { j } ) } & \\ & { = \displaystyle \sum _ { j = 1 } ^ { \infty } \frac { 1 } { \gamma _ { 2 } ( j ) } \frac { 1 } { \alpha ^ { j } ( k ) } \exp ( \mathrm { ~ C o v i l l a r ~ \eta ~ } ) } & \mathrm ( C o v e r \end{array} +$$ + +By Horn & Johnson (2012, Theorem 1.3.22), + +$$ +\begin{array} { r } { \lambda _ { j } ( \Sigma _ { B , t } ^ { \dag } \Sigma _ { W , t } ) = \lambda _ { j } ( \Sigma _ { W , t } ^ { 0 . 5 } \Sigma _ { B , t } ^ { \dag } \Sigma _ { W , t } ^ { 0 . 5 } ) \geq 0 , } \end{array} +$$ + +positive-semidefiniteness of Σ0.5W,tΣ†B,tΣ0.5W,t. Since the trace is the sum of eigenvalues, the only way† for the trace of to tend to zero is if all eigenvalues also tend to zero. All eigenvalues tending to zero implies the matrix itself tends to zero, i.e. + +$$ +\operatorname* { l i m } _ { t \infty } \Sigma _ { B , t } ^ { \dagger } \Sigma _ { W , t } = \mathbf { 0 } , +$$ + +which is the definition of (NC1) in Section 1.1. + +Derivation of (NC2)-(NC4): Recall that the SNR matrix has zero-mean columns and rank $C { - } 1$ (see Definition 2). This, combined with the fact that the singular values converge to equality (second fact of Corollary 1) imply, by Lemma 7, that the renormalized class-means converge to a Simplex ETF i.e. (NC2) . + +From Theorem 1 of Papyan, Han, and Donoho (2020), we then know that (NC3) and (NC4) follow from (NC1) and (NC2) on the central path. + +Derivation of Equation 11: Combining the limit in Equation 10 with (NC1) proves the limit in Equation 11. + +# E RELATED WORKS EXAMINING NEURAL COLLAPSE + +In this section, we discuss the contributions and limitations of seven recent works that propose and analyze theoretical abstractions of Neural Collapse. These works are only available in preprint, and may not yet be peer-reviewed. Thus, they might ultimately appear with very different claims or results. Additionally, works such as Poggio & Liao (2020a;b); Ergen & Pilanci (2020) also analyze behaviors other than NC; we will only discuss the parts relevant to Neural Collapse here. + +# E.1 MIXON, PARSHALL, AND PI (2020) + +Mixon et al. (2020) considered the unconstrained features model in Equation 2 (without weight decay) where, under gradient flow, $( W , H )$ evolve according to a nonlinear ordinary differential equation (ODE). They followed a two-step strategy for studying Neural Collapse. First, they linearized the ODE—claiming nonlinear terms are negligible for models initialized near the origin—and proved the simplified ODE converges to a subspace of $( W , H )$ satisfying (NC1) and (NC3) . Second, they proved that gradient flow, restricted to that subspace, converges to (NC2) . + +The assumption of small weights and classifiers leading to the linearized ODE is not aligned with today’s paradigm. Specifically, the most commonly used He initialization (He et al., 2015) is designed: (i) to create weights with non-negligible magnitude; and (ii) to preserve the magnitude of features, as they propagate throughout the layers of the network, exactly so that last-layer features would have non-negligible magnitude. Moreover, the analysis of Mixon et al. essentially assumes that (NC1) and (NC3) occur much sooner than (NC2) . However, from the experiments in both Papyan, Han, and Donoho (2020) and this paper, there is no empirical evidence that (NC2) happens slower than (NC1) and (NC3) in practice. + +# E.2 LU AND STEINERBERGER (2020) + +While the MSE loss provides a mathematically natural setting for analysis, the modern paradigm in multi-class classification with deep learning involves training with CE loss, which is more challenging to analyze than MSE. + +Lu & Steinerberger (2020) studied the (one-example-per-class) unconstrained22 features model with CE loss: + +$$ +\operatorname* { m i n } _ { W , M } \mathrm { C E } ( W , M ) \quad \mathrm { s . t . } \quad \| w _ { c } \| _ { 2 } = \| \pmb { \mu } _ { c } \| _ { 2 } = 1 . +$$ + +Since under linear separability the CE loss can be driven arbitrarily close to zero, just by re-scaling the norms of $W$ and $M$ , the authors further imposed a norm constraint on ${ \pmb w } _ { c }$ and $\pmb { \mu } _ { c }$ . Lu & Steinerberger observe that the global minimizer of this optimization problem is only achieved once $W$ and $M$ are the same Simplex ETF. This derivation is suggestive, but it does not identify closed-form dynamics which would get gradient flow to such a global minimizer, nor does it address the rate of convergence to Neural Collapse. Additionally, the constraint on $\pmb { \mu } _ { c }$ possesses no immediate or direct analogy to standard deep net training—where procedures often control the norm of the weights $W$ , but not features $\pmb { H }$ —nor class-means $M$ . + +# E.3 E AND WOJTOWYTSCH (2020) + +E & Wojtowytsch (2020) also consider the unconstrained features model22 with CE loss, + +$$ +\operatorname* { m i n } _ { W , H } \quad \mathrm { C r o s s E n t r o p y } ( W H ) \quad \mathrm { s . t . } \quad \| W \| _ { 2 } \leq 1 , \ \| h _ { i , c } \| _ { 2 } \leq 1 , +$$ + +where they adopt a more technical, spectral norm constraint on $W$ to specify their model. + +Building on the results of Chizat & Bach (2018; 2020), E & Wojtowytsch also construct a simple counter-example showing that Neural Collapse need not occur in two-layer, infinite-width networks— which have been the focus of intense recent study in the theoretical deep learning community (Mei et al., 2018; Rotskoff & Vanden-Eijnden, 2018; Arora et al., 2019). Thus, E & Wojtowytsch’s counterexample suggests the alternative perspective that, despite the expressiveness of infinite-width, two-layer networks, such abstractions do not capture key aspects of trained deep nets. + +As with Lu & Steinerberger (2020), standard deep net training does not possess any direct analogies for constraining the norm of features (as opposed to weights)—nor are there any paradigmatic regularizations that correspond to controlling the spectral norm on $W$ . Moreover, the work does not characterize any closed-form dynamics or the rate of convergence to Neural Collapse. + +# E.4 POGGIO & LIAO (2020A;B) (WITH BANBURSKI) + +Distinguished from the simplified unconstrained features models in the previously mentioned works is the theoretical analysis of Poggio & Liao (2020a;b) (in a special section, co-authored with Andrzej Banburski). + +The authors study deep homogeneous classification networks, with weight normalization layers, trained with stochastic gradient descent and weight decay. This is much closer to today’s training paradigm, but the setting still differs from the one in which Neural Collapse has been empirically observed in Papyan, Han, and Donoho (2020) and in Section A of this paper. In particular, they replace batch normalization with weight normalization and consider deep homogeneous networks; homogeneous networks can not have bias vectors nor skip connections, which are present both in ResNet and DenseNet. Moreover, the work gives explicit descriptions of neither the dynamics nor the rate of convergence to Neural Collapse. + +# E.5 ERGEN & PILANCI (2020) + +While the above-described works tend to focus on either the used-in-practice CE loss or the theoretically-insightful MSE loss, Ergen & Pilanci (2020) observed that these are both instances of the general class of convex loss functions and, thus, one could derive insights from the classical convex analysis literature. Moreover, compared to Mixon et al. (2020); Lu & Steinerberger (2020); E & Wojtowytsch (2020), this work studies the optimization starting from the second-to-last layer features rather than the last-layer features. In particular, the authors use a strong-duality argument to show that NC emerges in the optimal solution of an equivalent proxy-model to the following optimization: + +$$ +\operatorname* { m i n } _ { H _ { L - 1 } , W _ { L - 1 } , W _ { L } , \gamma , \alpha } \mathcal { L } \left( W _ { L } \left( \mathrm { B N } _ { \gamma , \alpha } \left( W _ { L - 1 } H _ { L - 1 } \right) \right) _ { + } , \mathbf { Y } \right) + \frac { \lambda } { 2 } \left( \left\| \gamma \right\| _ { 2 } ^ { 2 } + \left\| \alpha \right\| _ { 2 } ^ { 2 } + \left\| W _ { L } \right\| _ { F } ^ { 2 } \right) , +$$ + +where $\mathcal { L } ( \cdot )$ is a general convex loss, $H _ { L - 1 }$ are the second-to-last layer activations, $W _ { L - 1 }$ are the second-to-last layer weights, $W _ { L }$ are the network classifiers, $\mathbf { Y }$ are the training targets, $\lambda$ is a weight-decay parameter, $\mathrm { B N } _ { \gamma , \alpha } ( \cdot )$ is a batch-norm operator parameterized by $\alpha$ and $\gamma$ , and $( \cdot ) _ { + }$ is a ReLU. The incorporation of batch-normalization and weight-decay ensures the existence of bounded, well-defined optimal solutions—serving a similar role to that of weight-normalization and weight decay in Poggio & Liao (2020a;b) as well as the norm constraints in the other aforementioned related works. + +Since strong-duality only characterizes properties of the converged optimal solution of an optimization model, Ergen & Pilanci (2020) does not provide insights into the dynamics with which that solution is achieved which training. + +# E.6 FANG, HE, LONG, AND SU (2021) + +In Fang et al. (2021), the authors introduce the $\boldsymbol { \mathscr { N } }$ -)layer-peeled model in which one considers only the direct optimization of the $N$ -th-to-last layer features of a deep net along with the weights that come after the $N .$ -th-to-last layer. The motivating philosophy is that, after raw inputs are passed through some initial number of layers, the overparameterization of those layers would allow us to effectively model the $N$ -th-to-last layer features as freely-moving in some subset of Euclidean space. In this terminology, the concurrent works of Mixon et al. (2020); Lu & Steinerberger (2020); E & Wojtowytsch (2020) on the unconstrained (last-layer) features model could be considered instances of a 1-layer-peeled model; while the model of Ergen & Pilanci (2020) could be considered as a 2-layer-peeled model. This perspective is attractive because it gives a name and organization to a common modeling philosophy behind the above-described body of independent works. For comparison, the work of Poggio & Liao (2020a;b) is a non-example of layer-peeled modeling as it considers optimization on the weights of homogeneous deep nets and not the input features. + +Fang et al. (2021) then analyzes a convex relaxation of the 1-layer-peeled model—with norm constraints on the weights and features—into a semidefinite program. Not only do the authors show that this model exhibits Neural Collapse in the canonical setting of balanced examples-per-class, but they also analyze the behavior of this model under imbalanced classes. While, in the imbalanced case, one would intuitively expect the Simplex ETF to “skew” to have bigger angles around overrepresented classes and smaller angles around under-represented ones; Fang et al. (2021) identifies the surprising phenomenon—named minority collapse—in their model where, when the imbalances pass a certain threshold, the last-layer features and classifiers of the under-represented classes collapse to be exactly the same. However, their work does not provide closed-form dynamics or rates at which collapse—in either the balanced or imbalance case—occurs. + +E.7 ZHU, DING, ZHOU, LI, YOU, SULAM, AND QU (2021) + +In Zhu et al. (2021), the authors examine the following unconstrained features model: + +$$ +\operatorname* { m i n } _ { W , H , b } \mathrm { C r o s s E n t r o p y } \left( W H + b , \pmb { Y } \right) + \frac { \lambda _ { W } } { 2 } \left. \pmb { W } \right. _ { F } ^ { 2 } + \frac { \lambda _ { H } } { 2 } \left. \pmb { H } \right. _ { F } ^ { 2 } + \frac { \lambda _ { b } } { 2 } \left. \pmb { b } \right. _ { F } ^ { 2 } , +$$ + +where $( W , b )$ are the classifier weights and biases, $\pmb { H }$ are the last layer features, and $\left( \lambda _ { W } , \lambda _ { H } , \lambda _ { b } \right)$ are weight-decay parameters. On this model, the authors not only prove that all minima exhibit Neural Collapse but also that all local minima are global minima. In comparison to our current paper, Zhu et al. (2021) focus on characterizing the landscape of the loss and, thus, do not explore the dynamics and rate at which such minimizers of the loss are achieved. + +Zhu et al. (2021) also make notable empirical contributions by conducting a series of experiments on the MNIST and CIFAR10 datasets trained on MLPs, ResNet18, and ResNet50. Their measurements give evidence for the following novel NC-related phenomena in deep classification networks: + +1. NC is algorithm independent: NC emerges in realistic classification deep net training regardless of whether the algorithm is SGD, ADAM, or L-BFGS. +2. NC occurs on random labels: NC emerges even when the one-hot target vectors are completely shuffled. +3. Width improves NC: Increasing network width expedites NC when training with random labels. + +The authors of Zhu et al. (2021) moreover conducted ablation experiments suggesting that the following substitutions can be made to deep neural net architectures without affecting performance: + +1. Weight-decay substitution: Replacing (A) weight-decay on the norm of all network parameters with (B) weight-decay just on the norm of the last-layer features and classifiers. 2. Classifier substitution: Replacing (A) the last-layer classifiers that are trained with SGD with (B) Simplex ETF classifiers that are fixed throughout training. + +While the authors only demonstrated these new behaviors on limited network-dataset combinations, these experiments indeed inspire interesting conjectures about the generalization behavior of deep nets as well as potential architecture design improvements; Zhu et al. (2021) discuss many of these conjectures and related open-questions in detail. \ No newline at end of file diff --git a/parse/dev/w1UbdvWH_R3/w1UbdvWH_R3_content_list.json b/parse/dev/w1UbdvWH_R3/w1UbdvWH_R3_content_list.json new file mode 100644 index 0000000000000000000000000000000000000000..538739735224037eec1ef6a9a2ac5480526e61ff --- /dev/null +++ b/parse/dev/w1UbdvWH_R3/w1UbdvWH_R3_content_list.json @@ -0,0 +1,5935 @@ +[ + { + "type": "text", + "text": "NEURAL COLLAPSE UNDER MSE LOSS: PROXIMITY TO AND DYNAMICS ON THE CENTRAL PATH ", + "text_level": 1, + "bbox": [ + 176, + 98, + 823, + 146 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "X.Y. Han∗ Cornell University xh332@cornell.edu ", + "bbox": [ + 184, + 170, + 334, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Vardan Papyan∗ University of Toronto vardan.papyan@utoronto.ca ", + "bbox": [ + 369, + 170, + 593, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "David L. Donoho Stanford University donoho@stanford.edu ", + "bbox": [ + 625, + 170, + 795, + 212 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "ABSTRACT ", + "text_level": 1, + "bbox": [ + 452, + 250, + 544, + 263 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The recently discovered Neural Collapse (NC) phenomenon occurs pervasively in today’s deep net training paradigm of driving cross-entropy (CE) loss towards zero. During NC, last-layer features collapse to their class-means, both classifiers and class-means collapse to the same Simplex Equiangular Tight Frame, and classifier behavior collapses to the nearest-class-mean decision rule. Recent works demonstrated that deep nets trained with mean squared error (MSE) loss perform comparably to those trained with CE. As a preliminary, we empirically establish that NC emerges in such MSE-trained deep nets as well through experiments on three canonical networks and five benchmark datasets. We provide, in a Google Colab notebook, PyTorch code for reproducing MSE-NC and CE-NC: here. The analytically-tractable MSE loss offers more mathematical opportunities than the hard-to-analyze CE loss, inspiring us to leverage MSE loss towards the theoretical investigation of NC. We develop three main contributions: (I) We show a new decomposition of the MSE loss into (A) terms directly interpretable through the lens of NC and which assume the last-layer classifier is exactly the least-squares classifier; and (B) a term capturing the deviation from this least-squares classifier. (II) We exhibit experiments on canonical datasets and networks demonstrating that term-(B) is negligible during training. This motivates us to introduce a new theoretical construct: the central path, where the linear classifier stays MSE-optimal for feature activations throughout the dynamics. (III) By studying renormalized gradient flow along the central path, we derive exact dynamics that predict NC. ", + "bbox": [ + 232, + 279, + 766, + 570 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "1 INTRODUCTION ", + "text_level": 1, + "bbox": [ + 176, + 601, + 336, + 617 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "Modern deep learning includes paradigmatic procedures that are commonly adopted, but not entirely understood. Some examples are multi-layered architectures, stochastic gradient descent, batch normalization, cross-entropy (CE) loss, and training past zero error towards zero loss. Analyzing the properties of these practices is an important research task. ", + "bbox": [ + 174, + 632, + 823, + 688 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "In this work, we theoretically investigate behavior of last-layer features in classification deep nets. In particular, we consider the training of deep neural networks on datasets containing images from $C$ different classes with $N$ examples in each class. After passing the $i$ -th example in the $c$ -th class through all layers except the last-layer of the network, the network outputs some last-layer features $\\boldsymbol { h } _ { i , c } \\in \\mathbb { R } ^ { P }$ . The last-layer of the network—which, for each class $c$ , possesses a classifier ${ \\pmb w } _ { c } \\in \\mathbb { R } ^ { P }$ and bias $b _ { c } \\in \\mathbb { R }$ —then predicts a label for the example using the rule arg $\\mathrm { m a x } _ { c ^ { \\prime } }$ $( \\langle { \\pmb w } _ { c ^ { \\prime } } , { \\pmb h } _ { i , c } \\rangle + b _ { c ^ { \\prime } } )$ . ", + "bbox": [ + 174, + 694, + 825, + 780 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "The network’s performance is evaluated by calculating the error defined by ", + "bbox": [ + 176, + 785, + 666, + 800 + ], + "page_idx": 0 + }, + { + "type": "equation", + "img_path": "images/2a3aa2152bb81f2afb6f667e0d3001ed42adcc54863fdba3a0ce43174e8c0f5b.jpg", + "text": "$$\n\\mathrm { E r r o r } = \\underset { i , c } { \\mathrm { A v e } } ~ \\mathbf { 1 } \\{ c \\neq \\arg \\operatorname* { m a x } _ { c ^ { \\prime } } \\left( \\langle { \\pmb w } _ { c ^ { \\prime } } , { \\pmb h } _ { i , c } \\rangle + b _ { c ^ { \\prime } } \\right) \\} ,\n$$", + "text_format": "latex", + "bbox": [ + 331, + 805, + 663, + 829 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "while the weights, biases, and other parameters of the network (that determine the behavior of the layers before the last layer) in the network are updated by minimizing the CE loss defined by ", + "bbox": [ + 173, + 833, + 825, + 862 + ], + "page_idx": 0 + }, + { + "type": "equation", + "img_path": "images/0f13b3c15090ee1b6d2295040e55ea201e0983320d427aaf03d99879af15a265.jpg", + "text": "$$\n\\mathrm { C E } = - \\underset { i , c } { \\mathrm { A v e } } \\log \\frac { \\exp \\{ \\langle \\pmb { w } _ { c } , \\pmb { h } _ { i , c } \\rangle + b _ { c } \\} } { \\sum _ { c ^ { \\prime } = 1 } ^ { C } \\exp \\{ \\langle \\pmb { w } _ { c ^ { \\prime } } , \\pmb { h } _ { i , c } \\rangle + b _ { c ^ { \\prime } } \\} } ,\n$$", + "text_format": "latex", + "bbox": [ + 336, + 866, + 658, + 904 + ], + "page_idx": 0 + }, + { + "type": "text", + "text": "where Ave is the operator that averages over its subscript indices. ", + "bbox": [ + 174, + 103, + 602, + 118 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "Prior works such as Zhang et al. (2016); Belkin et al. (2019) have shown that overparameterized classifiers (such as deep nets) can “memorize” their training set without harming performance on unseen test data. Moreover, works such as Soudry et al. (2018) have further shown that continuing to train networks past memorization can still lead to performance improvements1,2. Papyan, Han, and Donoho (2020) recently examined this setting, referring to the phase during which one trains past zero-error towards zero-CE-loss as the Terminal Phase of Training (TPT). During TPT, they exposed a phenomenon called Neural Collapse (NC). ", + "bbox": [ + 173, + 125, + 825, + 223 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "1.1 NEURAL COLLAPSE ", + "text_level": 1, + "bbox": [ + 176, + 246, + 352, + 261 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "NC is defined relative to the feature global mean, ", + "bbox": [ + 173, + 292, + 495, + 306 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/8afaa8a39e478b6228cf374bd4356bed897a364a1df3a68103c44da8052ec4e7.jpg", + "text": "$$\n\\mu _ { G } = \\mathop { \\mathrm { A v e } } _ { i , c } h _ { i , c } ,\n$$", + "text_format": "latex", + "bbox": [ + 282, + 314, + 390, + 337 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "the feature class-means, ", + "bbox": [ + 173, + 344, + 331, + 359 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/a17bada9c6d7280170557bad2de241687b1acadf913fd82a58c9cc72104b6a21.jpg", + "text": "$$\n\\pmb { \\mu _ { c } = \\mathrm { A v e } h _ { i , c } , } \\quad c = 1 , \\ldots , C ,\n$$", + "text_format": "latex", + "bbox": [ + 230, + 366, + 442, + 387 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "the feature within-class covariance, ", + "bbox": [ + 174, + 395, + 406, + 410 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/d57eb1e493f46dd39e90764297cdc80677f561878c5ac6756528b8a77755c6ee.jpg", + "text": "$$\n\\pmb { \\Sigma } _ { W } = \\pmb { \\mathrm { A v e } } ( \\pmb { h } _ { i , c } - \\pmb { \\mu } _ { c } ) ( \\pmb { h } _ { i , c } - \\pmb { \\mu } _ { c } ) ^ { \\top } ,\n$$", + "text_format": "latex", + "bbox": [ + 212, + 414, + 460, + 440 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "and the feature between-class covariance, ", + "bbox": [ + 176, + 446, + 446, + 462 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/9f44d449a37c6a669f62dc1b10856b50ad417116c34f37788650ac585506b89d.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { \\Sigma } _ { B } = \\underset { c } { \\mathrm { A v e } } ( \\pmb { \\mu } _ { c } - \\pmb { \\mu } _ { G } ) ( \\pmb { \\mu } _ { c } - \\pmb { \\mu } _ { G } ) ^ { \\top } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 217, + 465, + 455, + 491 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/012c475372c957a756c4dffb6e93ba8d44f97e5948f59046685bc652b6b00fe7.jpg", + "image_caption": [], + "image_footnote": [], + "bbox": [ + 514, + 301, + 805, + 440 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "It is characterized by the following four limiting behaviors where limits take place with increasing training epoch $t$ : ", + "bbox": [ + 173, + 505, + 500, + 546 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "(NC1) Within-class variability collapse3: ", + "bbox": [ + 176, + 546, + 455, + 560 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/d63e04e42d622b2f52af354758b32583df22c5cffe6c0106ddffc796a9940a5b.jpg", + "text": "$$\n\\Sigma _ { B } ^ { \\dagger } \\Sigma _ { W } \\mathbf { 0 } ,\n$$", + "text_format": "latex", + "bbox": [ + 289, + 569, + 383, + 590 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "where $\\dagger$ denotes the Moore-Penrose pseudoinverse. (NC2) Convergence to Simplex ETF: ", + "bbox": [ + 173, + 593, + 500, + 621 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/3bc155a09c6097de8f0160800edb1b0c1c8a11ed6be325485503a5a365ea1386.jpg", + "text": "$$\n\\frac { \\langle \\pmb { \\mu } _ { c } - \\pmb { \\mu } _ { G } , \\pmb { \\mu } _ { c ^ { \\prime } } - \\pmb { \\mu } _ { G } \\rangle } { \\| \\pmb { \\mu } _ { c } - \\pmb { \\mu } _ { G } \\| _ { 2 } \\| \\pmb { \\mu } _ { c ^ { \\prime } } - \\pmb { \\mu } _ { G } \\| _ { 2 } } \\{ \\begin{array} { l l } { 1 , } & { c = c ^ { \\prime } } \\\\ { \\frac { - 1 } { C - 1 } , } & { c \\neq c ^ { \\prime } } \\end{array} \n$$", + "text_format": "latex", + "bbox": [ + 171, + 637, + 495, + 674 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/a16a0fbbdce63ed9c502a352b0e6b1a5e6b5365e8bc997b7f2f79ca8783e0427.jpg", + "text": "$$\n\\| \\pmb { \\mu } _ { c } - \\pmb { \\mu } _ { G } \\| _ { 2 } - \\| \\pmb { \\mu } _ { c ^ { \\prime } } - \\pmb { \\mu } _ { G } \\| _ { 2 } \\to 0 \\quad \\forall c \\neq c ^ { \\prime }\n$$", + "text_format": "latex", + "bbox": [ + 189, + 679, + 486, + 696 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "(NC3) Convergence to self-duality: ", + "bbox": [ + 173, + 699, + 416, + 714 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/4757056b363fd1b5cfacb70079cc00f655a32314a50f27254b1a9b70434d75ef.jpg", + "text": "$$\n{ \\frac { { \\pmb w } _ { c } } { \\| { \\pmb w } _ { c } \\| _ { 2 } } } - { \\frac { { \\pmb \\mu } _ { c } - { \\pmb \\mu } _ { G } } { \\| { \\pmb \\mu } _ { c } - { \\pmb \\mu } _ { G } \\| _ { 2 } } } 0\n$$", + "text_format": "latex", + "bbox": [ + 240, + 723, + 434, + 756 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "(NC4): Simplification to nearest class center: ", + "bbox": [ + 171, + 757, + 486, + 772 + ], + "page_idx": 1 + }, + { + "type": "image", + "img_path": "images/ae3b26a3a7de004b8695a58badcfe2eb49d356509226493a8bdaeee488ea4498.jpg", + "image_caption": [ + "Figure 1: Portrait of Neural Collapse. Top figure depicts the last-layer features, classmeans, and classifiers with which NC is defined—as well as the Simplex ETF to which they all converge with training. Bottom figure shows the deviations of features from their corresponding class-means. Reproduced and modified from Figure 1 of Papyan, Han, and Donoho (2020). " + ], + "image_footnote": [], + "bbox": [ + 553, + 512, + 803, + 661 + ], + "page_idx": 1 + }, + { + "type": "equation", + "img_path": "images/62a222ae24450c403e20a623b5fcb614c3b59fbc789755a725eac01598273d51.jpg", + "text": "$$\n\\arg \\operatorname* { m a x } _ { c ^ { \\prime } } w _ { c ^ { \\prime } } , h + b _ { c ^ { \\prime } } \\arg \\operatorname* { m i n } _ { c ^ { \\prime } } \\| h - \\mu _ { c ^ { \\prime } } \\| _ { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 179, + 784, + 495, + 806 + ], + "page_idx": 1 + }, + { + "type": "text", + "text": "The (NC2) property captures convergence to a simple geometric structure called an Equiangular Tight Frame (ETF). An ETF is a collection of vectors $\\{ { \\pmb v } _ { c } \\} _ { c = 1 } ^ { \\top }$ having equal lengths and equal, maximally separated pair-wise angles. In classification deep nets, last-layer features are of higher dimension than the number of classes i.e. $P { > } C$ . In this setting, the maximal angles are given by ", + "bbox": [ + 173, + 103, + 825, + 160 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/badf4abf2a5ca6176087a118c86885f45a7899e362502ff2e27b1ac6d00034ff.jpg", + "text": "$$\n\\frac { \\left. { \\pmb v } _ { c } , { \\pmb v } _ { c ^ { \\prime } } \\right. } { \\| { \\pmb v } _ { c } \\| _ { 2 } \\| { \\pmb v } _ { c ^ { \\prime } } \\| _ { 2 } } = \\left\\{ \\begin{array} { l l } { 1 , } & { \\mathrm { f o r } c = c ^ { \\prime } } \\\\ { - \\frac { 1 } { C - 1 } , } & { \\mathrm { f o r } c \\neq c ^ { \\prime } } \\end{array} \\right. ,\n$$", + "text_format": "latex", + "bbox": [ + 359, + 165, + 637, + 202 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "and the ETF is called a Simplex $\\mathrm { E T F ^ { 4 } }$ . Observe that as $C$ increases, the ETF approaches a (partial) orthogonal matrix. Thus, when $C$ is large, this translates to the intuitive notion that classifiers and class-means tend with training to (near) orthogonality. ", + "bbox": [ + 174, + 207, + 825, + 251 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "1.2 DEEP NET CLASSIFICATION WITH MSE LOSS ", + "text_level": 1, + "bbox": [ + 178, + 267, + 524, + 281 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "While classification deep nets are typically trained with CE loss, Demirkaya et al. (2020) and Hui & Belkin (2020) recently reported deep nets trained with squared error (MSE) loss, ", + "bbox": [ + 173, + 292, + 825, + 321 + ], + "page_idx": 2 + }, + { + "type": "equation", + "img_path": "images/38092ba1c481721919eddf79ebc66ddad5110aca234a96bdfee3ae64fd365215.jpg", + "text": "$$\n\\begin{array} { r l r } { { \\mathcal { L } ( W , b , H ) = \\frac { 1 } { 2 } \\operatorname { A v e } \\| W h _ { i , c } + b - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } ( \\| W \\| _ { F } ^ { 2 } + \\| b \\| _ { 2 } ^ { 2 } ) } } \\\\ & { } & { \\quad = \\frac { 1 } { 2 C N } \\| W H + b \\mathbb { 1 } _ { C N } ^ { \\top } - { \\mathbf { Y } } \\| _ { F } ^ { 2 } + \\frac { \\lambda } { 2 } ( \\| W \\| _ { F } ^ { 2 } + \\| b \\| _ { 2 } ^ { 2 } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 269, + 327, + 725, + 395 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "achieve comparable test performance as those trained with CE loss. Above, $H \\in \\mathbb { R } ^ { P \\times C N }$ and Y ∈ RC×CN are matrices resulting from stacking5 together the feature vectors $h _ { i , c }$ and one-hot vectors $_ { { \\mathbf { \\mathit { y } } } _ { i , c } }$ as their respective columns; $\\pmb { W } \\in \\mathbb { R } ^ { C \\times P }$ is the matrix resulting from the stacking of classifiers ${ \\pmb w } _ { c }$ as rows; $\\pmb { b } \\in \\mathbb { R } ^ { C }$ is the vector resulting from concatenating the scalars $\\{ b _ { c } \\} _ { c = 1 } ^ { C }$ ; and $\\Im { _ { C N } }$ is the length- $C N$ vector of ones. Table 1 in Appendix A shows supplementary measurements affirming the findings of Hui & Belkin (2020); Demirkaya et al. (2020), i.e. the measurements affirm that MSE-trained networks indeed achieve accuracies on testing data comparable to those of CE-trained networks (cf. the analogous Table 1 in Papyan, Han, and Donoho (2020)). The analytically-tractable MSE loss offers more mathematical opportunities than the hard-to-analyze CE loss and inspires this paper’s main theoretical contributions explicitly characterizing MSE-NC. ", + "bbox": [ + 173, + 398, + 826, + 541 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "1.3 CONTRIBUTIONS ", + "text_level": 1, + "bbox": [ + 176, + 558, + 331, + 571 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "Our main contributions are as follows: ", + "bbox": [ + 176, + 584, + 426, + 598 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "• We propose a new decomposition of the MSE loss: $\\mathcal { L } = \\mathcal { L } _ { \\mathrm { N C 1 } } + \\mathcal { L } _ { \\mathrm { N C 2 / 3 } } + \\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp }$ . The terms $\\mathcal { L } _ { \\mathrm { N C 1 } }$ and $\\mathcal { L } _ { \\mathrm { N C } 2 / 3 }$ possess interpretations attributable to NC phenomena and assume the classifier $W$ is exactly the least-squares optimal classifier $W _ { \\mathrm { L S } }$ (relative to the given $\\pmb { H }$ ); \nand $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp }$ captures the deviation of $W$ from $W _ { \\mathrm { L S } }$ . (Section 2) \n• We provide empirical measurements of our decomposition (Figure 2) on realistic datasetnetwork combinations showing that $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp }$ becomes negligible during training—leading us to \ndefine the central path where $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } { = } z e r o$ . (Section 2) \n• We reveal a key invariance property on the central path. The invariance motivates the \nexamination of a representative set of features, $\\scriptstyle { X = \\sum _ { W } ^ { - { \\frac { 1 } { 2 } } } H }$ , that we call renormalized \nfeatures. (Sections 3.1-3.2) \n• We study the gradient flow of those renormalized features along the central path and derive exact, closed-form dynamics that imply NC. The dynamics are explicit in terms of the ", + "bbox": [ + 217, + 611, + 825, + 799 + ], + "page_idx": 2 + }, + { + "type": "text", + "text": "singular value decomposition of the renormalized feature class-means at initialization. (Section 3.3) ", + "bbox": [ + 232, + 103, + 825, + 132 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Additionally, we complement this paper with new, extensive measurements on five benchmark datasets—in particular, the MNIST, FashionMNIST, CIFAR10, SVHN, and STL10 datasets6 (Deng et al., 2009; Krizhevsky & Hinton, 2009; LeCun et al., 2010; Xiao et al., 2017)—and three canonical deep nets—in particular, the VGG, ResNet, and DenseNet networks (He et al., 2016; Huang et al., 2017; Simonyan & Zisserman, 2014)—that verify the empirical reality of MSE-NC i.e. they show (NC1)-(NC4) indeed occur for networks trained with MSE loss. These experiments establish that theoretical modeling of MSE-NC is empirically well-motivated. They are lengthy—together spanning four pages with seven figures and a table—so we collectively defer them to Appendix A. ", + "bbox": [ + 173, + 143, + 826, + 256 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "2 DECOMPOSITION OF MSE LOSS ", + "text_level": 1, + "bbox": [ + 176, + 275, + 470, + 292 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Inspired by the community’s interest in the role of the MSE loss in deep net training (Demirkaya et al., 2020; Hui & Belkin, 2020; Mixon et al., 2020; Poggio & Liao, 2020a;b), we derive a new decomposition of the MSE loss that gives insights into the NC phenomenon. First, absorb the bias vector into the weight matrix—by defining the extended weight matrix $\\widetilde { W } = [ W , b ] \\in \\mathbb { R } ^ { C \\times ( P + 1 ) }$ and the extended feature vector $\\widetilde { \\pmb { h } } _ { i , c } = [ \\pmb { h } _ { i , c } ; 1 ] \\in \\mathbb { R } ^ { P + 1 }$ —so that Equation 2 can be rewritten as ", + "bbox": [ + 173, + 306, + 825, + 386 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/6fcc1f97120707f2f52d04c340f251e26c339f4b01fb0274f971a138def97c37.jpg", + "text": "$$\n\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\| \\widetilde { W } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 328, + 392, + 669, + 424 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Using $\\left\\{ \\widetilde { h } _ { i , c } \\right\\}$ , define the entities $\\widetilde { \\mu } _ { c } , \\widetilde { \\mu } _ { G } ,$ $\\widetilde { H }$ , and $\\widetilde { \\pmb { \\Sigma } } _ { W }$ analogously to those in Section 1.1. We further define the extended total covariance and extended class-means matrices, respectively, as ", + "bbox": [ + 174, + 433, + 826, + 469 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/995863b5bfbb4dc19ceeec7d12c70caff6e24ba379bab2d84575681dd9a813f1.jpg", + "text": "$$\n\\begin{array} { r l } & { \\widetilde { \\boldsymbol { \\Sigma } } _ { T } = \\underset { i , c } { \\mathrm { A v e } } ( \\widetilde { \\boldsymbol { h } } _ { i , c } - \\widetilde { \\pmb { \\mu } } _ { G } ) ( \\widetilde { \\boldsymbol { h } } _ { i , c } - \\widetilde { \\pmb { \\mu } } _ { G } ) ^ { \\top } \\in \\mathbb { R } ^ { ( P + 1 ) \\times ( P + 1 ) } } \\\\ & { \\widetilde { \\boldsymbol { M } } = [ \\widetilde { \\mu } _ { 1 } , \\dots , \\widetilde { \\pmb { \\mu } } _ { C } ] \\in \\mathbb { R } ^ { ( P + 1 ) \\times C } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 316, + 474, + 679, + 526 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Next, we reformulate, with weight decay incorporated, a classic result of Webb & Lowe (1990): ", + "bbox": [ + 171, + 530, + 802, + 546 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Proposition 1 (Webb & Lowe (1990) with Weight Decay). For fixed extended features $\\widetilde { H }$ , the optimal classifier minimizing the MSE loss $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )$ is ", + "bbox": [ + 171, + 551, + 823, + 585 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/126e1b3cd768e948d9782a6c58a24a561429302d3d62a3ea3dbd308ec608e526.jpg", + "text": "$$\n\\widetilde { \\pmb { W } } _ { L S } = \\frac { 1 } { C } \\widetilde { \\pmb { M } } ^ { \\top } ( \\widetilde { \\pmb { \\Sigma } } _ { T } + \\widetilde { \\pmb { \\mu } } _ { G } \\widetilde { \\pmb { \\mu } } _ { G } ^ { \\top } + \\lambda \\pmb { I } ) ^ { - 1 } ,\n$$", + "text_format": "latex", + "bbox": [ + 367, + 590, + 629, + 621 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "where $\\pmb { I }$ is the identity matrix. Note that $\\widetilde { W _ { L S } }$ depends on $\\widetilde { H }$ only. ", + "bbox": [ + 173, + 628, + 604, + 646 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Note that we can interpret $\\widetilde { W _ { \\mathrm { L S } } }$ as a function of $\\widetilde { H }$ , leading us to identify the following decomposition of $\\mathcal { L }$ where one term depends on $\\widetilde { H }$ only. ", + "bbox": [ + 176, + 657, + 823, + 691 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "Theorem 1. (Decomposition of MSE Loss; Proof in Appendix $\\pmb { B }$ ) The MSE loss, $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )$ , can be decomposed into two terms, $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { L S } ( \\widetilde { H } ) + \\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )$ , where ", + "bbox": [ + 173, + 696, + 823, + 732 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/339c9ee1b3b936b8e42d7c1b27bbfd2933803660861a2992eeed74600dd17970.jpg", + "text": "$$\n\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\Vert \\widetilde { W } _ { L S } \\widetilde { h } _ { i , c } - \\pmb { y } _ { i , c } \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { W } _ { L S } \\Vert _ { F } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 326, + 738, + 666, + 768 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "and ", + "bbox": [ + 173, + 777, + 202, + 790 + ], + "page_idx": 3 + }, + { + "type": "equation", + "img_path": "images/5071c08d0c7ca3d067a6934299686ab615d2c0f724859aa10bbe271fd499dbef.jpg", + "text": "$$\n\\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathrm { t r } \\bigg \\{ ( \\widetilde { W } - \\widetilde { W } _ { L S } ) \\left( \\widetilde { \\boldsymbol { \\Sigma } } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\boldsymbol { \\mu } } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { L S } ) ^ { \\top } \\bigg \\} .\n$$", + "text_format": "latex", + "bbox": [ + 254, + 786, + 743, + 816 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "In the above, $\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )$ is independent of $\\widetilde { W }$ . Intuitively, it is the MSE-performance of the optimal classifiers $\\widetilde { W _ { \\mathrm { L S } } }$ (rather than the “real classifiers” $\\widetilde { W }$ ) on input $\\widetilde { \\pmb { H } }$ . ", + "bbox": [ + 173, + 828, + 823, + 863 + ], + "page_idx": 3 + }, + { + "type": "text", + "text": "The component $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )$ is non-negative7 and is zero only when $\\widetilde { W } = \\widetilde { W } _ { \\mathrm { L S } }$ . Therefore, $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { \\pmb { H } } )$ quantifies the distance of $\\widetilde { W }$ from $\\widetilde { W _ { \\mathrm { L S } } }$ . In short, the least-squares component, $\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )$ , captures the behavior of the network when the classifier possesses optimal, least squares behavior. Meanwhile, the deviation component, $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )$ , captures the divergence from that behavior. ", + "bbox": [ + 173, + 99, + 826, + 167 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "We can further decompose $\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )$ into two terms, one capturing activation collapse (NC1) and the other capturing convergence to Simplex ETF of both features and classifiers ((NC2) and (NC3)). ", + "bbox": [ + 174, + 174, + 823, + 205 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Theorem 2. (Decomposition of Least-Squares Component; Proof in Appendix $c$ ) The least-squares component, $\\mathcal { L } _ { L S } ( \\widetilde { \\pmb { H } } )$ , of the MSE decomposition in Theorem $^ { l }$ can be further decomposed into $\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\mathcal { L } _ { N C I } ( \\widetilde { H } ) + \\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { H } )$ , where ", + "bbox": [ + 174, + 207, + 823, + 256 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/8db6430d655e548819b16eb83abcca3bfb33c95e82edef931c5383aa27b27e58.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { \\mathcal { L } _ { N C I } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 } \\operatorname { t r } \\biggr \\{ \\widetilde { W } _ { L S } \\left[ \\widetilde { \\pmb { \\Sigma } } _ { W } + \\lambda { \\pmb I } \\right] \\widetilde { W } _ { L S } ^ { \\top } \\biggr \\} , } \\\\ & { } & { \\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 C } \\| \\widetilde { W } _ { L S } \\widetilde { \\pmb { M } } - { \\pmb I } \\| _ { F } ^ { 2 } . \\qquad } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 352, + 257, + 642, + 320 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Inspection of these terms is revealing. First, observe that $\\mathcal { L } _ { \\mathrm { N C } 2 / 3 }$ is a function of the class-means and MSE-optimal classifiers. Minimizing $\\mathcal { L } _ { \\mathrm { N C } 2 / 3 }$ will push the (unextended) class-means and classifiers towards the same Simpex ETF matrix8 i.e. (NC2)-(NC3). Next, note that the within-class variation is independent of the means. Thus, despite the fact that classifiers are converging towards some (potentially large) ETF matrix, we can always reduce $\\mathcal { L } _ { \\mathrm { N C 1 } }$ by pushing $\\Sigma _ { W }$ towards zero, which corresponds to (NC1) . ", + "bbox": [ + 173, + 324, + 825, + 410 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "This motivates us to formulate the central path: ", + "bbox": [ + 176, + 484, + 486, + 498 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/0ed4798ba39365c04326381f5c6c524aaa8b6b1754edd9341a6b2efea44e2698.jpg", + "text": "$$\n\\mathcal { P } = \\left\\{ ( \\widetilde { W } _ { \\mathrm { L S } } ( \\widetilde { H } ) , \\widetilde { H } ) | \\widetilde { H } \\in \\mathbb { R } ^ { ( P + 1 ) \\times C N } \\right\\} ,\n$$", + "text_format": "latex", + "bbox": [ + 349, + 501, + 645, + 529 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "where the notation $\\widetilde { W } _ { \\mathrm { L S } } ( \\cdot )$ makes explicit the fact that $\\widetilde { W _ { \\mathrm { L S } } }$ is a function of $\\widetilde { H }$ only. Intuitively, for a classifier-features pair to lie on the central path, i.e. $( \\widetilde { W } , \\widetilde { H } ) \\in \\mathcal { P }$ , means that the “real classifier” $\\widetilde { W }$ will exactly equal $\\widetilde { W _ { \\mathrm { L S } } } ( \\widetilde { H } )$ —the optimal classifier that would result from fixing $\\widetilde { H }$ and minimizing $\\mathcal { L }$ w.r.t. just the classifier. Combined with Theorem 1, we see $( \\widetilde { W } , \\widetilde { H } ) \\in \\mathcal { P }$ if and only if $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) { = } \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )$ . Figure 2 shows that classifier-features pairs lie approximately on the central path during TPT, allowing us to shift focus from $\\mathcal { L }$ to $\\mathcal { L } _ { \\mathrm { L S } }$ . ", + "bbox": [ + 173, + 530, + 826, + 631 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "3 EXACT CLOSED-FORM ANALYSIS ON CENTRAL PATH ", + "text_level": 1, + "bbox": [ + 174, + 650, + 640, + 665 + ], + "page_idx": 4 + }, + { + "type": "text", + "text": "Consider $\\lambda = 0$ in this section. For the subsequent theory, we adopt the unconstrained features (Mixon et al., 2020) or layer-peeled (Fang et al., 2021) modeling perspective9. We consider continuous training dynamics with gradient flow where time-of-training is denoted by the variable $\\cdot ^ { 1 0 } t { \\geq } 0$ . Within this model, we analyze the dynamics of the renormalized features $\\scriptstyle { X = \\sum _ { W } ^ { - { \\frac { 1 } { 2 } } } H }$ on the central path ", + "bbox": [ + 173, + 679, + 825, + 741 + ], + "page_idx": 4 + }, + { + "type": "equation", + "img_path": "images/a0abd83faf06961b1d57c372bd41e02cdb89ac0531bd616152dc4921093e4f58.jpg", + "text": "$$\n\\frac { \\mathrm { d } } { \\mathrm { d } t } \\pmb { X } = - \\Pi _ { T \\pmb { x } } \\pmb { \\chi } \\left( \\nabla \\pmb { x } \\mathcal { L } _ { \\mathrm { L S } } ( \\pmb { X } ) \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 387, + 743, + 607, + 773 + ], + "page_idx": 4 + }, + { + "type": "image", + "img_path": "images/1aba7ffade98a2c136d8e535d90b3068c4781eddd835f16a3cc36ce01b6a9d8a.jpg", + "image_caption": [ + "Figure 2: Decomposition of MSE loss: Each array column shows a benchmark image classification dataset while each row shows a canonical deep net architecture trained with MSE loss. The red vertical line indicates the epoch at which zero training error was achieved. In each array cell, we plot terms of the MSE loss decomposition $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { \\mathrm { N C 1 } } ( \\widetilde { H } ) + \\mathcal { L } _ { \\mathrm { N C 2 / 3 } } ( \\widetilde { H } ) + \\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )$ from Section 2. Starting from an early epoch in training, $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )$ becomes negligible compared to the dominant term, $\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\widetilde { \\pmb { H } } )$ , implying $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) { \\ll } \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } ) { = } \\mathcal { L } _ { \\mathrm { N C 1 } } ( \\widetilde { H } ) { + } \\mathcal { L } _ { \\mathrm { N C 2 / 3 } } ( \\widetilde { H } ) ,$ , i.e. the features and classifiers are effectively on the central path during TPT. Note that $\\mathcal { L } _ { \\mathrm { N C } 2 / 3 } ( \\widetilde { H } )$ diminishes the fastest among all the terms: Intuitively, this shows that the network primarily focuses on distributing the feature class-means into a “uniform” Simplex ETF configuration (NC1)-(NC2) early on and, from there, compresses the activations towards their class-means, i.e. (NC1) , as much as possible. Further experimental details are in Appendix A. Outlier behavior is discussed in Appendix A.7. " + ], + "image_footnote": [], + "bbox": [ + 173, + 99, + 821, + 354 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "where the operator $\\Pi _ { T _ { X } \\mathcal { X } }$ projects the gradient onto the tangent space of the manifold11, $\\mathcal { X }$ , of all identity-covariance features. For $\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } H$ to be well-defined, we assume that $\\Sigma _ { W }$ remains full-rank12 during training. We call Equation 5 the continually renormalized gradient flow and will motivate it in more detail in later subsections. We now state our main theorem: ", + "bbox": [ + 174, + 549, + 825, + 611 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Theorem 3. (NC Under Continually Renormalized Gradient Flow) Consider the continually renormalized gradient flow (Equation 5) in which the dynamics are restricted to the central path, and the features are renormalized to identity within-class covariance. Assume the features are initialized with zero global mean. Then, Neural Collapse emerges on the renormalized features with explicit dynamics of the flow given in Proposition 2 as well as Corollaries 1 and 2 later in this paper. ", + "bbox": [ + 174, + 616, + 825, + 685 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "Three assumptions standout which we discuss below: ", + "bbox": [ + 174, + 698, + 524, + 713 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "(A1) Restriction to central path: Figure 2 shows that—in practice, during TPT— $\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )$ is observed to be negligible compared to the dominant term, $\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )$ . This indicates $( \\widetilde W , \\widetilde H )$ is close to the central path (Equation 4) where $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )$ . One the central path, one is effectively training with $\\mathcal { L } _ { \\mathrm { L S } }$ as the loss. ", + "bbox": [ + 173, + 722, + 825, + 786 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "(A2) Zero global mean: Proximity to the central path implies that the last-layer biases become close to $b _ { \\mathrm { L S } }$ . Having biases $b = b _ { \\mathrm { { L S } } }$ is effectively performing classification with no bias term (i.e. using only a linear classifier $W$ ) on zero-mean data. To see this, define the globally-centered features, globally-centered means, and total-covariance matrix in unextended coordinates: ", + "bbox": [ + 173, + 792, + 825, + 834 + ], + "page_idx": 5 + }, + { + "type": "text", + "text": "", + "bbox": [ + 171, + 103, + 702, + 118 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/60ee15d27703d2293879dfc153f3f87abd40c99657f9d07f0d2a877e8aad1565.jpg", + "text": "$$\n\\overline { { H } } = H - \\mu _ { G } \\mathbb { 1 } _ { C N } ^ { \\top } ; \\quad \\overline { { M } } = [ \\mu _ { 1 } - \\mu _ { G } , \\ldots , \\mu _ { C } - \\mu _ { G } ] ; \\quad \\Sigma _ { T } = \\frac { 1 } { C N } \\overline { { H } } \\overline { { H } } ^ { \\top } .\n$$", + "text_format": "latex", + "bbox": [ + 236, + 122, + 759, + 152 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Proposition 1 then reduces to the following forms for the unextended weights and biases: ", + "bbox": [ + 173, + 155, + 754, + 170 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/6922ba4fa1743552f9a6b937dacaed7d4769f9dc070e787e965292b6924fe45a.jpg", + "text": "$$\n\\widetilde { W } _ { \\mathrm { L S } } = [ W _ { \\mathrm { L S } } , \\ b _ { \\mathrm { L S } } ] = \\left[ C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } , \\quad C ^ { - 1 } \\mathbb { 1 } _ { C } - C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\mu _ { G } \\right] .\n$$", + "text_format": "latex", + "bbox": [ + 261, + 175, + 735, + 195 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "For an arbitrary activation-target pair $( h , y )$ , the prediction error obeys ", + "bbox": [ + 173, + 199, + 640, + 215 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/c84be0ab9e1ee58412414231b2a015d7c25706e634ca6895fa6514649c610f01.jpg", + "text": "$$\n\\begin{array} { r l } & { W _ { \\mathrm { L S } } h + b _ { \\mathrm { L S } } - y = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } h + C ^ { - 1 } \\mathbb { 1 } _ { C } - C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\mu _ { G } - y } \\\\ & { ~ = W _ { \\mathrm { L S } } ( h - \\mu _ { G } ) - ( y - C ^ { - 1 } \\mathbb { 1 } _ { C } ) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 259, + 218, + 738, + 261 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The last line exhibits two terms in parentheses, both traceable to the action of the bias $b _ { \\mathrm { L S } }$ . The term $h - \\mu _ { G }$ demonstrates that the bias induces a global-mean subtraction on $^ { h }$ , while the term $\\pmb { y } - C ^ { - 1 } \\pmb { 1 }$ demonstrates that the bias also induces a global-mean subtraction on the one-hot targets. ", + "bbox": [ + 173, + 262, + 823, + 305 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "(A3) Renormalization to identity covariance: Renormalization is ubiquitous in the empirical deep learning literature through works such batch normalization and its variants (Ioffe & Szegedy, 2015; Salimans & Kingma, 2016; Wu & He, 2018; Ulyanov et al., 2016; Ba et al., 2016; Krizhevsky et al., 2012). It is also ideologically precedented in the theoretical ML literature through works such as Douglas et al. (1998); Banburski et al. (2019); Poggio & Liao (2020a;b). Within this paper, the covariance-renormalization is inspired by an invariance property of the loss as well as the intuitive concept of the signal-to-noise ratio from mathematical statistics (discussed later in Sections 3.1-3.2). ", + "bbox": [ + 173, + 310, + 826, + 409 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "In the subsequent sections, we motivate and introduce the theoretical constructs necessary for proving Theorem 3 and for presenting the explicit dynamics of the flow. ", + "bbox": [ + 171, + 415, + 823, + 444 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "3.1 INVARIANCE PROPERTY ", + "text_level": 1, + "bbox": [ + 174, + 460, + 379, + 474 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "By Assumption (A2), classification on the central path is equivalent to classification on globallycentered features using only the linear classifier $W _ { \\mathrm { L S } }$ . Then, using Equation 6, we can equivalently represent the central path (Equation 4) as follows: ", + "bbox": [ + 173, + 486, + 826, + 529 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "Definition 1 (Zero Global Mean Central Path). ", + "text_level": 1, + "bbox": [ + 174, + 531, + 498, + 546 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/0e7bd6355fd6867b0277f2ab452fcb3bb4827d37d02cee3cdfcebb5d42a4c9f4.jpg", + "text": "$$\n\\bar { \\mathcal { P } } = \\left\\{ \\left( W _ { L S } , \\overline { { H } } \\right) ~ \\bigg | ~ W _ { L S } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\right\\} .\n$$", + "text_format": "latex", + "bbox": [ + 351, + 550, + 645, + 578 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "An invariance property holds on the central path. Let $\\pmb { A }$ denote a symmetric, full-rank matrix. Then, the explicit form in Equation 6 for $W _ { \\mathrm { L S } }$ implies ", + "bbox": [ + 173, + 588, + 825, + 617 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/43a4d9e1cac3cd4f47ea7453fab313a9f74af2785d1589a5d4733c00322f24ed.jpg", + "text": "$$\n\\begin{array} { r l } & { W _ { \\mathrm { L S } } ( A \\overline { { H } } ) A \\overline { { H } } = C ^ { - 1 } \\left( A \\overline { { M } } \\right) ^ { \\top } \\left[ \\left( A \\overline { { H } } \\right) \\left( A \\overline { { H } } \\right) ^ { \\top } \\right] ^ { - 1 } A \\overline { { H } } } \\\\ & { \\qquad = C ^ { - 1 } \\overline { { M } } ^ { \\top } A \\left[ A ^ { - 1 } \\left( \\overline { { H } } \\overline { { H } } ^ { \\top } \\right) ^ { - 1 } A ^ { - 1 } \\right] A \\overline { { H } } } \\\\ & { \\qquad = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\left( \\overline { { H } } \\overline { { H } } ^ { \\top } \\right) ^ { - 1 } \\overline { { H } } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { H } } = W _ { \\mathrm { L S } } \\left( \\overline { { H } } \\right) \\overline { { H } } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 230, + 621, + 767, + 703 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "where the notation $W _ { \\mathrm { L S } } ( \\cdot )$ makes explicit that $W _ { \\mathrm { L S } }$ is a function of a set of input features. Thus, the actual predictions made by the least squares classifier are invariant to choice of the coordinates in which we express $\\overline { { H } }$ , i.e. all features $\\overline { { A H } }$ are equivalently performing. Among those coordinate systems, we will prefer the one in which the “noise” is “whitened” or “sphered.” Recall that we assume $\\dot { \\Sigma } _ { W } ( \\overline { { \\pmb { H } } } )$ —where the notation $\\pmb { \\Sigma } _ { W } ( \\cdot )$ expresses the within-class covariance as a function of the features—is positive-definite. Consider the coordinate transformation $\\overline { { H } } \\mapsto A \\overline { { H } }$ with $\\pmb { A } = \\pmb { \\Sigma } _ { W } ^ { - \\frac 1 2 } ( \\overline { { \\pmb { H } } } )$ . In these coordinates, the features are “renormalized” to spherical covariance, ", + "bbox": [ + 173, + 705, + 826, + 809 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/fb45de8ef133f7502cbca3bb00dc196a605061a5cadbab1f7a780104aae2f328.jpg", + "text": "$$\n\\Sigma _ { W } ( A { \\overline { { H } } } ) = A \\Sigma _ { W } ( { \\overline { { H } } } ) A = I ,\n$$", + "text_format": "latex", + "bbox": [ + 388, + 811, + 607, + 830 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "so we will call $A \\overline { { H } }$ the renormalized features. The class-means of $A \\overline { { H } }$ are ", + "bbox": [ + 174, + 834, + 671, + 849 + ], + "page_idx": 6 + }, + { + "type": "equation", + "img_path": "images/ef816842170c69b4be47dda784c944b125d147c1eea35e883a566896b1d84ed3.jpg", + "text": "$$\n\\overline { { { M } } } ( A \\overline { { { H } } } ) = A \\overline { { { M } } } ( \\overline { { { H } } } ) = \\Sigma _ { W } ^ { - \\frac 1 2 } ( \\overline { { { H } } } ) \\overline { { { M } } } ( \\overline { { { H } } } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 351, + 853, + 645, + 876 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "where the notation $\\overline { { M } } ( \\cdot )$ expresses that the means are a function of features. Thus, Equation 5 describes continuous training dynamics where we continually “renormalize” features to their equivalently-performing representer. ", + "bbox": [ + 174, + 881, + 825, + 924 + ], + "page_idx": 6 + }, + { + "type": "text", + "text": "The $\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }$ term evokes the canonical idea of a signal-to-noise ratio from statistics. To see this, note that the classifier in Equation 6 can be rewritten as ", + "bbox": [ + 169, + 131, + 823, + 160 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/4a130e98590690b75853724f3720ff877fc2dae528495b8f8577e2f807acefe5.jpg", + "text": "$$\n\\begin{array} { r } { W _ { \\mathrm { L S } } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\left( C ^ { - 1 } \\overline { { M } } \\overline { { M } } ^ { \\top } + \\Sigma _ { W } \\right) ^ { - 1 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 354, + 162, + 643, + 185 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The combined presence of the terms ${ \\overline { { M } } } { \\overline { { M } } } ^ { \\top }$ and $\\Sigma _ { W }$ in the denominator, along with $\\bar { M }$ in the numerator, signals to us the presence of the informative signal-to-noise (SNR) ratio matrix: ", + "bbox": [ + 173, + 196, + 825, + 227 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/110d0bb44d0445a15fa44831f52eeb84c1c8e3260e6049344ed0fbf636b10f91.jpg", + "text": "$$\n\\mathrm { S N R } \\equiv { \\bf C } _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { { \\cal M } } } .\n$$", + "text_format": "latex", + "bbox": [ + 441, + 229, + 560, + 252 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Why this terminology? The globally-centered class-means represent the overall “signal” indicating that the class-means are separated from each other: if they were non-separated—e.g. all equal— $\\breve { M }$ would be zero. However, a classifier decision must keep in view noise—captured by $\\Sigma _ { W }$ —which might confuse the classifier. So, one wishes the signal be large compared to the noise. It may help to consider the mental model—which is not at all necessary to the correctness of our analysis—under which the activations are normally distributed with $\\pmb { h } _ { i , c } \\sim \\mathcal { N } ( \\pmb { \\mu _ { c } } , \\pmb { \\Sigma _ { W } } )$ . Under that model, a linear classifier will indeed get confused if the norm $\\| \\pmb { \\mu } _ { c } - \\pmb { \\mu } _ { G } \\| _ { 2 }$ is “small compared” to $\\Sigma _ { W }$ . Replacing this somewhat vague statement by a discussion of quantitative properties of the SNR matrix is well understood by mathematical statisticians to be decisive for understanding classification performance in the normal case. Additionally, observe that $\\mathrm { S N R } = \\overline { { M } } ( \\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } )$ . Thus, connecting back to Section 3.1, the SNR matrix is simply the class-means matrix of the renormalized features. ", + "bbox": [ + 173, + 255, + 825, + 412 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The SNR can be further understood through its singular value decomposition (SVD). ", + "bbox": [ + 173, + 419, + 745, + 434 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Definition 2 (SVD of SNR Matrix). Denote the SVD of the SNR matrix (Equation 8) as follows: ", + "bbox": [ + 169, + 436, + 803, + 452 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/0fa6f3ce2ecf80610b3bebd794def0cfb9fd9d84c2192b1fe92e518b1a5718a6.jpg", + "text": "$$\n\\mathrm { S N R } = U \\Omega V ^ { \\top } = \\sum _ { j = 1 } ^ { C - 1 } \\omega _ { j } \\pmb { u } _ { j } \\pmb { v } _ { j } ^ { \\top } .\n$$", + "text_format": "latex", + "bbox": [ + 385, + 454, + 611, + 500 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Here, $\\{ \\omega _ { c } \\} _ { c = 1 } ^ { C - 1 }$ are the non-zero singular values of SNR; $\\Omega = \\mathrm { d i a g } \\left( \\left\\{ \\omega _ { c } \\right\\} _ { c = 1 } ^ { C - 1 } , 0 \\right) \\in \\mathbb { R } ^ { C \\times C }$ ; and the left and right singular-vectors, $U \\in \\mathbb { R } ^ { P \\times C }$ and $V \\in \\mathbb { R } ^ { C \\times C }$ , are partial orthogonal and orthogonal matrices, respectively, with columns $\\{ u _ { j } \\} _ { j = 1 } ^ { C }$ and $\\{ \\pmb { v } _ { j } \\} _ { j = 1 } ^ { C }$ . The SNR matrix is rank $C - 1$ since $\\Sigma _ { W }$ is assumed full-rank and $\\bar { M }$ is rank $C - 1$ due to global-mean subtraction. ", + "bbox": [ + 173, + 502, + 825, + 566 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "The non-zero singular values, $\\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 }$ , are decisive for understanding the separation performance of the least-squares linear classifier. Good performance demands that the singular values be large. Works such as Fukunaga (1972, Chapter 10) and Hastie & Tibshirani (1996) show that the magnitude of each singular value of the SNR matrix is the size of the class separation in the direction of the corresponding singular vector. In this sense, the smallest singular value captures the smallest separation between classes. Consequently, driving-larger the smallest non-zero singular value makes the task of linear separation more immune to (spherical) noise and to Euclidean-norm-constrained adversarial noise. As we will see in the next section, examining the dynamics of these singular-values when the features undergo gradient flow in renormalized coordinates leads to precise characterizations of Neural Collapse13. ", + "bbox": [ + 173, + 575, + 826, + 717 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "3.3 DYNAMICS OF SNR ", + "text_level": 1, + "bbox": [ + 174, + 733, + 352, + 747 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "For any matrix $z$ , we use $\\scriptstyle { Z _ { t } }$ in this section to denote the state of that matrix at time $t$ . Similarly, we denote with Proposition 2 an $\\{ \\omega _ { j } ( t ) \\} _ { j = 1 } ^ { C - 1 }$ the state of the non-zero SNR singular values at s 1-2 that provide the explicit dynamics referenced $t$ . We now presenty Theorem 3. ", + "bbox": [ + 174, + 758, + 825, + 804 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Proposition 2 (Dynamics of Singular Values of SNR Matrix; Proof in Appendix D.4). Continually renormalized gradient flow on the central path (Equation 5) induces the following closed-form dynamics on the SNR singular values (Definition 2): ", + "bbox": [ + 174, + 805, + 823, + 848 + ], + "page_idx": 7 + }, + { + "type": "equation", + "img_path": "images/b5f347040f0f1036382c24e2f6d0596a8864370c0f2d84785cbec392232410b6.jpg", + "text": "$$\nc _ { 1 } \\log ( \\omega _ { j } ( t ) ) + c _ { 2 } \\omega _ { j } ^ { 2 } ( t ) + c _ { 3 } \\omega _ { j } ^ { 4 } ( t ) = a _ { j } + t , \\quad t \\geq 0 , \\quad f o r a l l j = 1 , \\ldots , C - 1 .\n$$", + "text_format": "latex", + "bbox": [ + 225, + 849, + 771, + 871 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "$c _ { 1 } , \\ : c _ { 2 }$ , and $c _ { 3 }$ are positive constants independent of $j$ , and $a _ { j }$ is a constant depending on $\\omega _ { j } ( 0 )$ ", + "bbox": [ + 179, + 873, + 795, + 888 + ], + "page_idx": 7 + }, + { + "type": "text", + "text": "Corollary 1 (Properties of SNR Singular Values; Proof in Appendix D.5). SNR singular values (Definition 2) following the Equation 9 dynamics satisfy the following limiting behaviors: ", + "bbox": [ + 169, + 103, + 825, + 133 + ], + "page_idx": 8 + }, + { + "type": "equation", + "img_path": "images/d568c88a6644d625fe7fc5884610fc440ee4c88e633b10aad77cc77c8a569f76.jpg", + "text": "$$\n\\begin{array} { r l } & { 1 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\omega _ { j } ( t ) = \\infty \\quad a n d \\quad \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { t / c _ { 3 } } } = 1 , \\quad f o r a l l \\ j = 1 , \\ldots , C - 1 . } \\\\ & { } \\\\ & { 2 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 210, + 138, + 759, + 200 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "The first fact shows that all non-zero singular values of the SNR matrix, $\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }$ , grow to infinity at an asymptotic rate of $\\sqrt [ 4 ] { t / c _ { 3 } }$ . Intuitively, this shows that the “signal” becomes infinitely large compared to the “noise”, i.e. (NC1). The second fact shows that the singular values of $\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }$ (which has zero-mean columns) approach equality—implying that the limiting matrix is a Simplex ETF (Lemma 7, Appendix D.6) i.e. (NC2). Finally, Papyan, Han, and Donoho (2020, Theorem 1) show that (NC1-2) imply (NC3-4) on the central path. Corollary 2 formalizes these intuitions. ", + "bbox": [ + 173, + 208, + 826, + 306 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Corollary 2 (Neural Collapse Under MSE Loss; Proof in Appendix D.6). Under continually renormalized gradient flow (Equation $5$ ), the SNR matrix (Equation 8) converges to ", + "bbox": [ + 174, + 319, + 823, + 349 + ], + "page_idx": 8 + }, + { + "type": "equation", + "img_path": "images/657c89b3a34fcee8c126605d2f4b190834164203c8371bc6168a1380412e49a8.jpg", + "text": "$$\n\\operatorname* { l i m } _ { t \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\mathrm { S N R } _ { t } = \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ,\n$$", + "text_format": "latex", + "bbox": [ + 395, + 351, + 604, + 383 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "where $\\widehat { U } _ { 0 } \\in \\mathbb { R } ^ { P \\times ( C - 1 ) }$ and $\\widehat { V } _ { 0 } \\in \\mathbb { R } ^ { C \\times ( C - 1 ) }$ are the left and right singular vectors of the SNR matrix (Definition 2) at $t { = } 0$ corresponding to the non-zero singular values; and $\\omega _ { \\mathrm { m a x } } ( t )$ is the largest singular value at time $t$ . Furthermore, Corollary $^ { l }$ implies the occurrence of (NC1)-(NC4) i.e. renormalized gradient flow on the central path leads to Neural Collapse. ", + "bbox": [ + 174, + 385, + 825, + 444 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Moreover, denoting the Kronecker product with $\\otimes$ , the renormalized features matrix converges to ", + "bbox": [ + 173, + 450, + 805, + 465 + ], + "page_idx": 8 + }, + { + "type": "equation", + "img_path": "images/40763baeb802cc1f28adf2e603419581b72e351cf83e636e0175b283e5256eed.jpg", + "text": "$$\n\\operatorname* { l i m } _ { t \\to \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\Sigma _ { W , t } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } _ { t } = ( \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ) \\otimes \\mathbf { 1 } _ { N } ^ { \\top } .\n$$", + "text_format": "latex", + "bbox": [ + 359, + 467, + 640, + 500 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "4 RELATED WORKS ", + "text_level": 1, + "bbox": [ + 176, + 515, + 354, + 530 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Since the publication of Papyan, Han, and Donoho (2020), several works (Mixon et al., 2020; Lu & Steinerberger, 2020; E & Wojtowytsch, 2020; Poggio & Liao, 2020a;b; Fang et al., 2021; Ergen & Pilanci, 2020; Zhu et al., 2021) proposed mathematical frameworks ratifying Neural Collapse. ", + "bbox": [ + 174, + 545, + 825, + 588 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Among them, Mixon et al. (2020) and Poggio & Liao (2020a;b) also examine MSE-NC. Our contributions are distinct from the MSE-NC analyses of Mixon et al. (2020) and Poggio & Liao (2020a;b): The work of Mixon et al. (2020) relies on a linearization of the unconstrained features model ODE while Poggio & Liao (2020a;b)—in a special section co-authored with Andrzej Banburski—examine homogeneous, weight-normalized networks. In contrast, this paper considers the dynamics of the renormalized gradient flow on the central path (motivated by the discussions in Sections 2-3). Neither Mixon et al. (2020) nor Poggio & Liao (2020a;b) provide exact, closed-form dynamics as we do. ", + "bbox": [ + 173, + 593, + 825, + 693 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "Outside the MSE setting, Lu & Steinerberger (2020); E & Wojtowytsch (2020); Ergen & Pilanci (2020); Fang et al. (2021); Zhu et al. (2021) examine the emergence of the NC properties under variants of the unconstrained features/layer-peeled model trained with CE loss. These works focus on characterizing the loss landscape or the global minima without describing the dynamics. ", + "bbox": [ + 173, + 698, + 825, + 756 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "We provide a detailed survey of all above-mentioned papers in Appendix E. ", + "bbox": [ + 174, + 761, + 666, + 776 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "5 CONCLUSION ", + "text_level": 1, + "bbox": [ + 176, + 795, + 318, + 811 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "In this paper, after verifying that NC occurs when prototypical classification deep nets are trained with MSE loss on canonical datasets, we then derive and measure a novel decomposition of the MSE loss. We observed that the last-layer classifier tends to the least-squares classifier—motivating us to define the central path on which the classifier behaves exactly as optimal least-squares classifier. On the central path, we showed invariance properties that inspired us to examine the renormalized features and their corresponding continually renormalized gradient flow. This flow induces closed-form dynamics that imply the occurrence of Neural Collapse. ", + "bbox": [ + 174, + 825, + 825, + 924 + ], + "page_idx": 8 + }, + { + "type": "text", + "text": "REPRODUCIBILITY STATEMENT ", + "text_level": 1, + "bbox": [ + 176, + 102, + 436, + 118 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "This paper is reproducible. Experimental details about all empirical results described in this paper are provided in Appendix A. Additionally, we provide PyTorch (Paszke et al., 2019) code for reproducing NC under both MSE and CE—as well as the Figure 2 MSE decomposition—in the following Google Colaboratory notebook: here. Experimental measurements used to generated the plots in this paper have been deposited in the Stanford Digital Repository, here. All datasets and networks used in our experiments originate from the PyTorch Model Zoo with pre-processing details described in Appendix A. Formal statements and proofs of all our theoretical results are provided in Appendices B-D. ", + "bbox": [ + 174, + 132, + 825, + 243 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "ACKNOWLEDGEMENTS ", + "text_level": 1, + "bbox": [ + 176, + 265, + 367, + 280 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "Some of the computing for this project was performed on the Sherlock cluster. We would like to thank Stanford University and the Stanford Research Computing Center for providing computational resources and support that contributed to these research results. ", + "bbox": [ + 176, + 295, + 825, + 337 + ], + "page_idx": 9 + }, + { + "type": "text", + "text": "We acknowledge the support of the Natural Sciences and Engineering Research Council of Canada (NSERC), [funding reference number 512236 and 512265]. This research was funded by a Connaught New Researcher Award at the University of Toronto. This research was enabled in part by support provided by Compute Ontario (www.computeontario.ca) and Compute Canada (www.computecanada.ca). This work was also partially supported by NSF Division of Mathematical Sciences Grants 1407813, 1418362, and 1811614 and by private donors. 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", + "bbox": [ + 176, + 866, + 825, + 909 + ], + "page_idx": 11 + }, + { + "type": "text", + "text": "APPENDIX ", + "text_level": 1, + "bbox": [ + 176, + 103, + 264, + 118 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A MSE Neural Collapse experiments 14 ", + "text_level": 1, + "bbox": [ + 178, + 137, + 825, + 152 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A.1 Datasets . . . 14 \nA.2 Networks 14 \nA.3 Optimization methodology 14 \nA.4 Computational resources 14 \nA.5 Formatting . . 15 \nA.6 Experimental results 15 \nA.7 Exceptions: STL10-ResNet and STL10-DenseNet . 21 \nA.8 Open Questions: Weight-decay, batch normalization, SGD, generalization, test data 21 ", + "bbox": [ + 196, + 159, + 826, + 325 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "B Theorem 1 22 ", + "bbox": [ + 173, + 342, + 825, + 359 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "C Theorem 2 22 \nC.1 Intuitions for Theorem 2 in unextended coordinates 23 \nC.2 Additional intuitions for Theorem 2 terms 23 ", + "bbox": [ + 174, + 376, + 826, + 435 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "D Theorem 3 23 ", + "text_level": 1, + "bbox": [ + 173, + 452, + 823, + 468 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "D.1 Implications of invariance . . . 23 \nD.2 Aligned SNR coordinates . 25 \nD.3 Continually renormalized gradient flow 27 \nD.4 Proof of Proposition 2 (gradient flow in aligned SNR coordinates) 28 \nD.5 Proof of Corollary 1 . . 31 \nD.6 Proof of Corollary 2 . . . . 31 ", + "bbox": [ + 196, + 473, + 826, + 598 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "E Related works examining Neural Collapse 33 ", + "text_level": 1, + "bbox": [ + 176, + 614, + 823, + 631 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "E.1 Mixon, Parshall, and Pi (2020) 34 \nE.2 Lu and Steinerberger (2020) 34 \nE.3 E and Wojtowytsch (2020) 34 \nE.4 Poggio & Liao (2020a;b) (with Banburski) . 35 \nE.5 Ergen & Pilanci (2020) . . 35 \nE.6 Fang, He, Long, and Su (2021) . 35 \nE.7 Zhu, Ding, Zhou, Li, You, Sulam, and Qu (2021) 36 ", + "bbox": [ + 196, + 636, + 826, + 782 + ], + "page_idx": 12 + }, + { + "type": "text", + "text": "A MSE NEURAL COLLAPSE EXPERIMENTS ", + "text_level": 1, + "bbox": [ + 176, + 102, + 547, + 117 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The experiments in this section examine the properties of Neural Collapse (NC) on deep nets trained using MSE loss. The direct MSE-analogues to the cross-entropy (CE) loss table and figures in Papyan, Han, and Donoho (2020) are in Table 1 and Figures 3-9 here. Furthermore, Figures 10-11 compares the MSE-NC experiments observed in this paper with the CE-NC behaviors in Papyan, Han, and Donoho (2020). Experimental descriptions and discussions are within the captions. Subsections A.1-A.5 describe formatting and experimental details. Then, Subsection A.6 collectively presents all experimental figures for this section. Subsection A.7 addresses outlier behaviors observed in the plots. Finally, Subsection A.8 discusses open questions inspired by NC. ", + "bbox": [ + 173, + 133, + 825, + 244 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.1 DATASETS ", + "text_level": 1, + "bbox": [ + 174, + 262, + 290, + 276 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We consider the MNIST, FashionMNIST, CIFAR10, SVHN, and STL10 datasets with pre-processing the same as in Papyan, Han, and Donoho (2020). ", + "bbox": [ + 176, + 287, + 823, + 316 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.1.1 CHOICE OF DATASETS ", + "text_level": 1, + "bbox": [ + 176, + 333, + 385, + 347 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "Demirkaya et al. (2020) and Hui & Belkin (2020) showed multi-class classification deep nets trained with MSE loss—sometimes with a heuristical-scaling—demonstrate comparable test-error performance to those trained with CE loss. Even without additional scaling, i.e. with vanilla MSE loss, we found this true for ten class classification datasets—such as MNIST, FashionMNIST, SVHN, CIFAR10, and STL10—so we focus on these five datasets. For more than ten classes (i.e. datasets such as CIFAR100 and ImageNet), both Demirkaya et al. (2020) and Hui & Belkin (2020) showed that the additional scaling-heuristic does need to be applied to the loss before comparable test-performance can be achieved. In informal, exploratory experiments not reported here, we were able to reproduce their results on datasets with more than ten classes. But, we feel these scaling-heuristics merit further scientific investigation of their own and are beyond the scope of this article14, so we do not include datasets that require scaling-heuristic tuning. ", + "bbox": [ + 174, + 357, + 825, + 510 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.2 NETWORKS ", + "text_level": 1, + "bbox": [ + 176, + 527, + 299, + 541 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "We train VGG, ResNet, and DenseNet models with the same depth-selection procedures and architecture-specification choices as in Papyan, Han, and Donoho (2020). In the MSE setting, the final chosen depths were as follows: ", + "bbox": [ + 174, + 553, + 825, + 595 + ], + "page_idx": 13 + }, + { + "type": "table", + "img_path": "images/70661f68eeb46af2d47bec769aef5a6eed2219140328761bcee8baa6dfdf3c91.jpg", + "table_caption": [], + "table_footnote": [], + "table_body": "
DATASETVGGREsNETDENSENET
MNISTVGG11RESNET18DENSENET40
FASHIONMNISTVGG11RESNET18DENSENET250
SVHNVGG13RESNET34DENSENET40
CIFAR10VGG11RESNET50DENSENET100
STL10VGG11REsNET18DENSENET201
", + "bbox": [ + 295, + 608, + 697, + 704 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.3 OPTIMIZATION METHODOLOGY ", + "text_level": 1, + "bbox": [ + 176, + 734, + 436, + 750 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The optimization algorithm, parameters, and hyperparameter tuning are the same as in Papyan, Han, and Donoho (2020). ", + "bbox": [ + 174, + 762, + 825, + 790 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.4 COMPUTATIONAL RESOURCES ", + "text_level": 1, + "bbox": [ + 178, + 808, + 426, + 820 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "The experiments were run on Stanford University’s Sherlock computing cluster. Each dataset-network combination was trained on a single GPU attached to a CPU with at least 32GB of RAM—the specific types of the CPUs/GPUs vary according to whichever was first assigned to us by the HPC cluster scheduler. ", + "bbox": [ + 174, + 833, + 825, + 888 + ], + "page_idx": 13 + }, + { + "type": "text", + "text": "A.5 FORMATTING ", + "text_level": 1, + "bbox": [ + 176, + 103, + 313, + 117 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "The coloring and formatting of the plots are the same as in Papyan, Han, and Donoho (2020). ", + "bbox": [ + 171, + 128, + 782, + 145 + ], + "page_idx": 14 + }, + { + "type": "text", + "text": "A.6 EXPERIMENTAL RESULTS ", + "bbox": [ + 176, + 161, + 393, + 175 + ], + "page_idx": 14 + }, + { + "type": "table", + "img_path": "images/317e30bc88debd9907c09fe7170597fd49cfddca4d8eb2cdfa93600c6665f3e3.jpg", + "table_caption": [ + "Table 1: Table comparing test-accuracy at moment 0-error is achieved vs. at the end of training. Analogous to Table 1 of Papyan, Han, and Donoho (2020). The median improvement is 0.962 percentage points; the mean is 1.833 percentage points. " + ], + "table_footnote": [], + "table_body": "
DATASETNETACC.O-ERRORACC.FINAL
MNISTVGG99.2399.59
REsNET99.1699.70
DENSENET99.6299.70
FASHIONVGG92.7692.95
REsNET93.5593.76
DENSENET90.5692.95
SVHNVGG89.3593.91
REsNET85.1892.65
DENSENET95.6195.23
CIFAR10VGG83.1384.54
RESNET75.4376.39
DENSENET91.7791.78
STL10VGG60.4367.24
REsNET59.3560.56
DENSENET58.7460.41
", + "bbox": [ + 303, + 258, + 689, + 478 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/1a5a20823d00014721f4f070824528c01577910c0644409d2bb4a915f782b32b.jpg", + "image_caption": [ + "Figure 3: Plots analogous to Figure 2 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features and classifiers approach equinormness. " + ], + "image_footnote": [], + "bbox": [ + 171, + 505, + 821, + 804 + ], + "page_idx": 14 + }, + { + "type": "image", + "img_path": "images/5ad656b67277f05b330662e5d7c7b13441d87d37edf723d58832ac1bac89f9ea.jpg", + "image_caption": [ + "Figure 4: Plots analogous to Figure 3 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features and classifiers approach equiangularity. " + ], + "image_footnote": [], + "bbox": [ + 171, + 133, + 821, + 434 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/e259a5a69271cb16e72dbc11924d5cb35517522cfbc3fe49618fa0f4907aac44.jpg", + "image_caption": [ + "Figure 5: Plots analogous to Figure 4 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features and classifiers approach maximal-equiangularity. " + ], + "image_footnote": [], + "bbox": [ + 171, + 546, + 823, + 848 + ], + "page_idx": 15 + }, + { + "type": "image", + "img_path": "images/d200bcf6655dc539c9ce58a3314d99fe521699b6048f874084558682e155e5e4.jpg", + "image_caption": [ + "Figure 6: Plots analogous to Figure 5 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features and classifiers approach self-duality. " + ], + "image_footnote": [], + "bbox": [ + 171, + 131, + 823, + 434 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/a6e0a6af51918ff0a38c8104437875b67cd360ee056d054c6e8b6d10900db684.jpg", + "image_caption": [ + "Figure 7: Plots analogous to Figure 6 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that last-layer features undergo variability collapse. " + ], + "image_footnote": [], + "bbox": [ + 173, + 545, + 823, + 848 + ], + "page_idx": 16 + }, + { + "type": "image", + "img_path": "images/9a51fb3bf6eda26486d9513714a004164fc133e3029978c4dc1c44ff651b69ef.jpg", + "image_caption": [ + "Figure 8: Plots analogous to Figure 7 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that classifier decisions converge to those of the nearest class center decision rule. " + ], + "image_footnote": [], + "bbox": [ + 171, + 121, + 823, + 424 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/887d330a45b7ecf81a5003434bcb9976663691dd78e51f5bdb1f5b19e7a99115.jpg", + "image_caption": [ + "Figure 9: Plots analogous to Figure 8 in Papyan et al. (2020), but on networks trained with MSE Loss. Results demonstrate that networks become more robust when trained beyond 0-error. The median improvement in the robustness measure in the last epoch over the first epoch achieving zero training error is 0.1762; the mean improvement is 0.9278. " + ], + "image_footnote": [], + "bbox": [ + 173, + 529, + 825, + 832 + ], + "page_idx": 17 + }, + { + "type": "image", + "img_path": "images/548263508631703764e0cea45e1848fccd806a59d27cd5c5226b4a8c3bfe16fb.jpg", + "image_caption": [ + "Figure 10: Activation collapse under MSE loss vs. $C E$ loss: Comparison of activation collapse observed in this paper for networks trained under MSE loss (Figure 7) with that observed in Papyan et al. (2020) under CE loss. Networks trained with MSE loss tend to achieve faster activation collapse than those trained with CE. " + ], + "image_footnote": [], + "bbox": [ + 171, + 118, + 823, + 420 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/871c1e2c26dcbf84a0415b823405fb97099975611566ab4f51db0af18251bb50.jpg", + "image_caption": [ + "Figure 11: Adversarial robustness under MSE loss vs. CE loss: Comparison of adversarial robustness observed in this paper for networks trained under MSE loss (Figure 9) with that observed in Papyan et al. (2020) under CE loss. Robustness tends to be better—sometimes several magnitudes better— when the networks are trained with MSE loss than with CE loss. " + ], + "image_footnote": [], + "bbox": [ + 171, + 534, + 823, + 835 + ], + "page_idx": 18 + }, + { + "type": "image", + "img_path": "images/bcd8a043fb633c6f9aee84c24f9a00781670d86288a5577407db229b3cd151a0.jpg", + "image_caption": [ + "Figure 12: Activation collapse on test data for both losses: Activation collapse observed on test data for models trained with MSE loss (from this current paper) and CE loss (posted by Papyan, Han, and Donoho (2020) on Stanford Data Repository). On the test data, activation collapse still visibly occurs on multiple dataset-network combinations: Albeit the rate of collapse is much slower on the test data compared to that on the train data, and the plotted measure (described in Figure 6 of Papyan, Han, and Donoho (2020)) at the last epoch is larger than that on the train data. Also interesting is that the value at the last epoch is roughly monotonic with the difficulty of the dataset. See discussion in Section A.8. " + ], + "image_footnote": [], + "bbox": [ + 173, + 299, + 821, + 599 + ], + "page_idx": 19 + }, + { + "type": "text", + "text": "A.7 EXCEPTIONS: STL10-RESNET AND STL10-DENSENET ", + "bbox": [ + 174, + 103, + 606, + 117 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "The STL10-ResNet and STL10-DenseNet dataset-network pairs stand out among the experiments described in this section—sometimes displaying outlier behavior either by converging more slowly to Neural Collapse or by exhibiting trends inconsistent with those found in other dataset-network pairs. ", + "bbox": [ + 174, + 132, + 825, + 175 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "STL10 stands apart from the other canonical datasets for multiple reasons15 and is a “less-typical” benchmark compared to more “compulsory” datasets like CIFAR10. In this particular case, we hypothesize that its outlier behavior might be caused by the size of the STL10 images $( 9 6 \\times 9 6$ compared to the $3 2 \\times 3 2$ , after padding, of the other datasets)—leading to a higher-dimensional problem, which, in turn, induces a harder non-convex optimization problem, which might make SGD less likely to converge to a useful optimum or might make the convergence much slower and harder to observe under a fixed computational budget. ", + "bbox": [ + 174, + 181, + 825, + 280 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "It was previously noted in Hui & Belkin (2020) and Demirkaya et al. (2020) that more challenging classification problems—in those projects, problems with more classes to be labeled—may require modifications to the MSE loss. We decided that such modifications are unnecessary in the ten class problems examined in this paper’s experiments. But perhaps the outlier nature of the STL10-ResNet and STL10-DenseNet combinations signal that the MSE loss modifications proposed by Hui & Belkin (2020) and Demirkaya et al. (2020) ought to have been used. ", + "bbox": [ + 174, + 286, + 825, + 369 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "A.8 OPEN QUESTIONS: WEIGHT-DECAY, BATCH NORMALIZATION, SGD, GENERALIZATION, TEST DATA ", + "bbox": [ + 176, + 397, + 821, + 424 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "The experiments in this paper as well as those in Papyan, Han, and Donoho (2020) were conducted under the canonical setting where deep nets were trained using SGD with weight-decay and batch normalization—leading one to wonder about the roles that these particular ingredients play on the NC phenomena. Additionally, most observables focus on the train data—raising the question of how the NC phenomena behave on test data as well as their relationship to generalization. We find these questions intriguing, but feel each deserves careful experimentation outside the scope of this paper. ", + "bbox": [ + 174, + 439, + 825, + 523 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Nonetheless, we note here that several existing papers have already begun insightful investigations in these directions. For example, weight-decay, weight-normalization (as a proxy for batchnormalization), and SGD play key roles in the analyses of Banburski et al. (2019); Poggio & Liao (2020a;b) that, along other things, lead to the prediction of NC in homogeneous deep nets. Banburski et al. (2021) also explores the connection between NC and margin distributions with generalization. ", + "bbox": [ + 174, + 531, + 825, + 601 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "Another example is Zhu et al. (2021) in which the authors conduct several experiments on ResNets trained on CIFAR10. On their models, the authors examine NC-related properties relative to the train data, test data, and randomly labeled data; they also conducted ablation studies varying control parameters (weight-decay, width, etc.) and the optimization algorithm (SGD, ADAM, L-BFGS). Based on their results, Zhu et al. (2021) propose thought-provoking conjectures on the role of each of these components (see Section E.7 for a brief survey of their findings). ", + "bbox": [ + 174, + 607, + 825, + 690 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "As a preliminary exploration, we include Figure 12 showing the variability collapse (NC1) behavior on test data for the networks trained with MSE loss (used in this paper) as well as those trained with CE loss (released16 by Papyan, Han, and Donoho (2020)). From Figure 12, we see that variability collapse occurs much slower on the test data than on the train data. Although not shown here, the other NC phenomena behave similarly. ", + "bbox": [ + 174, + 698, + 825, + 767 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "In this Appendix, we show Figure 12 since it is concise, within reach, and may be of interest to readers who share our curiosity. We refrain from presenting the entire series of multi-figure NC measurements on test data because it is outside the scope of this paper and would significantly lengthen this appendix. We also refrain from speculating on any underlying explanations until more meticulous experiments are conducted. ", + "bbox": [ + 174, + 775, + 825, + 844 + ], + "page_idx": 20 + }, + { + "type": "text", + "text": "B THEOREM 1 ", + "text_level": 1, + "bbox": [ + 174, + 101, + 308, + 118 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Theorem 1. (Decomposition of MSE Loss) The MSE loss, $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )$ , can be decomposed into two terms, $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\bar { \\mathcal { L } } _ { L S } ( \\widetilde { H } ) + \\mathcal { L } _ { L S } ^ { \\bot } ( \\widetilde { W } , \\widetilde { H } )$ , where ", + "bbox": [ + 171, + 130, + 823, + 166 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/c6432b67ceeb3a5397bc50ae650577a07f6ac24db3ee48077bfc32b77e1a2ec1.jpg", + "text": "$$\n\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\Vert \\widetilde { W } _ { L S } \\widetilde { h } _ { i , c } - \\pmb { y } _ { i , c } \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { W } _ { L S } \\Vert _ { F } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 328, + 170, + 666, + 200 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "and ", + "bbox": [ + 173, + 204, + 202, + 219 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/9ca167a5ac3388bdb3ba9649efec5ed250af9f3238953bb66bff12fa3562597c.jpg", + "text": "$$\n\\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathrm { t r } \\bigg \\{ ( \\widetilde { W } - \\widetilde { W } _ { L S } ) \\left( \\widetilde { \\boldsymbol { \\Sigma } } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\boldsymbol { \\mu } } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { L S } ) ^ { \\top } \\bigg \\} .\n$$", + "text_format": "latex", + "bbox": [ + 254, + 214, + 743, + 244 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Proof. Recall the MSE loss: ", + "bbox": [ + 173, + 256, + 362, + 272 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/a35d627461e0062abd2a9a0ff9376092b7cd97f2313ea1ee584ea4951e5a05ee.jpg", + "text": "$$\n\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\| \\widetilde { W } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 328, + 275, + 669, + 308 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Consider a specific extended activations matrix $\\widetilde { H }$ ; the least-squares solution $\\widetilde { W }$ minimizing $\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )$ with $\\widetilde { H }$ kept fixed must obey the following first-order optimality condition: ", + "bbox": [ + 168, + 313, + 830, + 347 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/3072b89addadb078fa6f0ec23a0a246fb22637e9233eed69f5b21bd5d16392e2.jpg", + "text": "$$\n\\underset { i , c } { \\mathrm { A v e } } \\big ( \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - { \\pmb y } _ { i , c } \\big ) \\widetilde { { \\pmb h } } _ { i , c } ^ { \\top } + \\lambda \\widetilde { { \\pmb W } } _ { \\mathrm { L S } } = 0 .\n$$", + "text_format": "latex", + "bbox": [ + 367, + 349, + 632, + 377 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "From Proposition 1 in the main manuscript, the solution to the above is given by ", + "bbox": [ + 171, + 381, + 700, + 396 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/ee96c721a045b3e9f6d703f63fe7e1cbde09939ea6ef02d51f1dbd8a83a885a4.jpg", + "text": "$$\n\\widetilde { \\pmb { W } } _ { \\mathrm { L S } } = C ^ { - 1 } \\widetilde { \\pmb { M } } ^ { \\top } ( \\widetilde { \\pmb { \\Sigma } } _ { T } + \\widetilde { \\pmb { \\mu } } _ { G } \\widetilde { \\pmb { \\mu } } _ { G } ^ { \\top } + \\lambda \\pmb { I } ) ^ { - 1 } .\n$$", + "text_format": "latex", + "bbox": [ + 359, + 398, + 637, + 420 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "The loss can be rewritten as ", + "bbox": [ + 174, + 424, + 357, + 438 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/fe8aebb782e4f2063f3327a29cc50e31ea098f04263f026a45f50d43ff27fada.jpg", + "text": "$$\n\\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\| \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - y _ { i , c } + ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 305, + 439, + 692, + 472 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Combining the above with Equation 13 gives, after rearranging: ", + "bbox": [ + 173, + 474, + 593, + 489 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/413a641a3f389a0df1747c9f7568831568bdb2bcceae62b7186ffbd6e237a1e0.jpg", + "text": "$$\n\\frac { 1 } { 2 } \\operatorname { A v e } \\| \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { A v e } \\| ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } - \\lambda \\mathrm { t r } \\Big \\{ \\widetilde { W } _ { \\mathrm { L S } } ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) ^ { \\top } \\Big \\} + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 181, + 492, + 821, + 525 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "which is equivalent to ", + "bbox": [ + 173, + 529, + 320, + 542 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/964f3ab2f8216c2b65330ef909effcba796e9dcc02a79d6755ecf86380ecf269.jpg", + "text": "$$\n\\frac { 1 } { 2 } \\operatorname { A v e } \\| \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { A v e } \\| ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } \\| _ { F } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } - \\widetilde { W } \\| _ { F } ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 200, + 546, + 795, + 579 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Using the above, the loss can indeed be decomposed as ", + "bbox": [ + 173, + 589, + 537, + 604 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/a18264170eacdc4ba1f51fcd3e831af68109ceb177cd4f0e7f493613b3462a1d.jpg", + "text": "$$\n\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } ) + \\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) ,\n$$", + "text_format": "latex", + "bbox": [ + 369, + 608, + 625, + 630 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "where ", + "bbox": [ + 173, + 633, + 215, + 647 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/143a687d0c5aa0038be6e8743b261cc4076f3801ae8201defe3a102bd097ac1f.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { \\pmb { H } } ) \\equiv \\frac { 1 } { 2 } \\underset { i , c } { \\mathrm { A v e } } \\Vert \\widetilde { \\pmb { W } } _ { \\mathrm { L S } } \\widetilde { \\pmb { h } } _ { i , c } - \\pmb { y } _ { i , c } \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { \\pmb { W } } _ { \\mathrm { L S } } \\Vert _ { F } ^ { 2 }\n$$", + "text_format": "latex", + "bbox": [ + 328, + 641, + 668, + 674 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "and ", + "bbox": [ + 173, + 675, + 202, + 689 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/cc6730c2caf869802efdfd491cc1d693de89c620da845dae81ba5edf18855e29.jpg", + "text": "$$\n\\begin{array} { l } { \\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) \\equiv \\displaystyle \\frac { 1 } { 2 } \\operatorname { A v e } _ { i , c } \\| ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } + \\displaystyle \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } - \\widetilde { W } \\| _ { F } ^ { 2 } } \\\\ { \\displaystyle \\qquad = \\displaystyle \\frac { 1 } { 2 } \\operatorname { t r } \\Big \\{ ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\left( \\widetilde { \\Sigma } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\mu } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) ^ { \\top } \\Big \\} . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 253, + 690, + 743, + 756 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "This completes the proof. ", + "bbox": [ + 174, + 756, + 341, + 772 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "C THEOREM 2 ", + "text_level": 1, + "bbox": [ + 174, + 790, + 310, + 808 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Theorem 2. (Decomposition of Least-Squares Component) The least-squares component, $\\mathcal { L } _ { L S } ( \\widetilde { \\pmb { H } } )$ , of the MSE decomposition in Theorem 1 can be further decomposed into $\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\mathcal { L } _ { N C I } ( \\widetilde { H } ) +$ $\\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { H } )$ , where ", + "bbox": [ + 173, + 820, + 828, + 869 + ], + "page_idx": 21 + }, + { + "type": "equation", + "img_path": "images/9f32c0cff4624a1200ed5fa9f9be73f6ebd88a2abaf2ae3a5cc2b5735be5b0ad.jpg", + "text": "$$\n\\begin{array} { r l r } & { } & { \\mathcal { L } _ { N C I } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 } \\operatorname { t r } \\biggr \\{ \\widetilde { W } _ { L S } \\left[ \\widetilde { \\pmb { \\Sigma } } _ { W } + \\lambda { \\pmb I } \\right] \\widetilde { W } _ { L S } ^ { \\top } \\biggr \\} , } \\\\ & { } & { \\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 C } \\| \\widetilde { W } _ { L S } \\widetilde { \\pmb { M } } - { \\pmb I } \\| _ { F } ^ { 2 } . \\qquad } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 354, + 869, + 642, + 930 + ], + "page_idx": 21 + }, + { + "type": "text", + "text": "Proof. Under Euclidean distance, perturbations to the extended activations matrix $\\widetilde { H }$ which affect only the class-means or global-mean are orthogonal to perturbations which affect only the within-class covariance. Using this, $\\overline { { \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } ) } }$ can be further decomposed via the Pythagorean theorem: ", + "bbox": [ + 173, + 102, + 825, + 148 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/81a1a06083653bfd3629586dd147896d014a5fde72bdf390815f086a01f8ea9c.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\Vert \\widetilde { W } _ { \\mathrm { L S } } ( \\widetilde { h } _ { i , c } - \\widetilde { \\mu } _ { c } ) \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { W } _ { \\mathrm { L S } } \\Vert _ { F } ^ { 2 } + \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { c } \\Vert \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { \\mu } _ { c } - y _ { i , c } \\Vert _ { 2 } ^ { 2 } .\n$$", + "text_format": "latex", + "bbox": [ + 235, + 155, + 761, + 188 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "The first and second terms above merge into $\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\widetilde { H } )$ , while the third term becomes $\\mathcal { L } _ { \\mathrm { N C } 2 / 3 } ( \\widetilde { H } )$ ", + "bbox": [ + 173, + 195, + 807, + 213 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/96af43354ed7c66a4c55c86085b357ece2a16c13f0c6c80275383f90a0d2ca6c.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathcal { L } _ { \\mathrm { N C 1 } } ( \\widetilde { \\pmb { H } } ) = \\displaystyle \\frac { 1 } { 2 } \\mathrm { t r } \\Big \\{ \\widetilde { W } _ { \\mathrm { L S } } \\left( \\widetilde { \\pmb { \\Sigma } } _ { W } + \\lambda I \\right) \\widetilde { W } _ { \\mathrm { L S } } ^ { \\top } \\Big \\} } \\\\ & { \\mathcal { L } _ { \\mathrm { N C 2 } / 3 } ( \\widetilde { \\pmb { H } } ) = \\displaystyle \\frac { 1 } { 2 C } \\| \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { M } - \\pmb { I } \\| _ { F } ^ { 2 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 348, + 218, + 648, + 281 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "This completes the proof. ", + "bbox": [ + 174, + 284, + 341, + 299 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "C.1 INTUITIONS FOR THEOREM 2 IN UNEXTENDED COORDINATES ", + "bbox": [ + 174, + 315, + 643, + 330 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "For intuition, consider when $\\lambda = 0$ , i.e. the no weight-decay case. Proposition 1 in the main text gives ", + "bbox": [ + 174, + 340, + 823, + 369 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/430b9276495f399fb340315646535209b47fcd7478d67551ac3853a08b0d8300.jpg", + "text": "$$\n\\begin{array} { r } { W _ { \\mathrm { L S } } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 423, + 367, + 575, + 387 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $\\overline { { M } } \\in \\mathbb { R } ^ { P \\times C }$ is the matrix with columns $\\mu _ { c } - \\mu _ { G }$ . Returning to the unextended coordinates, $\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\overline { { H } } )$ simplifies to ", + "bbox": [ + 174, + 391, + 825, + 419 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/3bbbf612856dfe629d161e3123a7e64e2091087dac982a063bbfa920245a231a.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\overline { { H } } ) = \\frac { 1 } { 2 } \\mathrm { t r } \\big \\{ W _ { \\mathrm { L S } } \\Sigma _ { W } W _ { \\mathrm { L S } } ^ { \\top } \\big \\} ,\n$$", + "text_format": "latex", + "bbox": [ + 383, + 417, + 612, + 446 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $\\overline { { H } } \\in \\mathbb { R } ^ { P \\times C N }$ has columns $h _ { i , c } - \\mu _ { G }$ . The term $\\mathcal { L } _ { \\mathrm { N C } 2 / 3 } ( \\overline { { H } } )$ also simplifies instructively to ", + "bbox": [ + 176, + 450, + 813, + 467 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/ab4c833566553144f6a4c9b8cf1e3fa8335d8da066eabae9c99f1df993530a37.jpg", + "text": "$$\n\\mathcal { L } _ { \\mathrm { N C 2 / 3 } } ( \\overline { { H } } ) = \\frac { 1 } { 2 C } \\| W _ { \\mathrm { L S } } \\overline { { M } } - \\Phi \\| _ { F } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 379, + 472, + 617, + 503 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "where $\\Phi \\in \\mathbb { R } ^ { C \\times C }$ is the standard Simplex ETF: ", + "bbox": [ + 173, + 508, + 490, + 525 + ], + "page_idx": 22 + }, + { + "type": "equation", + "img_path": "images/4cb51e6ae05b543b51f1c5347533330e65119040a5b00c738eeca77301005c93.jpg", + "text": "$$\n\\pmb { \\Phi } = \\pmb { I } - \\frac { 1 } { C } \\pmb { 1 } \\pmb { 1 } ^ { \\top } .\n$$", + "text_format": "latex", + "bbox": [ + 437, + 530, + 558, + 561 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "C.2 ADDITIONAL INTUITIONS FOR THEOREM 2 TERMS ", + "bbox": [ + 173, + 574, + 566, + 590 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "The expressions in Equation 15 and Equation 17 further evoke the intuition that $\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\overline { { H } } )$ is a variance term that goes to zero only under activation collapse (NC1) ", + "bbox": [ + 173, + 601, + 694, + 617 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "", + "bbox": [ + 230, + 626, + 767, + 655 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "More specifically, we see that, with the class-means held constant, the only way to have ${ \\mathcal { L } } _ { \\mathrm { N C l } } ( { \\overline { { H } } } ) \\to$ 0 is for $\\pmb { \\Sigma } _ { W } \\mathbf { 0 }$ . Similarly, by examining Equation 18, we see that ", + "bbox": [ + 171, + 667, + 823, + 696 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "$\\mathcal { L } _ { \\mathrm { N C } 2 / 3 } ( \\overline { { H } } )$ quantifies deviations of $W _ { \\mathrm { L S } } \\overline { { M } }$ —i.e. the matrix of class-mean predictions—from the standard Simplex ETF. ", + "bbox": [ + 230, + 707, + 764, + 737 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "Under (NC2) and (NC3) , both $W _ { \\mathrm { L S } }$ and $\\bar { M }$ tend to jointly aligned ETF’s, possibly in an alternate pose; so $W _ { \\mathrm { L S } } \\to \\Phi U ^ { T }$ and ${ \\overline { { M } } } \\to U \\Phi$ for a partial orthogonal matrix $U$ satisfying ${ \\pmb U } ^ { T } { \\pmb U } = { \\pmb I } _ { C }$ . Since $\\Phi ^ { 2 } \\ = \\ \\Phi$ , (NC2) and (NC3) together demand $W _ { \\mathrm { L S } } ^ { \\mathrm { { - } } } \\overline { { M } } \\to \\Phi$ . Thus, $\\bar { \\mathcal { L } } _ { \\mathrm { N C } 2 / 3 } ( \\overline { { H } } )$ can be interpreted as a semi-metric reflecting the distance from achieving (NC2) and (NC3) . ", + "bbox": [ + 174, + 746, + 826, + 804 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "D THEOREM 3 ", + "text_level": 1, + "bbox": [ + 174, + 824, + 310, + 840 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "D.1 IMPLICATIONS OF INVARIANCE ", + "text_level": 1, + "bbox": [ + 176, + 856, + 433, + 869 + ], + "page_idx": 22 + }, + { + "type": "text", + "text": "In this section, we will discuss in more detail how the invariance observed Section 3.1 leads the the continually renormalized gradient flow (Equation 5). In particular, we have seen in Section 3.1 of the main text that, on the central path, both the predictions $W _ { \\mathrm { L S } } ( \\overline { { H } } ) \\overline { { H } }$ and the MSE loss $\\mathcal { L } ( W _ { \\mathrm { L S } } ( \\overline { { H } } ) , \\overline { { M } } ( \\overline { { H } } ) )$ are invariant under the transformation ${ \\overline { { H } } } \\mapsto A { \\overline { { H } } }$ when $\\pmb { A }$ is a invertible matrix. Since our interest mainly lies with $\\pmb { A } = \\pmb { \\Sigma } _ { W } ^ { - \\frac 1 2 }$ , we will restrict the intuitive discussion in this section to positive-definite $\\pmb { A }$ . ", + "bbox": [ + 174, + 881, + 825, + 924 + ], + "page_idx": 22 + }, + { + "type": "image", + "img_path": "images/48d78045372077da56f0b7660be5f816a79676c505297e28b102f0b683f839f9.jpg", + "image_caption": [ + "Figure 13: Fiber bundle. Any full-rank features matrix, $\\overline { { H } }$ , has a representative element, $\\boldsymbol { X }$ , on $\\mathcal { X }$ . For any $\\mathbf x \\in \\mathcal X$ , a fiber is the set $s \\times x$ i.e. $\\{ A X : ~ A \\in { \\mathcal { S } } \\}$ (the Minkowski set product), where $s$ is the set of symmetric positive-definite matrices. Features on the same fiber generate the same class predictions and the same MSE loss. The optimization described in Sections D.1-D.3 moves fiber-to-fiber. " + ], + "image_footnote": [], + "bbox": [ + 374, + 99, + 629, + 324 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 434, + 825, + 484 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Now, consider the set $\\mathcal { H }$ of features $\\overline { { H } }$ with with non-singular within-class covariances. We view $\\mathcal { H }$ as a fiber bundle17, where—on each fiber—live (apparently) different activations, $\\overline { { H } }$ , that (in fact) generate the exact same class predictions and the exact same MSE loss (see Figure 13). The base space—we will denote it $\\mathcal { X }$ —can be taken to be the collection of $\\mathbf { } X \\in { \\mathcal { H } }$ where $\\Sigma _ { W } ( { \\pmb X } ) = { \\pmb I }$ . Every $\\overline { { H } } \\in { \\mathcal { H } }$ is representable as ${ \\overline { { H } } } = A X$ where ${ \\pmb A } = { \\pmb \\Sigma } _ { W } ^ { - \\frac 1 2 } ( \\overline { { { \\pmb H } } } )$ and $\\Sigma _ { W } ( { \\pmb X } ) = { \\pmb I }$ . The activation matrices $\\boldsymbol { X }$ in the base space might be variously called “pre-whitened,” “normalized,” “standardized,” or “sphered.” We shall call $\\mathcal { X }$ a normalized features manifold18. ", + "bbox": [ + 173, + 489, + 826, + 594 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "Invoking invariance, we can make the following observations about our optimization task: ", + "bbox": [ + 169, + 601, + 761, + 616 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "1. If, at a specific $t$ , $\\pmb { H } _ { t }$ happens to be a normalized set of activations (i.e. $\\pmb { H } _ { t } \\in \\mathcal { X }$ is currently located in the base space $\\mathcal { X }$ ), there is no performance benefit to leaving the base space. There is also no performance benefit to moving along a fiber; only by moving from fiber-to-fiber can we improve performance. 2. In some sense, we waste time except when jumping from fiber-to-fiber; we might prefer to stay in the base space all the time by forcing the dynamics to jump from fiber-to-fiber. ", + "bbox": [ + 207, + 627, + 825, + 719 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "On the other hand, we started with the viewpoint of studying gradient flow of the original $\\pmb { H }$ . So, we consider the following natural model for the application of gradient descent in $\\boldsymbol { X }$ : ", + "bbox": [ + 173, + 731, + 823, + 761 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "1. For a given initial feature activations, $\\overline { { { \\cal H } } } _ { 0 } \\in \\mathcal { H }$ , we renormalize—obtaining a starting point $\\boldsymbol { X } _ { 0 } \\in \\mathcal { X }$ ; here $\\begin{array} { r } { X _ { 0 } = \\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } ( \\overline { { H } } _ { 0 } ) \\overline { { H } } _ { 0 } } \\end{array}$ . Class predictions and MSE loss performance for the MSE-optimal classifier do not change from this renormalization. ", + "bbox": [ + 214, + 773, + 825, + 821 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "2. We compute the usual gradient of MSE loss, at $X _ { 0 }$ , obtaining a step $\\begin{array} { r l } { \\Delta X _ { 0 } } & { { } = } \\end{array}$ $- \\eta \\nabla _ { X } \\mathcal { L } _ { \\mathrm { L S } } ( X _ { 0 } )$ , where $\\eta$ is a step size. ", + "bbox": [ + 202, + 828, + 821, + 857 + ], + "page_idx": 23 + }, + { + "type": "text", + "text": "3. We take a step, going to ", + "bbox": [ + 212, + 103, + 392, + 118 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/8375893d5901a68a3c6e308863d369840da4358a45b7401c0e37ddbd44bb7293.jpg", + "text": "$$\n\\overline { { { \\pmb { H } } } } _ { 1 } = { \\pmb X } _ { 0 } + \\Delta { \\pmb X } _ { 0 } .\n$$", + "text_format": "latex", + "bbox": [ + 462, + 114, + 594, + 133 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "4. $\\overline { { { \\pmb { H } } } } _ { 1 }$ will not necessarily be normalized. We map back along whatever fiber we have landed upon, obtaining a corresponding point in the base space $\\mathcal { X }$ , call this $X _ { 1 }$ . Here, ", + "bbox": [ + 212, + 136, + 828, + 165 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/4f29a023897f94fbd62f3360626789b9f8eb25449875f5848ac1d88b48f5b688.jpg", + "text": "$$\n\\begin{array} { r } { { \\pmb X } _ { 1 } = \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } ( \\overline { { \\pmb H } } _ { 1 } ) \\overline { { \\pmb H } } _ { 1 } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 455, + 166, + 599, + 189 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Class predictions and MSE loss performance do not change from this renormalization. ", + "bbox": [ + 232, + 190, + 797, + 207 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "5. Repeat steps 2, 3, 4 at $X _ { 1 }$ , obtaining thereby $X _ { 2 }$ ; and so on. ", + "bbox": [ + 210, + 208, + 630, + 224 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "This process might be described as gradient descent with continual renormalization: ", + "bbox": [ + 174, + 233, + 725, + 250 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "1. Renormalize the initial features activation matrix; \n2. Compute the ordinary gradient of MSE loss and take the gradient descent step; \n3. Renormalize again after each such step; and \n4. Repeat steps 2 and 3. ", + "bbox": [ + 210, + 257, + 750, + 328 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "While the continual renormalization process differs from usual gradient flow, it is both intuitively understandable and sensible. See discussion of assumption (A3) in Section 3 ", + "bbox": [ + 173, + 337, + 825, + 366 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "D.2 ALIGNED SNR COORDINATES ", + "text_level": 1, + "bbox": [ + 176, + 381, + 426, + 396 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Analysis of continually renormalized gradient flow can be simplified, without loss of generality, by applying a change of basis in both row and column space: ", + "bbox": [ + 173, + 407, + 823, + 436 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Definition 3 (Transformation into Aligned SNR Coordinates). Consider the SVD decomposition of the SNR from Definition 2 outputting left singular vectors $U \\in \\mathbb { R } ^ { P \\times C }$ and right singular vectors $V \\in$ $\\mathbb { R } ^ { C \\times C }$ . For any matrix $\\boldsymbol { Z } \\in \\mathbb { R } ^ { P \\times C }$ , define the transformation $Z \\to U ^ { \\top } Z { \\bar { V } }$ as the transformation into aligned-SNR coordinates. ", + "bbox": [ + 173, + 438, + 826, + 494 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "The aligned-SNR coordinates is so-named because it diagonalizes i.e. aligns the SNR matrix: Definition 4 (Aligned SNR Matrix). Consider the SVD decomposition of the SNR from Definition 2. Combined with Equation 8, observe that ", + "bbox": [ + 173, + 503, + 826, + 550 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/11a53927e8c6b33936140dea480dc43d28786df5e227227c99be8ec850af4064.jpg", + "text": "$$\n\\boldsymbol { \\Omega } = \\mathrm { d i a g } \\left( \\left\\{ \\omega _ { c } \\right\\} _ { c = 1 } ^ { C - 1 } , 0 \\right) = \\boldsymbol { U } ^ { \\top } \\boldsymbol { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { \\boldsymbol { M } } } \\boldsymbol { V }\n$$", + "text_format": "latex", + "bbox": [ + 357, + 551, + 640, + 575 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "We call $\\pmb { \\Omega }$ the aligned SNR matrix. ", + "bbox": [ + 174, + 575, + 405, + 592 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "The following facts about the aligned SNR matrix becomes useful later in our derivations: ", + "bbox": [ + 173, + 601, + 763, + 616 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Observation 1 (SVD of Aligned SNR Matrix). The SVD of the aligned SNR matrix itself is simply ", + "bbox": [ + 174, + 617, + 825, + 633 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/ead402a96b6cfbf3780076ea1a3e4fa29231634c8eb877d5f299ba6e0ee82f2f.jpg", + "text": "$$\n\\Omega = \\sum _ { j = 1 } ^ { C - 1 } \\omega _ { j } \\pmb { e } _ { j } \\pmb { e } _ { j } ^ { \\top } ,\n$$", + "text_format": "latex", + "bbox": [ + 434, + 635, + 560, + 680 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "with the canonical basis $\\{ e _ { j } \\} _ { j = 1 } ^ { C }$ as its singular vectors. ", + "bbox": [ + 173, + 681, + 545, + 700 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "As discussed in Section 3.2, the $\\{ \\omega _ { c } \\} _ { c = 1 } ^ { C - 1 }$ that comprise $\\pmb { \\Omega }$ are decisive for understanding separation performance. In fact, when $\\lambda { = } 0$ , the MSE loss can be entirely characterized by the SNR singular values on the central path: ", + "bbox": [ + 174, + 709, + 825, + 753 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Lemma 1 (Spectral Representation of MSE Loss). When $\\lambda = 0$ , MSE loss obeys ", + "bbox": [ + 171, + 756, + 720, + 772 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/65e330e2f135b303378e66622fd921a353161c67e83dd2475c46202839316322.jpg", + "text": "$$\n\\mathcal { L } ( W _ { L S } ( \\overline { { H } } ) , \\overline { { H } } ) = \\mathcal { L } _ { L S } ( W _ { L S } ( \\overline { { H } } ) , \\overline { { H } } ) = \\frac { 1 } { 2 } \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { \\omega _ { j } ^ { 2 } + C } = \\mathcal { L } \\left( \\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 253, + 773, + 743, + 818 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "on the central path, and its decomposition obeys ", + "bbox": [ + 171, + 819, + 491, + 834 + ], + "page_idx": 24 + }, + { + "type": "equation", + "img_path": "images/fe0182fee4a892ac36c929acb037d6e33c5e4cd205affa5eede94726223a987b.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle \\mathcal { L } _ { N C I } ( \\overline { { { H } } } ) = \\frac 1 2 \\sum _ { j = 1 } ^ { C - 1 } \\frac { \\omega _ { j } ^ { 2 } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } = \\mathcal { L } _ { N C I } \\left( \\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 } \\right) } } \\\\ { { \\displaystyle \\mathcal { L } _ { N C 2 / 3 } ( \\overline { { { H } } } ) = \\frac 1 2 \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { C } \\left( \\frac { \\omega _ { j } ^ { 2 } } { \\omega _ { j } ^ { 2 } + C } - 1 \\right) ^ { 2 } = \\mathcal { L } _ { N C 2 / 3 } \\left( \\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 } \\right) . } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 289, + 835, + 710, + 930 + ], + "page_idx": 24 + }, + { + "type": "text", + "text": "Proof. Using Equation 16, Equation 17, and Equation 18, the loss on the central path equals ", + "bbox": [ + 171, + 102, + 777, + 119 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/38827d7c9d71a08bc4d30226bf6aa6c9f919a97d62142ac61e76cdac0dc33f56.jpg", + "text": "$$\n\\mathcal { L } ( W _ { \\mathrm { L S } } , \\overline { { { M } } } ) = \\frac { 1 } { 2 C } \\Vert C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { { M } } } - \\Phi \\Vert _ { F } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { t r } \\big \\{ C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\Sigma _ { W } \\Sigma _ { T } ^ { - 1 } \\overline { { { M } } } C ^ { - 1 } \\big \\} .\n$$", + "text_format": "latex", + "bbox": [ + 197, + 122, + 772, + 154 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Observe $\\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { M } }$ and $\\Phi$ are simultaneously diagonalizable since they share the same $[ 1 , \\ldots , 1 ] ^ { \\top }$ null space and $\\Phi$ has $C - 1$ equal eigenvalues. Also, observe that ", + "bbox": [ + 173, + 160, + 823, + 190 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/76c69d01aa0716b835b65e10c603a0fcea4f4ab7135ce573d9001cdfd3f929ac.jpg", + "text": "$$\n\\Sigma _ { T } = \\Sigma _ { W } + \\frac { 1 } { C } \\overline { { { M } } } \\overline { { { M } } } ^ { T } .\n$$", + "text_format": "latex", + "bbox": [ + 413, + 194, + 584, + 224 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Let $\\widehat { \\Omega }$ be submatrix of the aligned-SNR matrix $\\pmb { \\Omega }$ corresponding to the non-zero singular values i.e. $\\widehat { \\Omega } = \\mathrm { d i a g } \\left( \\{ \\omega _ { j } \\} _ { c = 1 } ^ { C - 1 } \\right)$ . After taking simultaneous-diagonalizations and canceling partial orthogonal matrices, Equation 19 can be written solely in terms of $\\widehat { \\Omega }$ : ", + "bbox": [ + 173, + 238, + 826, + 289 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/5fd625df92714c0561c4c438e22fa3aaed72d4765219925ca2d0f7f4120cabdd.jpg", + "text": "$$\n\\mathcal { L } ( \\widehat { \\Omega } ) = \\frac { 1 } { 2 C } \\left\\| \\widehat { \\Omega } ^ { \\top } \\left( \\widehat { \\Omega } \\widehat { \\Omega } ^ { \\top } + C I _ { C - 1 } \\right) ^ { - 1 } \\widehat { \\Omega } - I _ { C - 1 } \\right\\| _ { F } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { t r } \\Big \\{ \\widehat { \\Omega } ^ { \\top } ( \\widehat { \\Omega } \\widehat { \\Omega } ^ { \\top } + C I _ { C - 1 } ) ^ { - 2 } \\widehat { \\Omega } \\Big \\} .\n$$", + "text_format": "latex", + "bbox": [ + 192, + 292, + 805, + 332 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "This can be further simplified into ", + "bbox": [ + 173, + 335, + 398, + 349 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/7bf169bfd5869ffb10f10c95d7f35a3e765d7df44afb54480580e402e8cefba4.jpg", + "text": "$$\n\\begin{array} { l } { \\displaystyle \\mathcal { L } ( \\{ \\omega _ { j } \\} _ { c = 1 } ^ { C - 1 } \\} ) = \\frac { 1 } { 2 } \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { C } \\left( \\frac { \\omega _ { j } ^ { 2 } } { \\omega _ { j } ^ { 2 } + C } - 1 \\right) ^ { 2 } + \\frac { \\omega _ { j } ^ { 2 } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } } \\\\ { \\displaystyle \\quad = \\frac { 1 } { 2 } \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { \\omega _ { j } ^ { 2 } + C } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 303, + 354, + 692, + 449 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "This completes the proof for Lemma 1. ", + "bbox": [ + 174, + 458, + 431, + 473 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Thus, the aligned SNR matrix, U ⊤Σ− 12W MĎSNR matrix to a diagonal matrix (Definiti , maximally simplifies analysis by reducing the vanilla on 4) whose entries determine the MSE loss (Lemma 1). ", + "bbox": [ + 169, + 489, + 825, + 523 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "We introduce the alignment of features into their own notion of aligned SNR coordinates: ", + "bbox": [ + 176, + 529, + 759, + 545 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Definition 5 (Renormalization to aligned SNR Coordinates). Consider $\\overline { { \\pmb { H } } } ~ \\in ~ \\mathbb { R } ^ { P \\times C N }$ with corresponding SNR left and right singular vectors $U$ and $V$ (Definition 2). Then, define the SNRaligned renormalization of the features as ", + "bbox": [ + 174, + 546, + 831, + 590 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/2fd11ec4c875ad37bf26a99ea62b298091412f8fb3212a4c0972086531c79862.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { X } = \\pmb { U } ^ { \\top } \\left( \\pmb { \\Sigma } _ { W } \\right) ^ { - \\frac { 1 } { 2 } } \\pmb { \\overline { { H } } } ( \\pmb { V } \\otimes \\pmb { I } _ { N } ) = \\pmb { U } ^ { \\top } \\left( \\pmb { \\overline { { H } } } \\pmb { C } \\pmb { \\overline { { H } } } ^ { \\top } \\right) ^ { - \\frac { 1 } { 2 } } \\pmb { \\overline { { H } } } ( \\pmb { V } \\otimes \\pmb { I } _ { N } ) \\in \\mathbb { R } ^ { C \\times N C } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 232, + 594, + 764, + 619 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "where $\\otimes$ is the Kronecker product and $C$ is a class-centering matrix defined as ", + "bbox": [ + 171, + 622, + 692, + 637 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/4c1a7b3818ebc8084121e4ced89dce3ecbb6c7f55cb38fbcbf5f7966629b07e9.jpg", + "text": "$$\n\\pmb { C } = \\frac { 1 } { C N } \\left( \\pmb { I } _ { C N } - \\frac { 1 } { N } \\pmb { Y } ^ { \\top } \\pmb { Y } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 390, + 642, + 607, + 678 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "As discussed in Section 3.1, the transformation $\\overline { { { \\pmb { H } } } } \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { { \\pmb { H } } } }$ does not change the predictions of the least squares classifier. Hence, it does not change the MSE loss. It is easy to check that this still holds for $\\boldsymbol { X }$ i.e. invariance is preserved by the change into SNR-aligned coordinates. ", + "bbox": [ + 173, + 690, + 825, + 737 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "It is also easy to check that the sphericity of the within-class covariance is preserved as well: ", + "bbox": [ + 171, + 743, + 772, + 758 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Observation 2 (Sphericity of Within-Class Covariance of SNR Coordinates). ", + "bbox": [ + 176, + 761, + 705, + 777 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/763a8dca0005fbb5655be0b0e97207a3a6263f43532d5289210e213eecd1e15a.jpg", + "text": "$$\nX C X ^ { \\top } = I _ { C }\n$$", + "text_format": "latex", + "bbox": [ + 446, + 780, + 550, + 800 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Finally, routine applications of Definitions and canceling out of (partial) orthogonal matrix multiplications in aligned SNR coordinates lead to the following simplified representation for $\\pmb { \\Omega }$ and its differential: ", + "bbox": [ + 173, + 813, + 826, + 854 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Observation 3 (Relation Between SNR Coordinates and SNR Matrix). The aligned SNR matrix, $\\pmb { \\Omega }$ (Definition 4) can be expressed as a function of the features in aligned SNR-coordinates $\\boldsymbol { X }$ (Definition 5) as simply ", + "bbox": [ + 173, + 858, + 825, + 901 + ], + "page_idx": 25 + }, + { + "type": "equation", + "img_path": "images/9b13a3e144441b3f82dc758ac21cadae37a187bacc9476bd358f008807b3bd06.jpg", + "text": "$$\n\\Omega ( X ) = \\frac { 1 } { N } X Y ^ { \\top } .\n$$", + "text_format": "latex", + "bbox": [ + 431, + 898, + 565, + 929 + ], + "page_idx": 25 + }, + { + "type": "text", + "text": "Moreover, let $\\mathrm { d } \\Omega _ { i j } ( \\cdot ) : T _ { X } \\mathcal { X } \\mathbb { R }$ be the differential $I$ -form19 associated with the $i j$ -th entry of $\\pmb { \\Omega } .$ . Define $\\mathrm { d } \\Omega ( \\cdot ) : T _ { X } \\mathcal { X } \\mathbb { R } ^ { C \\times C }$ such that, for some $Z \\in T _ { X } \\mathcal { X }$ , each entry matrix of the matrix $\\mathrm { d } \\Omega \\left( Z \\right)$ is $\\mathrm { d } \\Omega _ { i , j } \\left( Z \\right)$ . Then, it follows that ", + "bbox": [ + 173, + 102, + 826, + 148 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/ff182dba838d687191489dcaaa32ae857a8ea25327392fd28ac0bb87b7f959c2.jpg", + "text": "$$\n\\mathrm { d } \\Omega \\left( Z \\right) = \\frac { 1 } { N } Z Y ^ { \\top } , \\quad \\forall Z \\in T _ { \\mathbf { X } } \\mathcal { X } .\n$$", + "text_format": "latex", + "bbox": [ + 375, + 152, + 620, + 183 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "From a geometric perspective, the transformation in Definition 5 maps the features, $\\pmb { H }$ , to $\\boldsymbol { X }$ belonging to a Normalized Features Manifold: ", + "bbox": [ + 173, + 193, + 823, + 222 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Definition 6 (Normalized Features Manifold). ", + "text_level": 1, + "bbox": [ + 176, + 224, + 488, + 239 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/c96c6d5ebdafd60ec2b9d3f8d0eb47ba3acb0ddc77e58570862ac50dee4af590.jpg", + "text": "$$\n\\mathcal { X } = \\{ \\boldsymbol { X } \\in \\mathbb { R } ^ { C \\times C N } \\mid \\boldsymbol { X } C \\boldsymbol { X } ^ { \\top } = \\boldsymbol { I _ { C } } \\}\n$$", + "text_format": "latex", + "bbox": [ + 364, + 242, + 633, + 262 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "To understand the dynamics of the singular values of $\\pmb { \\Omega }$ —which is connected to the dynamics of the features through Lemma 1—we will analyze the gradient flow on this manifold. To this end, we first identify its tangent space at a particular $\\boldsymbol { X }$ as well as the projection operator onto that tangent space. ", + "bbox": [ + 173, + 273, + 826, + 316 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Proposition 3 (Tangent Space of Normalized Features Manifold). ", + "bbox": [ + 171, + 319, + 624, + 335 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/d7cf9a875a3975d24a87b07d541e9c1df272683b87031ae62aa4f937b85409fe.jpg", + "text": "$$\nT _ { \\mathbf { X } } \\mathcal { X } = \\{ Z \\in \\mathbb { R } ^ { C \\times C N } \\mid X C Z ^ { \\top } + Z C X = \\mathbf { 0 } \\}\n$$", + "text_format": "latex", + "bbox": [ + 333, + 338, + 665, + 358 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Proposition 4 (Projection Onto Tangent Space of Normalized Features Manifold). ", + "bbox": [ + 168, + 361, + 736, + 377 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/2164ee12732569a430d89804ebe1976ad73afb8f3fa81c42c0ba1eb414918543.jpg", + "text": "$$\n\\Pi _ { T \\bf { x } } \\chi ( Z ) = Z - \\frac { 1 } { 2 } ( X C Z ^ { \\top } + Z C X ^ { \\top } ) X\n$$", + "text_format": "latex", + "bbox": [ + 348, + 381, + 648, + 411 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "D.3 CONTINUALLY RENORMALIZED GRADIENT FLOW ", + "text_level": 1, + "bbox": [ + 173, + 425, + 558, + 440 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "In fact, gradient flow on the normalized features manifold (Definition 6) is the continuous analogue of the intuitive, discrete algorithm in Subsection D.1. In particular, the intuitive algorithm consists of a gradient step, $\\overline { { { \\pmb { H } } } } _ { 1 } = \\bar { \\pmb { X } } _ { 0 } + \\Delta { \\pmb { X } } _ { 0 }$ followed by a mapping to the base space of the fiber bundle, $\\pmb { X } _ { 1 } \\overset { \\cdot } { = } \\pmb { \\Sigma } ( \\overline { { \\pmb { H } } } _ { 1 } ) ^ { - \\frac { 1 } { 2 } } \\overline { { \\pmb { H } } } _ { 1 }$ . For small $\\Delta X _ { 0 }$ , these two steps are in fact equivalent (up to a negligible term) to taking a $T _ { X } \\mathcal { X }$ -projected gradient step on the manifold $\\mathcal { X }$ as proven below: ", + "bbox": [ + 173, + 450, + 828, + 523 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Lemma 2. Assuming $\\boldsymbol { X } _ { 0 } \\in \\mathcal { X }$ , a renormalized gradient step, ", + "bbox": [ + 173, + 526, + 578, + 541 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/97d345ac9a317122973ac1b252bff6478ee6ec4d3cd4e2f7c3cce017cfacc3c4.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { X } _ { 1 } = \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } ( \\overline { { \\pmb { H } } } _ { 1 } ) \\overline { { \\pmb { H } } } _ { 1 } = \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } ( \\pmb { X } _ { 0 } + \\Delta \\pmb { X } _ { 0 } ) \\cdot ( \\pmb { X } _ { 0 } + \\Delta \\pmb { X } _ { 0 } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 299, + 545, + 696, + 569 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "is equivalent, up to an $O \\left( { \\left\\| \\Delta { { X } _ { 0 } } \\right\\| ^ { 2 } } \\right)$ term, to a $T _ { X } \\mathcal { X }$ -projected gradient step, i.e. ", + "bbox": [ + 173, + 574, + 709, + 597 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/58874b2cbd6e62d00681c6a07606dbd738c318ae66b603ee736938bb09da51a4.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { X } _ { 1 } = \\pmb { X } _ { 0 } + \\Pi _ { T _ { \\pmb { X } } } \\pmb { \\chi } ( \\Delta \\pmb { X } _ { 0 } ) + O \\left( \\left. \\Delta \\pmb { X } _ { 0 } \\right. ^ { 2 } \\right) . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 349, + 602, + 648, + 630 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Proof. Notice that ", + "bbox": [ + 173, + 642, + 299, + 657 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/2d2ff765b7db9e795ac34bc00cdb815494691b794b095a3580765fbdbed3e0e1.jpg", + "text": "$$\n\\begin{array} { r l } & { X _ { 1 } = \\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } ( \\overline { H } _ { 1 } ) \\overline { H } _ { 1 } } \\\\ & { \\quad = \\left( ( X _ { 0 } + \\Delta X _ { 0 } ) C ( X _ { 0 } + \\Delta X _ { 0 } ) ^ { \\top } \\right) ^ { - \\frac { 1 } { 2 } } \\left( X _ { 0 } + \\Delta X _ { 0 } \\right) } \\\\ & { \\quad = \\left( I + \\Delta X _ { 0 } C X _ { 0 } ^ { \\top } + X _ { 0 } C \\Delta X _ { 0 } ^ { \\top } + \\Delta X _ { 0 } C \\Delta X _ { 0 } ^ { T } \\right) ^ { - \\frac { 1 } { 2 } } ( X _ { 0 } + \\Delta X _ { 0 } ) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 248, + 661, + 746, + 736 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "where in the last step we used our assumption that $\\boldsymbol { X } _ { 0 } \\in \\mathcal { X }$ , i.e., $X _ { 0 } C X _ { 0 } = I$ . By Taylor’s Theorem, ", + "bbox": [ + 173, + 738, + 823, + 765 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/0d6c771085394d84907cb9a84203ee5bb75015252bdda2cf9edd21692d2f3d2f.jpg", + "text": "$$\n( { \\cal I } + { \\cal A } ) ^ { - \\frac { 1 } { 2 } } = { \\cal I } - \\frac { 1 } { 2 } { \\cal A } + O ( \\| { \\cal A } \\| ^ { 2 } ) .\n$$", + "text_format": "latex", + "bbox": [ + 375, + 762, + 620, + 794 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "Therefore, we get ", + "bbox": [ + 173, + 794, + 292, + 809 + ], + "page_idx": 26 + }, + { + "type": "equation", + "img_path": "images/543479b7984b75ae8f338834677ccd5bb6f6cdab4cfb3ec7c402f5a8690e1b51.jpg", + "text": "$$\n\\begin{array} { l } { { \\displaystyle { \\cal X } _ { 1 } = \\left( I - \\frac 1 2 \\left( \\Delta X _ { 0 } C X _ { 0 } ^ { \\top } + X _ { 0 } C \\Delta { \\bf X } _ { 0 } ^ { \\top } + \\Delta { \\bf X } _ { 0 } C \\Delta { \\bf X } _ { 0 } ^ { T } \\right) + { \\cal O } \\left( \\| \\Delta { \\bf X } _ { 0 } \\| ^ { 2 } \\right) \\right) \\left( X _ { 0 } + \\Delta { \\bf X } _ { 0 } \\right) } } \\\\ { ~ } \\\\ { { \\displaystyle ~ = { \\cal X } _ { 0 } + \\Delta { \\bf X } _ { 0 } - \\frac 1 2 \\left( \\Delta X _ { 0 } C X _ { 0 } ^ { \\top } - X _ { 0 } C \\Delta { \\bf X } _ { 0 } ^ { \\top } \\right) X _ { 0 } + { \\cal O } \\left( \\| \\Delta { \\bf X } _ { 0 } \\| ^ { 2 } \\right) } } \\\\ { { \\displaystyle ~ = { \\bf X } _ { 0 } + \\Pi _ { T _ { \\bf X } } \\alpha ( \\Delta { \\bf X } _ { 0 } ) + { \\cal O } \\left( \\| \\Delta { \\bf X } _ { 0 } \\| ^ { 2 } \\right) , } } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 184, + 813, + 812, + 906 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "where the last step follows from Proposition 4. ", + "bbox": [ + 174, + 909, + 480, + 924 + ], + "page_idx": 26 + }, + { + "type": "text", + "text": "As we transition from a discrete gradient descent to a continuous gradient flow, the step size $\\eta 0$ , and the residual $O \\left( { \\| \\Delta \\bar { X _ { 0 } } \\| ^ { 2 } } \\right)$ in the above lemma becomes negligible, since $\\Delta X _ { 0 } =$ $- \\eta \\nabla _ { X } \\mathcal { L } _ { \\mathrm { L S } } ( X _ { 0 } )$ . This motivates us to study, in the next section, the continually renormalized gradient flow (as defined in Equation 5 of the main text) of $\\boldsymbol { X }$ on $\\mathcal { X }$ : ", + "bbox": [ + 173, + 102, + 825, + 170 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/65ae4ce3e8ccb87f412a57cb0d3f788ea05b3216df5741453f29d62755c4dba5.jpg", + "text": "$$\n\\frac { \\mathrm { d } } { \\mathrm { d } t } \\pmb { X } = - \\Pi _ { T \\pmb { x } } \\pmb { \\chi } \\left( \\nabla \\pmb { x } \\mathcal { L } _ { \\mathrm { L S } } ( \\pmb { X } ) \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 387, + 188, + 609, + 218 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "D.4 PROOF OF PROPOSITION 2 (GRADIENT FLOW IN ALIGNED SNR COORDINATES) ", + "bbox": [ + 169, + 233, + 761, + 248 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "To prove Proposition 2, we first set up some auxiliary notation and lemmas. Denote the $j$ -th row (transposed) of $\\boldsymbol { X }$ and $\\mathbf { Y }$ , respectively, by ", + "bbox": [ + 173, + 258, + 825, + 287 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/42ac78d7e15764c2537902ef74ded811b07d58f408daec29c4bd18d05cc891b9.jpg", + "text": "$$\n\\pmb { x } _ { j } = \\pmb { X } ^ { \\top } \\pmb { e } _ { j }\n$$", + "text_format": "latex", + "bbox": [ + 455, + 295, + 542, + 315 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "and ", + "bbox": [ + 173, + 321, + 200, + 335 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/46e139bb5c531476fa0a8ba382780c3fe0827fb01bcad9f46f33a5f35be7e6e5.jpg", + "text": "$$\n\\begin{array} { r } { \\boldsymbol { y } _ { j } = \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 454, + 333, + 544, + 353 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Recall that—when differentiating SVDs—the derivative of the $j$ -th singular value, $\\omega _ { j }$ , only depends on the $j$ -th singular subspace (see Equation 17 of Townsend (2016)). As a consequence, we will see in the following lemma that, for any differential $\\mathrm { d } X$ , the corresponding $\\mathrm { d } \\omega _ { j }$ only depends on $\\mathrm { d } \\pmb { x } _ { j }$ . ", + "bbox": [ + 174, + 357, + 826, + 400 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Lemma 3 (Derivative of Singular Values With Respect to SNR Coordinates). Given the differential $I$ -form $\\mathrm { d } \\omega _ { j } ( \\cdot ) : T _ { X } \\mathcal { X } \\mathbb { R } ,$ , the following holds for all19 $\\mathrm { d } X \\in \\mathbb { R } ^ { C \\times C N }$ : ", + "bbox": [ + 169, + 404, + 823, + 433 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/bb3bc355c25c6a00347fb70f4a12e8a1a8c5b49d0657f80d6a6becf3422bcbd3.jpg", + "text": "$$\n\\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { X } \\mathcal { X } } ( \\mathrm { d } X ) \\right) = \\left( \\frac { 1 } { N } \\pmb { y } _ { j } ^ { \\top } - \\omega _ { j } \\pmb { x } _ { j } ^ { \\top } C \\right) \\mathrm { d } \\pmb { x } _ { j } , \\quad \\forall j = 1 , \\ldots , C .\n$$", + "text_format": "latex", + "bbox": [ + 279, + 440, + 718, + 476 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "where (consistent with Definition 2) we adopt the convention that $\\omega _ { C } = 0$ is the $C$ -th singular value of the SNR matrix. ", + "bbox": [ + 173, + 482, + 821, + 511 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Proof. Without loss of generality, assume that $\\boldsymbol { X }$ is represented in aligned SNR coordinates (Section D.2). Using Observation 1 and the differential of the singular value decomposition (see Equation 17 of Townsend (2016)): ", + "bbox": [ + 174, + 529, + 821, + 571 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/6eca31d7490c1608a0ce828deefec6b4894ad0c6b49b1c74eabcc935d33354ef.jpg", + "text": "$$\n\\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { \\mathbf { X } } \\mathcal { X } } ( \\mathrm { d } X ) \\right) = e _ { j } ^ { \\top } \\mathrm { d } \\Omega \\left( \\Pi _ { T _ { \\mathbf { X } } \\mathcal { X } } ( \\mathrm { d } X ) \\right) e _ { j } ,\n$$", + "text_format": "latex", + "bbox": [ + 344, + 577, + 655, + 598 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "where $\\mathrm { d } \\Omega \\left( \\cdot \\right)$ is defined as in Observation 3. Next, Observation 3 implies ", + "bbox": [ + 173, + 604, + 651, + 621 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/1cc3cc1efb754efb69cb8119254a31037195ca7d722ddaef152b689368454849.jpg", + "text": "$$\n\\mathrm { d } \\Omega \\left( \\Pi _ { T _ { \\mathbf { X } } } \\chi ( \\mathrm { d } X ) \\right) = \\frac { 1 } { N } \\Pi _ { T _ { \\mathbf { X } } } \\chi ( \\mathrm { d } X ) \\mathbf { Y } ^ { \\top } .\n$$", + "text_format": "latex", + "bbox": [ + 362, + 627, + 637, + 657 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Using the projection onto the tangent space, given in Proposition 4 above, ", + "bbox": [ + 174, + 664, + 658, + 680 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/9db9ce303caf44fc9342fd9b03403e66d243f5d028124cfd2c9de0d2f9e2c394.jpg", + "text": "$$\n\\Pi _ { T \\mathbf { \\boldsymbol { x } } \\mathbf { \\boldsymbol { x } } } ( \\mathrm { d } \\mathbf { \\boldsymbol { X } } ) = \\mathrm { d } \\mathbf { \\boldsymbol { X } } - \\frac { 1 } { 2 } ( \\mathrm { d } \\mathbf { \\boldsymbol { X } } \\mathbf { \\boldsymbol { C } } \\mathbf { \\boldsymbol { X } } ^ { \\top } + \\mathbf { \\boldsymbol { X } } \\mathbf { \\boldsymbol { C } } \\mathrm { d } \\mathbf { \\boldsymbol { X } } ^ { \\top } ) \\mathbf { \\boldsymbol { X } } .\n$$", + "text_format": "latex", + "bbox": [ + 320, + 685, + 678, + 717 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Combining Equation 23, Equation 24, and Equation 25, we obtain: ", + "bbox": [ + 173, + 722, + 612, + 738 + ], + "page_idx": 27 + }, + { + "type": "equation", + "img_path": "images/10c9a9a2982cadfc173e0ec0b1f986052958acb150a71dd0e3ffae4520143635.jpg", + "text": "$$\n\\begin{array} { r l } & { \\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { X } \\mathcal { X } } ( \\mathrm { d } X ) \\right) = e _ { j } ^ { \\top } \\mathrm { d } \\Omega \\left( \\Pi _ { T _ { X } \\mathcal { X } } ( \\mathrm { d } X ) \\right) e _ { j } } \\\\ & { \\quad \\quad \\quad \\quad = \\cfrac { 1 } { N } e _ { j } ^ { \\top } \\Pi _ { T _ { X } \\mathcal { X } } ( \\mathrm { d } X ) Y ^ { \\top } e _ { j } } \\\\ & { \\quad \\quad \\quad \\quad = \\cfrac { 1 } { N } e _ { j } ^ { \\top } \\left( \\mathrm { d } X - \\cfrac { 1 } { 2 } \\left( \\mathrm { d } X C X ^ { \\top } + X C \\mathrm { d } X ^ { \\top } \\right) X \\right) Y ^ { \\top } e _ { j } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 238, + 743, + 759, + 832 + ], + "page_idx": 27 + }, + { + "type": "text", + "text": "Moreover, using Observation 1 and 3, we can simplify these expressions into ", + "bbox": [ + 173, + 102, + 678, + 119 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/b51bf7040406e655a7b2eb61eec23bf4cefafffe90c0d7862419fac1958946fc.jpg", + "text": "$$\n\\begin{array} { r l } & { \\qquad \\displaystyle \\frac { 1 } { N } e _ { j } ^ { \\top } \\mathrm { d } X Y ^ { \\top } e _ { j } = \\frac { 1 } { N } { \\pmb y } _ { j } ^ { \\top } \\mathrm { d } { \\pmb x } _ { j } } \\\\ & { \\qquad \\displaystyle \\frac { 1 } { N } e _ { j } ^ { \\top } \\mathrm { d } X C X ^ { \\top } X { \\pmb Y } ^ { \\top } e _ { j } = \\omega _ { j } e _ { j } ^ { \\top } \\mathrm { d } X C X ^ { \\top } e _ { j } = \\omega _ { j } { \\pmb x } _ { j } ^ { \\top } C \\mathrm { d } { \\pmb x } _ { j } } \\\\ & { \\qquad \\displaystyle \\frac { 1 } { N } e _ { j } ^ { \\top } X C \\mathrm { d } X ^ { \\top } X { \\pmb Y } ^ { \\top } e _ { j } = \\omega _ { j } e _ { j } ^ { \\top } X C \\mathrm { d } X ^ { \\top } e _ { j } = \\omega _ { j } { \\pmb x } _ { j } ^ { \\top } C \\mathrm { d } { \\pmb x } _ { j } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 284, + 123, + 714, + 217 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Finally, substituting the above three expressions into Equation 26, we get: ", + "bbox": [ + 174, + 220, + 656, + 236 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/c5681a44bc8076158801203ef04acc8b43b5522361d56829836cb40633bf22b7.jpg", + "text": "$$\n\\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { \\mathbf { X } } } \\chi ( \\mathrm { d } X ) \\right) = \\left( \\frac { 1 } { N } \\pmb { y } _ { j } ^ { \\top } - \\omega _ { j } \\pmb { x } _ { j } ^ { \\top } \\pmb { C } \\right) \\mathrm { d } \\pmb { x } _ { j } ,\n$$", + "text_format": "latex", + "bbox": [ + 338, + 241, + 656, + 276 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "which proves the claim. ", + "bbox": [ + 173, + 281, + 330, + 297 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Using Lemma 3, we can now obtain the dynamics of $\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { j } }$ under gradient flow: ", + "bbox": [ + 173, + 311, + 678, + 328 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Lemma 4. Under continually renormalized gradient flow (Equation 5), ", + "bbox": [ + 173, + 332, + 647, + 347 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/93bfa924a276f3c37fbdf79c47a966ebdf3a9c85e64d0d5d4aacfa80039cd65e.jpg", + "text": "$$\n\\frac { \\mathrm { d } } { \\mathrm { d } t } { \\pmb x } _ { j } = \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\left( \\frac { 1 } { N } { \\pmb y } _ { j } - \\omega _ { j } C { \\pmb x } _ { j } \\right) , \\quad \\forall j = 1 , \\ldots , C ,\n$$", + "text_format": "latex", + "bbox": [ + 302, + 352, + 694, + 388 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "where (consistent with Definition 2) we adopt the convention that $\\omega _ { C } = 0$ is the $C$ -th singular value of the SNR matrix. ", + "bbox": [ + 174, + 393, + 823, + 422 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Proof. Recall $\\pmb { x } _ { j } \\in \\mathbb { R } ^ { C N }$ is the $j$ -th row of $\\pmb { X } \\in \\mathbb { R } ^ { C \\times C N }$ , which we assume to be in aligned SNR coordinates without loss of generality (Section D.2). Applying the flow definition in Equation 5 to the $i$ -th element of $\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { j } }$ gives ", + "bbox": [ + 173, + 436, + 825, + 482 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/675cb858a914bf37d12215849846149bc3e4ce2c786d0bb6b40e1799147d63bc.jpg", + "text": "$$\n\\begin{array} { r l } & { \\frac { \\mathrm { d } } { \\mathrm { d } t } x _ { j i } = - e _ { j } ^ { \\top } \\Pi _ { T x } x \\left( \\frac { \\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } } { \\mathrm { d } X } \\right) e _ { i } } \\\\ & { \\quad \\quad \\quad = - \\left. \\Pi _ { T x } x \\left( \\frac { \\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } } { \\mathrm { d } X } \\right) , e _ { j } e _ { i } ^ { \\top } \\right. _ { F } } \\\\ & { \\quad \\quad \\quad = - \\left. \\frac { \\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } } { \\mathrm { d } X } , \\Pi _ { T x } x \\big ( e _ { j } e _ { i } ^ { \\top } \\big ) \\right. _ { F } , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 362, + 487, + 633, + 597 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "where $\\frac { \\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } } { \\mathrm { d } X } \\in \\mathbb { R } ^ { C \\times C N }$ is the standard derivative within the ambient $\\mathbb { R } ^ { C \\times C N }$ -space, $e _ { i } \\in \\mathbb { R } ^ { C N }$ and $\\boldsymbol { e } _ { j } \\in \\mathbb { R } ^ { \\bar { \\boldsymbol { C } } }$ are the canonical basis vectors, and $\\langle \\cdot , \\cdot \\rangle _ { F }$ is the Frobenius matrix inner-product. Next, observe that the differential 1-form $\\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } ( \\cdot ) : \\dot { T } _ { X } \\dot { \\mathcal { X } } \\mathbb { R }$ satisfies the following: ", + "bbox": [ + 173, + 601, + 828, + 648 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/3e9ca335a8920bc25fe0b2355459011a643711da6bd14b62cc2be3991650ff34.jpg", + "text": "$$\n\\mathrm { d } { \\mathcal { L } } _ { \\mathrm { L S } } \\left( Z \\right) = \\left. \\frac { \\mathrm { d } { \\mathcal { L } } _ { \\mathrm { L S } } } { \\mathrm { d } X } , Z \\right. _ { F } , \\quad \\forall Z \\in T _ { X } \\mathcal { X } .\n$$", + "text_format": "latex", + "bbox": [ + 349, + 664, + 647, + 700 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "Taking $\\pmb { Z } = \\Pi _ { T \\pmb { x } } \\pmb { \\chi } \\big ( \\pmb { e } _ { j } \\pmb { e } _ { i } ^ { \\top } \\big )$ then leads to ", + "bbox": [ + 173, + 709, + 441, + 728 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/34a899229afebaf53167857f0f4d9156faf9f55e5ea442f62b252ed6e914e2f8.jpg", + "text": "$$\n\\begin{array} { r l } & { \\displaystyle \\frac { \\mathrm { d } } { \\mathrm { d } t } x _ { j i } = - \\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } \\left( \\Pi _ { T _ { X } } \\boldsymbol { x } \\big ( e _ { j } e _ { i } ^ { \\top } \\big ) \\right) } \\\\ & { \\quad \\quad \\quad = - \\displaystyle \\sum _ { k = 1 } ^ { C - 1 } \\frac { \\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } } { \\mathrm { d } \\omega _ { k } } \\mathrm { d } \\omega _ { k } \\left( \\Pi _ { T _ { X } } \\boldsymbol { x } \\big ( e _ { j } e _ { i } ^ { \\top } \\big ) \\right) } \\\\ & { \\quad \\quad \\quad = - \\displaystyle \\frac { \\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } } { \\mathrm { d } \\omega _ { j } } \\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { X } } \\boldsymbol { x } \\big ( e _ { j } e _ { i } ^ { \\top } \\big ) \\right) } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 354, + 733, + 642, + 844 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "where the second step follows by the chain rule, and the last step follows from Lemma 3 in that $\\mathrm { d } \\omega _ { k } \\left( \\Pi _ { T _ { \\mathbf { X } } \\mathcal { X } } \\big ( e _ { j } \\pmb { e } _ { i } ^ { \\top } \\big ) \\right) \\dot { = } 0$ if $k \\neq j$ . Moreover, Lemma 3 also gives ", + "bbox": [ + 173, + 848, + 825, + 878 + ], + "page_idx": 28 + }, + { + "type": "equation", + "img_path": "images/e569124508ca6379b1228980f7d4453db892b89f4d8f81e9125a2596b6728bf6.jpg", + "text": "$$\n\\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { \\mathbf { X } } } \\boldsymbol { x } \\big ( e _ { j } e _ { i } ^ { \\top } \\big ) \\right) = \\left( \\frac { 1 } { N } \\pmb { y } _ { j } ^ { \\top } - \\omega _ { j } \\pmb { x } _ { j } ^ { \\top } \\boldsymbol { C } \\right) \\boldsymbol { e } _ { i } .\n$$", + "text_format": "latex", + "bbox": [ + 338, + 893, + 658, + 929 + ], + "page_idx": 28 + }, + { + "type": "text", + "text": "It then follows that ", + "bbox": [ + 173, + 103, + 300, + 117 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/95150a0fe3756ad85d66828d1b0b4a0c9208699f3ae837e53f5eefe9253a1624.jpg", + "text": "$$\n\\begin{array} { r l } & { \\displaystyle \\frac { \\mathrm { d } } { \\mathrm { d } t } \\pmb { x } _ { j } = - \\frac { \\mathrm { d } \\mathcal { L } _ { \\mathrm { L S } } } { \\mathrm { d } \\omega _ { j } } \\left( \\frac { 1 } { N } \\pmb { y } _ { j } - \\omega _ { j } \\pmb { C } \\pmb { x } _ { j } \\right) } \\\\ & { \\quad \\quad \\quad = \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\left( \\frac { 1 } { N } \\pmb { y } _ { j } - \\omega _ { j } \\pmb { C } \\pmb { x } _ { j } \\right) , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 364, + 123, + 633, + 198 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "where the last step follows from differentiating the expression in Lemma 1. ", + "bbox": [ + 174, + 202, + 665, + 217 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "The gradient flows of $\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { j } }$ induce the dynamics of $\\omega _ { j }$ , which are described below. ", + "bbox": [ + 173, + 234, + 699, + 251 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Lemma 5 (Induced Dynamics on SVD of SNR). Under continually renormalized gradient flow (Equation 5), the dynamics for the $j$ -th non-zero SNR singular value (Definition 2) is ", + "bbox": [ + 171, + 253, + 821, + 284 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/967a95c16bb83eb352b1b2a69236d6977cb14f8ef9a9e503e1860f466d80334e.jpg", + "text": "$$\n\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } , \\quad \\forall j = 1 , \\dots , C - 1 .\n$$", + "text_format": "latex", + "bbox": [ + 344, + 290, + 651, + 325 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Proof. Without loss of generality, assume $\\boldsymbol { X }$ is represented in aligned SNR coordinates (Section D.2). Observation 1, the differential of the singular value decomposition (see Equation 17 of Townsend (2016)), and Observation 3 collectively imply that for any2 $\\mathbf { \\bar { \\Psi } } \\mathrm { d } \\mathbf { X } \\in T _ { X } \\mathcal { X }$ , ", + "bbox": [ + 173, + 342, + 825, + 386 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/ed31e6116ac37409336af2e3be4c9fce583f28fd70ffc9a64b654e0054874fce.jpg", + "text": "$$\n\\mathrm { d } \\omega _ { j } \\left( \\mathrm { d } \\boldsymbol { X } \\right) = e _ { j } ^ { \\top } \\mathrm { d } \\Omega \\left( \\mathrm { d } \\boldsymbol { X } \\right) e _ { j } = \\frac { 1 } { N } e _ { j } ^ { \\top } \\mathrm { d } \\boldsymbol { X } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = \\frac { 1 } { N } \\boldsymbol { y } _ { j } ^ { \\top } \\mathrm { d } \\boldsymbol { x } _ { j } .\n$$", + "text_format": "latex", + "bbox": [ + 284, + 392, + 715, + 422 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Recall that the differential of $\\omega _ { j }$ only depends on the differential of $\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { j } }$ (see Lemma 3). Then, we can apply the chain rule: ", + "bbox": [ + 171, + 429, + 823, + 458 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/6bcf44bee5ae1432c7848f2476c23025da0b6a671fb66bd703911ca55c79074a.jpg", + "text": "$$\n\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { \\mathrm { d } \\omega _ { j } } { \\mathrm { d } x _ { j } } \\frac { \\mathrm { d } { \\pmb x } _ { j } } { \\mathrm { d } t } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } { \\pmb y } _ { j } ^ { \\top } \\left( \\frac { 1 } { N } { \\pmb y } _ { j } - \\omega _ { j } C { \\pmb x } _ { j } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 300, + 464, + 696, + 501 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "where the last equality results substituting-in Lemma 4 and Equation 28. Since $\\boldsymbol { Y } \\boldsymbol { Y } ^ { \\intercal } = N \\boldsymbol { I }$ ", + "bbox": [ + 171, + 510, + 785, + 525 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/c8d80e4da41e85bccd681c6f51214d53f648045d34601c25f88f57bec1b82acb.jpg", + "text": "$$\n{ \\frac { 1 } { N ^ { 2 } } } { \\pmb y } _ { j } ^ { \\top } { \\pmb y } _ { j } = { \\frac { 1 } { N } } .\n$$", + "text_format": "latex", + "bbox": [ + 442, + 531, + 555, + 563 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Applying the same relation and Equation 21: ", + "bbox": [ + 174, + 569, + 468, + 584 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/0f6d49172a20c17b3bec567d5f048795f7ce8ddf8889b075b1e2b29e6dc43e67.jpg", + "text": "$$\n\\boldsymbol { x } _ { j } ^ { \\top } \\boldsymbol { C } \\boldsymbol { y } _ { j } = e _ { j } ^ { \\top } \\boldsymbol { X } \\boldsymbol { C } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = \\frac { 1 } { \\boldsymbol { C } N } e _ { j } ^ { \\top } \\boldsymbol { X } \\left( \\boldsymbol { I } - \\frac { 1 } { N } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { Y } \\right) \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = 0 .\n$$", + "text_format": "latex", + "bbox": [ + 269, + 590, + 727, + 626 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Combining all the above equations, we obtain ", + "bbox": [ + 174, + 632, + 475, + 647 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/a6a9a313980ee42d3fdf1e5a0808cb2700d0ffe12375c24951d40245b638ed5e.jpg", + "text": "$$\n\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } .\n$$", + "text_format": "latex", + "bbox": [ + 418, + 654, + 578, + 690 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "The closed-form given in Proposition 2 now directly follows. ", + "bbox": [ + 173, + 729, + 573, + 746 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Proposition 2 (Dynamics of Singular Values of SNR Matrix). Continually renormalized gradient flow on the central path (Equation 5) induces the following closed-form dynamics on the SNR singular values (Definition 2): ", + "bbox": [ + 173, + 750, + 826, + 791 + ], + "page_idx": 29 + }, + { + "type": "equation", + "img_path": "images/568aa2007ffbb8065fe7c46b670f61b2e92abfcae931961001b9ffc85b3760c8.jpg", + "text": "$$\nc _ { 1 } \\log ( \\omega _ { j } ( t ) ) + c _ { 2 } \\omega _ { j } ^ { 2 } ( t ) + c _ { 3 } \\omega _ { j } ^ { 4 } ( t ) = a _ { j } + t , \\quad t \\geq 0 , \\quad f o r a l l j = 1 , \\ldots , C - 1 .\n$$", + "text_format": "latex", + "bbox": [ + 225, + 797, + 771, + 819 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "$c _ { 1 } , \\ : c _ { 2 }$ , and $c _ { 3 }$ are positive constants independent of $j$ , and $a _ { j }$ is a constant depending on $\\omega _ { j } ( 0 )$ . ", + "bbox": [ + 174, + 825, + 799, + 842 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "Proof. Follows from symbolically solving the ODE in Lemma 5 with routine methods. The constants are ${ \\dot { c } } _ { 1 } = C ^ { 2 } N$ , $c _ { 2 } = C N$ , and $\\begin{array} { r } { c _ { 3 } = \\frac { N } { 4 } } \\end{array}$ . □ ", + "bbox": [ + 174, + 858, + 818, + 890 + ], + "page_idx": 29 + }, + { + "type": "text", + "text": "D.5 PROOF OF COROLLARY 1 ", + "text_level": 1, + "bbox": [ + 174, + 103, + 392, + 117 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Corollary 1 (Properties of SNR Singular Values). SNR singular values (Definition 2) following the Equation 9 dynamics satisfy the following limiting behaviors: ", + "bbox": [ + 169, + 128, + 823, + 159 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/95a1b3f8146eda9c3b411b9c18502de536e9ea344aab9368e3c1cf38a7fecdd6.jpg", + "text": "$$\n\\begin{array} { r l } & { 1 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\omega _ { j } ( t ) = \\infty \\quad a n d \\quad \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { t / c _ { 3 } } } = 1 , \\quad f o r a l l \\ j = 1 , \\ldots , C - 1 . } \\\\ & { } \\\\ & { 2 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 210, + 165, + 763, + 228 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Proof. As $t$ tends to infinity, the right-hand side of Equation 9 diverges to infinity and therefore so does the left-hand side (LHS). As the LHS approaches infinity, the logarithmic terms become negligible compared to the dominant quartic term, implying $\\omega _ { j } ^ { 4 } ( t ) \\bar { \\infty }$ . Since $\\omega _ { j } ( t )$ are singular values, they must be non-negative—implying $\\omega _ { j } ( t ) \\to { \\dot { \\infty } }$ . Based on the same argument, observe that limt→∞ $\\begin{array} { r } { \\operatorname* { l i m } _ { t \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { \\frac { t } { c _ { 3 } } } } = 1 } \\end{array}$ for all $j$ . Since the constant $c _ { 3 }$ is independent of $j$ , it follows that $\\begin{array} { r } { \\operatorname* { l i m } _ { t \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 } \\end{array}$ . ", + "bbox": [ + 173, + 237, + 826, + 347 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "D.6 PROOF OF COROLLARY 2 ", + "text_level": 1, + "bbox": [ + 174, + 359, + 393, + 376 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Lemma 6. Under continually renormalized gradient flow (Equation 5), the left and right singular vectors of the SNR matrix remain constant i.e. they are independent of t. ", + "bbox": [ + 173, + 386, + 823, + 415 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Proof. Without loss of generality, assume $\\boldsymbol { X }$ is in represented in aligned SNR coordinates (Section D.2). Recall that, in this coordinate system, the corresponding SNR matrix $\\Omega = N ^ { - 1 } \\dot { X } Y ^ { \\top }$ is diagonal, and the left and right singular vectors are simply partial identity matrices. ", + "bbox": [ + 174, + 429, + 825, + 473 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "To show that the singular values of the SNR remain constant, it then suffices to show that $\\scriptstyle { \\frac { \\mathrm { d } \\Omega } { \\mathrm { d } t } } = { \\frac { \\mathrm { d } X } { \\mathrm { d } t } } Y$ is a diagonal matrix as well21. Lemma 4 gives ", + "bbox": [ + 171, + 478, + 823, + 510 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/42339514130359a86ab5f3526ed19871ebc372a9dbcd16f65e14fec53b1cb49c.jpg", + "text": "$$\n\\frac { \\mathrm { d } } { \\mathrm { d } t } X = \\frac { 1 } { N } D _ { 1 } Y - D _ { 2 } X C\n$$", + "text_format": "latex", + "bbox": [ + 401, + 512, + 594, + 542 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "where $D _ { 1 }$ and $D _ { 2 }$ are $C { \\times } C$ diagonal matrices with the diagonal entries $\\left\\{ \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\right\\} _ { c = 1 } ^ { C }$ and $\\left\\{ \\frac { \\omega _ { j } ^ { 2 } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\right\\} _ { c = 1 } ^ { C }$ , respectively. Then, ", + "bbox": [ + 173, + 546, + 826, + 604 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/3b8a6bcefbfe5dea641c2ca9658bc2db1cf096be0b1c203a336e30fea31428bf.jpg", + "text": "$$\n{ \\frac { \\mathrm { d } } { \\mathrm { d } t } } \\Omega = \\left( { \\frac { \\mathrm { d } } { \\mathrm { d } t } } X \\right) Y ^ { \\top } = { \\frac { 1 } { N } } D _ { 1 } Y Y ^ { \\top } - D _ { 2 } X C Y ^ { \\top } = D _ { 1 } ,\n$$", + "text_format": "latex", + "bbox": [ + 299, + 604, + 697, + 640 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "where, in the last equality, we used the easy-to-check identities that $\\boldsymbol { Y } \\boldsymbol { Y } ^ { \\intercal } = \\boldsymbol { N } \\boldsymbol { I } _ { \\boldsymbol { C } }$ and $C Y { = } \\mathbf { 0 }$ . In more detail, the first identity follows from the fact that $\\mathbf { Y }$ is the one-hot label vectors stacked as columns; the second identity follows from the facts that $C$ is the class-centering matrix, and the one-hot label is the same for examples from the same class. Thus, we have shown dΩdt is diagonal, which concludes our proof. □ ", + "bbox": [ + 173, + 642, + 826, + 713 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Lemma 7. A matrix $\\pmb { { \\cal E } } \\in \\mathbb { R } ^ { P \\times C }$ is a Simplex ETF if and only if ", + "bbox": [ + 173, + 718, + 598, + 736 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "1. $\\pmb { \\cal E }$ has exactly $C { - } 1$ non-zero singular values, which are all equal. ", + "bbox": [ + 210, + 744, + 665, + 761 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "2. $\\pmb { \\cal E }$ has a rank-1 nullspace spanned by the ones vector, i.e., $\\mathbf { \\delta E 1 } _ { C } { = } \\mathbf { 0 } .$ . In other words, $\\pmb { { \\cal E } }$ has zero-mean columns. ", + "bbox": [ + 209, + 767, + 823, + 797 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "Proof. First, recall from Papyan, Han, and Donoho (2020, Definition 1) that a $P { \\times } C$ matrix $\\pmb { \\cal E }$ is called a Simplex ETF if it satisfies ", + "bbox": [ + 173, + 811, + 821, + 840 + ], + "page_idx": 30 + }, + { + "type": "equation", + "img_path": "images/c174e24f3fe6f85365b5737be23abb1aeac002ad5b6a8183d8bb3351453c6a5a.jpg", + "text": "$$\n\\pmb { E } ^ { \\top } \\pmb { E } = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathrm { 1 } } _ { C } \\pmb { \\mathrm { 1 } } _ { C } ^ { \\top } \\right)\n$$", + "text_format": "latex", + "bbox": [ + 367, + 843, + 630, + 877 + ], + "page_idx": 30 + }, + { + "type": "text", + "text": "for some scaling $\\alpha { > } 0$ . We now prove the equivalence. ", + "bbox": [ + 173, + 103, + 531, + 118 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Simplex ETF implies 1-2: Consider the SVD decomposition $\\scriptstyle { E = U _ { E } S _ { E } V _ { E } ^ { \\intercal } }$ , where $U _ { E }$ is a $\\overline { { P \\times ( C - 1 ) } }$ partial orthogonal matrix satisfying $U _ { E } ^ { \\top } U _ { E } { = } I$ , $S _ { E }$ is the $( C { - } 1 ) { \\times } ( C { - } 1 )$ diagonal matrix of singular values, and $V _ { E } ^ { \\top }$ is a $( C { - } 1 ) { \\times } C$ partial orthogonal matrix satisfying $V _ { E } ^ { \\top } V _ { E } { = } I$ . Since $\\pmb { \\cal E }$ is a Simplex ETF, by definition, ", + "bbox": [ + 173, + 123, + 826, + 186 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/baeadfeb005f33c592a6d8f1b80bf2306477262dd74526514d666298e5a1868f.jpg", + "text": "$$\n\\pmb { E } ^ { \\top } \\pmb { E } = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathrm { 1 } } _ { C } \\pmb { \\mathrm { 1 } } _ { C } ^ { \\top } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 362, + 190, + 633, + 226 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "and according to the SVD decomposition ", + "bbox": [ + 174, + 229, + 446, + 244 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/7b7357d3d0fa203689056cbd3596ab51c118adb614de42f5d84a4a6609f3bdb9.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { E } ^ { \\top } \\pmb { E } = V _ { E } S _ { E } \\pmb { U } _ { E } ^ { \\top } \\pmb { U } _ { E } S _ { E } \\pmb { V } _ { E } ^ { \\top } = V _ { E } S _ { E } ^ { 2 } \\pmb { V } _ { E } ^ { \\top } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 343, + 248, + 651, + 268 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Therefore, ", + "bbox": [ + 173, + 272, + 245, + 287 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/52c9794d62b301a34a97a39b9ef4b36488075bc2f442d7ce6134c2af187c9a9b.jpg", + "text": "$$\nV _ { E } S _ { E } ^ { 2 } V _ { E } ^ { \\top } = \\alpha \\left( \\frac { C } { C - 1 } { \\cal I } - \\frac { 1 } { C - 1 } \\mathbb { 1 } _ { C } \\mathbb { 1 } _ { C } ^ { \\top } \\right) .\n$$", + "text_format": "latex", + "bbox": [ + 348, + 285, + 650, + 319 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Notice that the right-hand-side has $C { - } 1$ equal singular values. This implies $S _ { E }$ —and, thus, $\\pmb { \\cal E }$ as well—has $C { - } 1$ equal singular values. In other words, $S _ { E }$ is a $( C - 1 ) \\times ( \\bar { C } - 1 )$ diagonal matrix equal to $\\mathrm { d i a g } ( s , \\ldots , s )$ for some scalar $s { > } 0$ . ", + "bbox": [ + 173, + 320, + 826, + 363 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Next, notice that on the one hand ", + "bbox": [ + 174, + 369, + 393, + 383 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/45b27af3d9d96e5925244e5bbc055782c0ef69759edd7e6591a3733359bee701.jpg", + "text": "$$\n\\pmb { { E } } ^ { \\top } \\pmb { { E } } \\pmb { 1 } _ { C } = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { 1 } _ { C } \\pmb { 1 } _ { C } ^ { \\top } \\right) \\pmb { 1 } _ { C } = \\mathbf { 0 } .\n$$", + "text_format": "latex", + "bbox": [ + 326, + 387, + 671, + 422 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "On the other hand, ", + "bbox": [ + 174, + 426, + 297, + 441 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/e5320536eea43801d03a43997be5294185970d4494cdfba4a44e01ea71b3596f.jpg", + "text": "$$\n\\begin{array} { r } { \\pmb { E } ^ { \\top } \\pmb { E } \\mathbb { 1 } _ { C } = V _ { E } \\pmb { S } _ { E } \\pmb { U } _ { E } ^ { \\top } U _ { E } \\pmb { S } _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = V _ { E } \\pmb { S } _ { E } ^ { 2 } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = s ^ { 2 } V _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 259, + 444, + 736, + 463 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Combining the above, we get $V _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } { = } \\mathbf { 0 }$ . Since $V _ { E } V _ { E } ^ { \\top }$ is a $C { \\times } C$ matrix of rank $C { - } 1$ , we deduce that the rank-1 nullspace of $V _ { E } ^ { \\top }$ is spanned by the $C$ -dimensional ones vector, i.e. $V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } { = } \\mathbf { 0 }$ . Consequently, $\\pmb { { \\cal E } }$ has zero-mean columns since $\\scriptstyle { E \\mathbb { 1 } _ { C } = U _ { E } S _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = \\mathbf { 0 } }$ . ", + "bbox": [ + 173, + 467, + 828, + 515 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "1-2 implies Simplex ETF: Assume $\\pmb { \\cal E }$ has exactly $C { - } 1$ non-zero, equal singular values as well as a rank-1 nullspace spanned by the ones-vector, i.e., $\\mathbf { \\delta E 1 } _ { C } { = } \\mathbf { 0 }$ . Then, $\\scriptstyle { E = U _ { E } S _ { E } V _ { E } ^ { \\intercal } }$ where ", + "bbox": [ + 171, + 520, + 828, + 554 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "• $U _ { E }$ is a $P { \\times } ( C { - } 1 )$ partial orthogonal matrix satisfying $U _ { E } ^ { \\top } U _ { E } { = } I$ ; • $\\boldsymbol { S _ { E } } = \\mathrm { d i a g } ( s , . . . , s )$ is a $( C - 1 ) \\times ( C - 1 )$ diagonal matrix for some scalar $s { > } 0$ ; and • $V _ { E } ^ { \\top }$ is a $( C { - } 1 ) { \\times } C$ partial orthogonal matrix satisfying $V _ { E } ^ { \\top } V _ { E } { = } I$ and also satisfying $V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } { = } \\mathbf { 0 }$ . ", + "bbox": [ + 217, + 565, + 826, + 647 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Therefore, ", + "bbox": [ + 173, + 660, + 245, + 675 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/74e383540764fd6e2ba4815c3bace04434fcdac2d547d7e56cde56e7f54fd238.jpg", + "text": "$$\n\\begin{array} { r } { E ^ { \\top } E = V _ { E } S _ { E } U _ { E } ^ { \\top } U _ { E } S _ { E } V _ { E } ^ { \\top } = V _ { E } S _ { E } ^ { 2 } V _ { E } ^ { \\top } = s ^ { 2 } V _ { E } V _ { E } ^ { \\top } . } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 302, + 671, + 696, + 690 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Using our assumptions on $V _ { E }$ , ", + "bbox": [ + 174, + 693, + 377, + 707 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/544257a71d0015696b9da2c7517ae789ce44fe691ab854b2355afd11fb7a7228.jpg", + "text": "$$\nV _ { E } V _ { E } ^ { \\top } + \\frac { 1 } { C } \\mathbf { 1 } _ { C } \\mathbf { 1 } _ { C } ^ { \\top } = I ,\n$$", + "text_format": "latex", + "bbox": [ + 415, + 704, + 581, + 734 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "where we divide each of the ones-vectors by $\\sqrt { C }$ to create a unit vector. Thus, we conclude ", + "bbox": [ + 169, + 737, + 772, + 753 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/20d5271bf54958846bbc8c5f7c565828de2de64488e972fecb26367d0263ea3c.jpg", + "text": "$$\n\\pmb { E } ^ { \\top } \\pmb { E } = s ^ { 2 } \\left( \\pmb { I } - \\frac { 1 } { C } \\pmb { \\mathbb { 1 } } _ { C } \\pmb { \\mathbb { 1 } } _ { C } ^ { \\top } \\right) = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathbb { 1 } } _ { C } \\pmb { \\mathbb { 1 } } _ { C } ^ { \\top } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 287, + 757, + 709, + 792 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "$\\alpha = s ^ { 2 } \\frac { C - 1 } { C }$ . Hence, by definition, $\\pmb { \\cal E }$ is a Simplex ETF. ", + "bbox": [ + 173, + 797, + 581, + 815 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "Corollary 2 (Neural Collapse Under MSE Loss). Under continually renormalized gradient flow (Equation 5), the SNR matrix (Equation 8) converges to ", + "bbox": [ + 173, + 820, + 826, + 851 + ], + "page_idx": 31 + }, + { + "type": "equation", + "img_path": "images/01a35d215a63616cab4c7d3525d2da97c298fd01e481212c5dbbbed22e88a14c.jpg", + "text": "$$\n\\operatorname* { l i m } _ { t \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\mathrm { S N R } _ { t } = \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ,\n$$", + "text_format": "latex", + "bbox": [ + 395, + 854, + 604, + 887 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "where $\\widehat { U } _ { 0 } \\in \\mathbb { R } ^ { P \\times ( C - 1 ) }$ and $\\widehat { V } _ { 0 } \\in \\mathbb { R } ^ { C \\times ( C - 1 ) }$ are the left and right singular vectors of the SNR matrix (Definition 2) at $t { = } 0$ corresponding to the non-zero singular values; and $\\omega _ { \\mathrm { m a x } } ( t )$ is the ", + "bbox": [ + 174, + 892, + 825, + 925 + ], + "page_idx": 31 + }, + { + "type": "text", + "text": "largest singular value at time t. Furthermore, Corollary 1 implies the occurrence of (NC1)-(NC4) i.e. \nrenormalized gradient flow on the central path leads to Neural Collapse. ", + "bbox": [ + 171, + 103, + 825, + 132 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Moreover, denoting the Kronecker product with $\\otimes$ , the renormalized features matrix converges to ", + "bbox": [ + 176, + 138, + 807, + 154 + ], + "page_idx": 32 + }, + { + "type": "equation", + "img_path": "images/7d69f595d9bab32f21ae43fbc937515e4800b19306add95f7c8fbce6bd150f5a.jpg", + "text": "$$\n\\operatorname* { l i m } _ { t \\to \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\Sigma _ { W , t } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } _ { t } = ( \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ) \\otimes \\mathbf { 1 } _ { N } ^ { \\top } .\n$$", + "text_format": "latex", + "bbox": [ + 359, + 155, + 640, + 188 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Proof. Derivation of Equation 10: Corollary 1 proves the singular values $j = 1 , \\ldots , C - 1$ of $\\mathrm { S N R } _ { t }$ diverge to infinity and that their ratio tends to one. By Lemma 6, the renormalized gradient flow will not change the singular vectors of the SNR matrix, and—combined with the fact that the singular values converge to equality (second fact of Corollary 1)—we get the limit in Equation 10. ", + "bbox": [ + 173, + 200, + 825, + 257 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Derivation of (NC1): Let $s _ { j } ( \\cdot )$ denote the $j$ -th singular value of its argument. Then, observe that ", + "bbox": [ + 181, + 263, + 803, + 279 + ], + "page_idx": 32 + }, + { + "type": "equation", + "img_path": "images/0da9cda1cef3940851e69dc212456548bd5ee36c71bf15b5f7f615fb8ce4f1f2.jpg", + "text": "$$\n\\begin{array} { r l r } { \\operatorname { t r } ( \\sum _ { \\stackrel { k , l } { n , k } } ^ { 1 } \\sum _ { W , k } ) = C \\operatorname { t r } ( ( M , M _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ) } & { \\qquad } & { \\mathrm { ( D e f . ~ o f ~ \\Sigma _ { B } , \\phi ~ ) } } \\\\ & { = C \\operatorname { t r } ( \\Sigma _ { W , k } ^ { \\uparrow } ( \\overline { { M } } _ { t } \\overline { { M } } _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ^ { \\frac { \\eta } { \\eta } } ) } & { \\mathrm { ( C y c l e c ~ \\eta ~ o p o r t y ~ o f ~ t r a c e ) } } \\\\ & { = C \\frac { - 1 } { \\gamma _ { 2 } } s _ { j } ( \\Sigma _ { W , k } ^ { \\uparrow } ( M _ { t } M _ { t } ^ { \\prime } ) ^ { \\top } ) \\Sigma _ { W , l } ^ { \\frac { 1 } { \\eta } } ) } & { \\mathrm { ( f r a c t ~ s u s ~ m o f ~ s i n g u l a r ~ v a l u e s ) } } \\\\ & { = C \\frac { - 1 } { \\gamma _ { 2 } } s _ { j } ^ { - 1 } ( \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } ( \\overline { { M } } _ { t } \\overline { { M } } _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } ) } & { \\mathrm { ( f r a c t ~ s u p ~ \\eta ~ o f ~ \\eta ~ s u p i o t i o n v e r s e ) } } \\\\ & { = C \\displaystyle \\sum _ { \\stackrel { k , l } { n = 1 } } ^ { \\infty } s _ { j } ^ { - 1 } ( \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } \\overline { { M } } _ { t } ) \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } } & { \\mathrm { ( D e f . ~ o f ~ p e s u l o n v e r s e ) } } \\\\ & { = C \\displaystyle \\sum _ { j = 1 } ^ { \\infty } s _ { j } ^ { - 2 } ( \\Sigma _ { W , j } ^ { - \\frac { 1 } { \\eta } } \\overline { { M } } _ { j } ) } & \\\\ & { = \\displaystyle \\sum _ { j = 1 } ^ { \\infty } \\frac { 1 } { \\gamma _ { 2 } ( j ) } \\frac { 1 } { \\alpha ^ { j } ( k ) } \\exp ( \\mathrm { ~ C o v i l l a r ~ \\eta ~ } ) } & \\mathrm ( C o v e r \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 194, + 281, + 807, + 522 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "By Horn & Johnson (2012, Theorem 1.3.22), ", + "bbox": [ + 174, + 521, + 470, + 536 + ], + "page_idx": 32 + }, + { + "type": "equation", + "img_path": "images/252ee87a4052855955d25f01bccb6b0da25f1ce1fb643390274176d826bcc290.jpg", + "text": "$$\n\\begin{array} { r } { \\lambda _ { j } ( \\Sigma _ { B , t } ^ { \\dag } \\Sigma _ { W , t } ) = \\lambda _ { j } ( \\Sigma _ { W , t } ^ { 0 . 5 } \\Sigma _ { B , t } ^ { \\dag } \\Sigma _ { W , t } ^ { 0 . 5 } ) \\geq 0 , } \\end{array}\n$$", + "text_format": "latex", + "bbox": [ + 354, + 539, + 642, + 559 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "positive-semidefiniteness of Σ0.5W,tΣ†B,tΣ0.5W,t. Since the trace is the sum of eigenvalues, the only way† for the trace of to tend to zero is if all eigenvalues also tend to zero. All eigenvalues tending to zero implies the matrix itself tends to zero, i.e. ", + "bbox": [ + 173, + 561, + 825, + 628 + ], + "page_idx": 32 + }, + { + "type": "equation", + "img_path": "images/06d799117c71ead88ed69ef64d7aba4efc7fe9343dfc8998f61d3e2324390d0a.jpg", + "text": "$$\n\\operatorname* { l i m } _ { t \\infty } \\Sigma _ { B , t } ^ { \\dagger } \\Sigma _ { W , t } = \\mathbf { 0 } ,\n$$", + "text_format": "latex", + "bbox": [ + 428, + 630, + 568, + 655 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "which is the definition of (NC1) in Section 1.1. ", + "bbox": [ + 174, + 655, + 482, + 670 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Derivation of (NC2)-(NC4): Recall that the SNR matrix has zero-mean columns and rank $C { - } 1$ (see Definition 2). This, combined with the fact that the singular values converge to equality (second fact of Corollary 1) imply, by Lemma 7, that the renormalized class-means converge to a Simplex ETF i.e. (NC2) . ", + "bbox": [ + 173, + 676, + 826, + 733 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "From Theorem 1 of Papyan, Han, and Donoho (2020), we then know that (NC3) and (NC4) follow from (NC1) and (NC2) on the central path. ", + "bbox": [ + 174, + 739, + 825, + 770 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "Derivation of Equation 11: Combining the limit in Equation 10 with (NC1) proves the limit in Equation 11. ", + "bbox": [ + 174, + 775, + 823, + 804 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "E RELATED WORKS EXAMINING NEURAL COLLAPSE ", + "text_level": 1, + "bbox": [ + 176, + 823, + 629, + 840 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "In this section, we discuss the contributions and limitations of seven recent works that propose and analyze theoretical abstractions of Neural Collapse. These works are only available in preprint, and may not yet be peer-reviewed. Thus, they might ultimately appear with very different claims or results. Additionally, works such as Poggio & Liao (2020a;b); Ergen & Pilanci (2020) also analyze behaviors other than NC; we will only discuss the parts relevant to Neural Collapse here. ", + "bbox": [ + 174, + 853, + 825, + 924 + ], + "page_idx": 32 + }, + { + "type": "text", + "text": "E.1 MIXON, PARSHALL, AND PI (2020) ", + "text_level": 1, + "bbox": [ + 176, + 103, + 462, + 118 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "Mixon et al. (2020) considered the unconstrained features model in Equation 2 (without weight decay) where, under gradient flow, $( W , H )$ evolve according to a nonlinear ordinary differential equation (ODE). They followed a two-step strategy for studying Neural Collapse. First, they linearized the ODE—claiming nonlinear terms are negligible for models initialized near the origin—and proved the simplified ODE converges to a subspace of $( W , H )$ satisfying (NC1) and (NC3) . Second, they proved that gradient flow, restricted to that subspace, converges to (NC2) . ", + "bbox": [ + 173, + 130, + 825, + 214 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "The assumption of small weights and classifiers leading to the linearized ODE is not aligned with today’s paradigm. Specifically, the most commonly used He initialization (He et al., 2015) is designed: (i) to create weights with non-negligible magnitude; and (ii) to preserve the magnitude of features, as they propagate throughout the layers of the network, exactly so that last-layer features would have non-negligible magnitude. Moreover, the analysis of Mixon et al. essentially assumes that (NC1) and (NC3) occur much sooner than (NC2) . However, from the experiments in both Papyan, Han, and Donoho (2020) and this paper, there is no empirical evidence that (NC2) happens slower than (NC1) and (NC3) in practice. ", + "bbox": [ + 173, + 219, + 825, + 333 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "E.2 LU AND STEINERBERGER (2020) ", + "text_level": 1, + "bbox": [ + 176, + 352, + 446, + 366 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "While the MSE loss provides a mathematically natural setting for analysis, the modern paradigm in multi-class classification with deep learning involves training with CE loss, which is more challenging to analyze than MSE. ", + "bbox": [ + 176, + 378, + 823, + 420 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "Lu & Steinerberger (2020) studied the (one-example-per-class) unconstrained22 features model with CE loss: ", + "bbox": [ + 174, + 426, + 823, + 455 + ], + "page_idx": 33 + }, + { + "type": "equation", + "img_path": "images/bb9de1df43981ebb6424b4835a2ff8b51d8638f1c6199b8635568c3173344eee.jpg", + "text": "$$\n\\operatorname* { m i n } _ { W , M } \\mathrm { C E } ( W , M ) \\quad \\mathrm { s . t . } \\quad \\| w _ { c } \\| _ { 2 } = \\| \\pmb { \\mu } _ { c } \\| _ { 2 } = 1 .\n$$", + "text_format": "latex", + "bbox": [ + 339, + 457, + 656, + 482 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "Since under linear separability the CE loss can be driven arbitrarily close to zero, just by re-scaling the norms of $W$ and $M$ , the authors further imposed a norm constraint on ${ \\pmb w } _ { c }$ and $\\pmb { \\mu } _ { c }$ . Lu & Steinerberger observe that the global minimizer of this optimization problem is only achieved once $W$ and $M$ are the same Simplex ETF. This derivation is suggestive, but it does not identify closed-form dynamics which would get gradient flow to such a global minimizer, nor does it address the rate of convergence to Neural Collapse. Additionally, the constraint on $\\pmb { \\mu } _ { c }$ possesses no immediate or direct analogy to standard deep net training—where procedures often control the norm of the weights $W$ , but not features $\\pmb { H }$ —nor class-means $M$ . ", + "bbox": [ + 173, + 487, + 825, + 599 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "E.3 E AND WOJTOWYTSCH (2020) ", + "text_level": 1, + "bbox": [ + 176, + 617, + 429, + 633 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "E & Wojtowytsch (2020) also consider the unconstrained features model22 with CE loss, ", + "bbox": [ + 171, + 645, + 751, + 660 + ], + "page_idx": 33 + }, + { + "type": "equation", + "img_path": "images/cfa7372619eb0da0b2383a99cc71bb3580ca4a9497b948ebb3270367e1312b33.jpg", + "text": "$$\n\\operatorname* { m i n } _ { W , H } \\quad \\mathrm { C r o s s E n t r o p y } ( W H ) \\quad \\mathrm { s . t . } \\quad \\| W \\| _ { 2 } \\leq 1 , \\ \\| h _ { i , c } \\| _ { 2 } \\leq 1 ,\n$$", + "text_format": "latex", + "bbox": [ + 289, + 667, + 705, + 694 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "where they adopt a more technical, spectral norm constraint on $W$ to specify their model. ", + "bbox": [ + 169, + 702, + 759, + 717 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "Building on the results of Chizat & Bach (2018; 2020), E & Wojtowytsch also construct a simple counter-example showing that Neural Collapse need not occur in two-layer, infinite-width networks— which have been the focus of intense recent study in the theoretical deep learning community (Mei et al., 2018; Rotskoff & Vanden-Eijnden, 2018; Arora et al., 2019). Thus, E & Wojtowytsch’s counterexample suggests the alternative perspective that, despite the expressiveness of infinite-width, two-layer networks, such abstractions do not capture key aspects of trained deep nets. ", + "bbox": [ + 174, + 723, + 826, + 808 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "As with Lu & Steinerberger (2020), standard deep net training does not possess any direct analogies for constraining the norm of features (as opposed to weights)—nor are there any paradigmatic regularizations that correspond to controlling the spectral norm on $W$ . Moreover, the work does not characterize any closed-form dynamics or the rate of convergence to Neural Collapse. ", + "bbox": [ + 174, + 814, + 825, + 871 + ], + "page_idx": 33 + }, + { + "type": "text", + "text": "E.4 POGGIO & LIAO (2020A;B) (WITH BANBURSKI) ", + "text_level": 1, + "bbox": [ + 173, + 103, + 549, + 118 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Distinguished from the simplified unconstrained features models in the previously mentioned works is the theoretical analysis of Poggio & Liao (2020a;b) (in a special section, co-authored with Andrzej Banburski). ", + "bbox": [ + 176, + 130, + 823, + 171 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "The authors study deep homogeneous classification networks, with weight normalization layers, trained with stochastic gradient descent and weight decay. This is much closer to today’s training paradigm, but the setting still differs from the one in which Neural Collapse has been empirically observed in Papyan, Han, and Donoho (2020) and in Section A of this paper. In particular, they replace batch normalization with weight normalization and consider deep homogeneous networks; homogeneous networks can not have bias vectors nor skip connections, which are present both in ResNet and DenseNet. Moreover, the work gives explicit descriptions of neither the dynamics nor the rate of convergence to Neural Collapse. ", + "bbox": [ + 174, + 178, + 825, + 290 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "E.5 ERGEN & PILANCI (2020) ", + "text_level": 1, + "bbox": [ + 176, + 305, + 398, + 320 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "While the above-described works tend to focus on either the used-in-practice CE loss or the theoretically-insightful MSE loss, Ergen & Pilanci (2020) observed that these are both instances of the general class of convex loss functions and, thus, one could derive insights from the classical convex analysis literature. Moreover, compared to Mixon et al. (2020); Lu & Steinerberger (2020); E & Wojtowytsch (2020), this work studies the optimization starting from the second-to-last layer features rather than the last-layer features. In particular, the authors use a strong-duality argument to show that NC emerges in the optimal solution of an equivalent proxy-model to the following optimization: ", + "bbox": [ + 173, + 332, + 825, + 443 + ], + "page_idx": 34 + }, + { + "type": "equation", + "img_path": "images/f77e457127c1839704b9b2156f5490419d5a16377bbf6c0cf9bfcd89d2da4811.jpg", + "text": "$$\n\\operatorname* { m i n } _ { H _ { L - 1 } , W _ { L - 1 } , W _ { L } , \\gamma , \\alpha } \\mathcal { L } \\left( W _ { L } \\left( \\mathrm { B N } _ { \\gamma , \\alpha } \\left( W _ { L - 1 } H _ { L - 1 } \\right) \\right) _ { + } , \\mathbf { Y } \\right) + \\frac { \\lambda } { 2 } \\left( \\left\\| \\gamma \\right\\| _ { 2 } ^ { 2 } + \\left\\| \\alpha \\right\\| _ { 2 } ^ { 2 } + \\left\\| W _ { L } \\right\\| _ { F } ^ { 2 } \\right) ,\n$$", + "text_format": "latex", + "bbox": [ + 192, + 443, + 805, + 476 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "where $\\mathcal { L } ( \\cdot )$ is a general convex loss, $H _ { L - 1 }$ are the second-to-last layer activations, $W _ { L - 1 }$ are the second-to-last layer weights, $W _ { L }$ are the network classifiers, $\\mathbf { Y }$ are the training targets, $\\lambda$ is a weight-decay parameter, $\\mathrm { B N } _ { \\gamma , \\alpha } ( \\cdot )$ is a batch-norm operator parameterized by $\\alpha$ and $\\gamma$ , and $( \\cdot ) _ { + }$ is a ReLU. The incorporation of batch-normalization and weight-decay ensures the existence of bounded, well-defined optimal solutions—serving a similar role to that of weight-normalization and weight decay in Poggio & Liao (2020a;b) as well as the norm constraints in the other aforementioned related works. ", + "bbox": [ + 173, + 478, + 825, + 575 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Since strong-duality only characterizes properties of the converged optimal solution of an optimization model, Ergen & Pilanci (2020) does not provide insights into the dynamics with which that solution is achieved which training. ", + "bbox": [ + 174, + 582, + 825, + 625 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "E.6 FANG, HE, LONG, AND SU (2021) ", + "text_level": 1, + "bbox": [ + 178, + 640, + 452, + 655 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "In Fang et al. (2021), the authors introduce the $\\boldsymbol { \\mathscr { N } }$ -)layer-peeled model in which one considers only the direct optimization of the $N$ -th-to-last layer features of a deep net along with the weights that come after the $N .$ -th-to-last layer. The motivating philosophy is that, after raw inputs are passed through some initial number of layers, the overparameterization of those layers would allow us to effectively model the $N$ -th-to-last layer features as freely-moving in some subset of Euclidean space. In this terminology, the concurrent works of Mixon et al. (2020); Lu & Steinerberger (2020); E & Wojtowytsch (2020) on the unconstrained (last-layer) features model could be considered instances of a 1-layer-peeled model; while the model of Ergen & Pilanci (2020) could be considered as a 2-layer-peeled model. This perspective is attractive because it gives a name and organization to a common modeling philosophy behind the above-described body of independent works. For comparison, the work of Poggio & Liao (2020a;b) is a non-example of layer-peeled modeling as it considers optimization on the weights of homogeneous deep nets and not the input features. ", + "bbox": [ + 173, + 666, + 825, + 833 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "Fang et al. (2021) then analyzes a convex relaxation of the 1-layer-peeled model—with norm constraints on the weights and features—into a semidefinite program. Not only do the authors show that this model exhibits Neural Collapse in the canonical setting of balanced examples-per-class, but they also analyze the behavior of this model under imbalanced classes. While, in the imbalanced case, one would intuitively expect the Simplex ETF to “skew” to have bigger angles around overrepresented classes and smaller angles around under-represented ones; Fang et al. (2021) identifies the surprising phenomenon—named minority collapse—in their model where, when the imbalances pass a certain threshold, the last-layer features and classifiers of the under-represented classes collapse to be exactly the same. However, their work does not provide closed-form dynamics or rates at which collapse—in either the balanced or imbalance case—occurs. ", + "bbox": [ + 174, + 840, + 825, + 924 + ], + "page_idx": 34 + }, + { + "type": "text", + "text": "", + "bbox": [ + 174, + 103, + 825, + 160 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "E.7 ZHU, DING, ZHOU, LI, YOU, SULAM, AND QU (2021) ", + "bbox": [ + 174, + 176, + 591, + 191 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "In Zhu et al. (2021), the authors examine the following unconstrained features model: ", + "bbox": [ + 173, + 202, + 733, + 218 + ], + "page_idx": 35 + }, + { + "type": "equation", + "img_path": "images/7dc354f14d0549a3ce193bfb20ee1a0e5c9765bf28e4063ae71276be05cf7a5b.jpg", + "text": "$$\n\\operatorname* { m i n } _ { W , H , b } \\mathrm { C r o s s E n t r o p y } \\left( W H + b , \\pmb { Y } \\right) + \\frac { \\lambda _ { W } } { 2 } \\left. \\pmb { W } \\right. _ { F } ^ { 2 } + \\frac { \\lambda _ { H } } { 2 } \\left. \\pmb { H } \\right. _ { F } ^ { 2 } + \\frac { \\lambda _ { b } } { 2 } \\left. \\pmb { b } \\right. _ { F } ^ { 2 } ,\n$$", + "text_format": "latex", + "bbox": [ + 235, + 223, + 761, + 255 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "where $( W , b )$ are the classifier weights and biases, $\\pmb { H }$ are the last layer features, and $\\left( \\lambda _ { W } , \\lambda _ { H } , \\lambda _ { b } \\right)$ are weight-decay parameters. On this model, the authors not only prove that all minima exhibit Neural Collapse but also that all local minima are global minima. In comparison to our current paper, Zhu et al. (2021) focus on characterizing the landscape of the loss and, thus, do not explore the dynamics and rate at which such minimizers of the loss are achieved. ", + "bbox": [ + 173, + 262, + 825, + 333 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "Zhu et al. (2021) also make notable empirical contributions by conducting a series of experiments on the MNIST and CIFAR10 datasets trained on MLPs, ResNet18, and ResNet50. Their measurements give evidence for the following novel NC-related phenomena in deep classification networks: ", + "bbox": [ + 174, + 339, + 823, + 382 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "1. NC is algorithm independent: NC emerges in realistic classification deep net training regardless of whether the algorithm is SGD, ADAM, or L-BFGS. \n2. NC occurs on random labels: NC emerges even when the one-hot target vectors are completely shuffled. \n3. Width improves NC: Increasing network width expedites NC when training with random labels. ", + "bbox": [ + 210, + 393, + 825, + 488 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "The authors of Zhu et al. (2021) moreover conducted ablation experiments suggesting that the following substitutions can be made to deep neural net architectures without affecting performance: ", + "bbox": [ + 174, + 500, + 823, + 529 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "1. Weight-decay substitution: Replacing (A) weight-decay on the norm of all network parameters with (B) weight-decay just on the norm of the last-layer features and classifiers. 2. Classifier substitution: Replacing (A) the last-layer classifiers that are trained with SGD with (B) Simplex ETF classifiers that are fixed throughout training. ", + "bbox": [ + 205, + 540, + 825, + 602 + ], + "page_idx": 35 + }, + { + "type": "text", + "text": "While the authors only demonstrated these new behaviors on limited network-dataset combinations, these experiments indeed inspire interesting conjectures about the generalization behavior of deep nets as well as potential architecture design improvements; Zhu et al. (2021) discuss many of these conjectures and related open-questions in detail. 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Donoho", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 383, + 145, + 464, + 158 + ], + "spans": [ + { + "bbox": [ + 383, + 145, + 464, + 158 + ], + "score": 1.0, + "content": "Stanford University", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 384, + 159, + 487, + 168 + ], + "spans": [ + { + "bbox": [ + 384, + 159, + 487, + 168 + ], + "score": 1.0, + "content": "donoho@stanford.edu", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7, + "bbox_fs": [ + 383, + 134, + 487, + 168 + ] + }, + { + "type": "title", + "bbox": [ + 277, + 198, + 333, + 209 + ], + "lines": [ + { + "bbox": [ + 276, + 197, + 335, + 210 + ], + "spans": [ + { + "bbox": [ + 276, + 197, + 335, + 210 + ], + "score": 1.0, + "content": "ABSTRACT", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 142, + 221, + 469, + 452 + ], + "lines": [ + { + "bbox": [ + 141, + 221, + 469, + 234 + ], + "spans": [ + { + "bbox": [ + 141, + 221, + 469, + 234 + ], + "score": 1.0, + "content": "The recently discovered Neural Collapse (NC) phenomenon occurs pervasively", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 141, + 232, + 469, + 245 + ], + "spans": [ + { + "bbox": [ + 141, + 232, + 469, + 245 + ], + "score": 1.0, + "content": "in today’s deep net training paradigm of driving cross-entropy (CE) loss towards", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 141, + 244, + 469, + 256 + ], + "spans": [ + { + "bbox": [ + 141, + 244, + 469, + 256 + ], + "score": 1.0, + "content": "zero. During NC, last-layer features collapse to their class-means, both classifiers", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 141, + 254, + 470, + 267 + ], + "spans": [ + { + "bbox": [ + 141, + 254, + 470, + 267 + ], + "score": 1.0, + "content": "and class-means collapse to the same Simplex Equiangular Tight Frame, and clas-", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 141, + 265, + 470, + 278 + ], + "spans": [ + { + "bbox": [ + 141, + 265, + 470, + 278 + ], + "score": 1.0, + "content": "sifier behavior collapses to the nearest-class-mean decision rule. Recent works", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 141, + 276, + 469, + 289 + ], + "spans": [ + { + "bbox": [ + 141, + 276, + 469, + 289 + ], + "score": 1.0, + "content": "demonstrated that deep nets trained with mean squared error (MSE) loss perform", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 141, + 287, + 469, + 300 + ], + "spans": [ + { + "bbox": [ + 141, + 287, + 469, + 300 + ], + "score": 1.0, + "content": "comparably to those trained with CE. As a preliminary, we empirically establish", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 141, + 298, + 469, + 311 + ], + "spans": [ + { + "bbox": [ + 141, + 298, + 469, + 311 + ], + "score": 1.0, + "content": "that NC emerges in such MSE-trained deep nets as well through experiments on", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 141, + 309, + 469, + 322 + ], + "spans": [ + { + "bbox": [ + 141, + 309, + 469, + 322 + ], + "score": 1.0, + "content": "three canonical networks and five benchmark datasets. We provide, in a Google", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 141, + 320, + 469, + 333 + ], + "spans": [ + { + "bbox": [ + 141, + 320, + 469, + 333 + ], + "score": 1.0, + "content": "Colab notebook, PyTorch code for reproducing MSE-NC and CE-NC: here. The", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 141, + 331, + 469, + 344 + ], + "spans": [ + { + "bbox": [ + 141, + 331, + 469, + 344 + ], + "score": 1.0, + "content": "analytically-tractable MSE loss offers more mathematical opportunities than the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 141, + 342, + 469, + 355 + ], + "spans": [ + { + "bbox": [ + 141, + 342, + 469, + 355 + ], + "score": 1.0, + "content": "hard-to-analyze CE loss, inspiring us to leverage MSE loss towards the theoretical", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 141, + 353, + 469, + 365 + ], + "spans": [ + { + "bbox": [ + 141, + 353, + 469, + 365 + ], + "score": 1.0, + "content": "investigation of NC. We develop three main contributions: (I) We show a new", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 141, + 364, + 469, + 376 + ], + "spans": [ + { + "bbox": [ + 141, + 364, + 469, + 376 + ], + "score": 1.0, + "content": "decomposition of the MSE loss into (A) terms directly interpretable through the", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 141, + 375, + 470, + 387 + ], + "spans": [ + { + "bbox": [ + 141, + 375, + 470, + 387 + ], + "score": 1.0, + "content": "lens of NC and which assume the last-layer classifier is exactly the least-squares", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 141, + 386, + 470, + 398 + ], + "spans": [ + { + "bbox": [ + 141, + 386, + 470, + 398 + ], + "score": 1.0, + "content": "classifier; and (B) a term capturing the deviation from this least-squares classifier.", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 141, + 397, + 470, + 409 + ], + "spans": [ + { + "bbox": [ + 141, + 397, + 470, + 409 + ], + "score": 1.0, + "content": "(II) We exhibit experiments on canonical datasets and networks demonstrating that", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 408, + 470, + 420 + ], + "spans": [ + { + "bbox": [ + 141, + 408, + 470, + 420 + ], + "score": 1.0, + "content": "term-(B) is negligible during training. This motivates us to introduce a new theo-", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 141, + 419, + 469, + 431 + ], + "spans": [ + { + "bbox": [ + 141, + 419, + 469, + 431 + ], + "score": 1.0, + "content": "retical construct: the central path, where the linear classifier stays MSE-optimal", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 141, + 430, + 470, + 443 + ], + "spans": [ + { + "bbox": [ + 141, + 430, + 470, + 443 + ], + "score": 1.0, + "content": "for feature activations throughout the dynamics. (III) By studying renormalized", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 441, + 460, + 454 + ], + "spans": [ + { + "bbox": [ + 141, + 441, + 460, + 454 + ], + "score": 1.0, + "content": "gradient flow along the central path, we derive exact dynamics that predict NC.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 22, + "bbox_fs": [ + 141, + 221, + 470, + 454 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 476, + 206, + 489 + ], + "lines": [ + { + "bbox": [ + 105, + 475, + 208, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 208, + 492 + ], + "score": 1.0, + "content": "1 INTRODUCTION", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 504, + 545 + ], + "lines": [ + { + "bbox": [ + 105, + 501, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 501, + 506, + 514 + ], + "score": 1.0, + "content": "Modern deep learning includes paradigmatic procedures that are commonly adopted, but not entirely", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 513, + 505, + 524 + ], + "spans": [ + { + "bbox": [ + 106, + 513, + 505, + 524 + ], + "score": 1.0, + "content": "understood. Some examples are multi-layered architectures, stochastic gradient descent, batch", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 536 + ], + "score": 1.0, + "content": "normalization, cross-entropy (CE) loss, and training past zero error towards zero loss. 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After passing the", + "type": "text" + }, + { + "bbox": [ + 386, + 574, + 390, + 583 + ], + "score": 0.73, + "content": "i", + "type": "inline_equation" + }, + { + "bbox": [ + 390, + 572, + 465, + 586 + ], + "score": 1.0, + "content": "-th example in the", + "type": "text" + }, + { + "bbox": [ + 465, + 574, + 471, + 583 + ], + "score": 0.73, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 572, + 506, + 586 + ], + "score": 1.0, + "content": "-th class", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 105, + 583, + 505, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 583, + 505, + 597 + ], + "score": 1.0, + "content": "through all layers except the last-layer of the network, the network outputs some last-layer features", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 592, + 504, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 594, + 149, + 607 + ], + "score": 0.9, + "content": "\\boldsymbol { h } _ { i , c } \\in \\mathbb { R } ^ { P }", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 592, + 368, + 609 + ], + "score": 1.0, + "content": ". 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The", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 406, + 506, + 419 + ], + "spans": [ + { + "bbox": [ + 106, + 406, + 506, + 419 + ], + "score": 1.0, + "content": "analytically-tractable MSE loss offers more mathematical opportunities than the hard-to-analyze CE", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 417, + 486, + 430 + ], + "spans": [ + { + "bbox": [ + 106, + 417, + 486, + 430 + ], + "score": 1.0, + "content": "loss and inspires this paper’s main theoretical contributions explicitly characterizing MSE-NC.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 19.5 + }, + { + "type": "title", + "bbox": [ + 108, + 442, + 203, + 453 + ], + "lines": [ + { + "bbox": [ + 105, + 441, + 205, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 205, + 455 + ], + "score": 1.0, + "content": "1.3 CONTRIBUTIONS", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 108, + 463, + 261, + 474 + ], + "lines": [ + { + "bbox": [ + 106, + 461, + 262, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 461, + 262, + 475 + ], + "score": 1.0, + "content": "Our main contributions are as follows:", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 133, + 484, + 505, + 633 + ], + "lines": [ + { + "bbox": [ + 133, + 482, + 505, + 497 + ], + "spans": [ + { + "bbox": [ + 133, + 482, + 349, + 497 + ], + "score": 1.0, + "content": "• We propose a new decomposition of the MSE loss:", + "type": "text" + }, + { + "bbox": [ + 350, + 483, + 457, + 496 + ], + "score": 0.92, + "content": "\\mathcal { L } = \\mathcal { L } _ { \\mathrm { N C 1 } } + \\mathcal { L } _ { \\mathrm { N C 2 / 3 } } + \\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp }", + "type": "inline_equation" + }, + { + "bbox": [ + 457, + 482, + 505, + 497 + ], + "score": 1.0, + "content": ". The terms", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 142, + 494, + 506, + 508 + ], + "spans": [ + { + "bbox": [ + 142, + 495, + 164, + 506 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { \\mathrm { N C 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 494, + 184, + 508 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 185, + 495, + 212, + 506 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { \\mathrm { N C } 2 / 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 212, + 494, + 506, + 508 + ], + "score": 1.0, + "content": "possess interpretations attributable to NC phenomena and assume the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 141, + 505, + 505, + 519 + ], + "spans": [ + { + "bbox": [ + 141, + 505, + 181, + 519 + ], + "score": 1.0, + "content": "classifier", + "type": "text" + }, + { + "bbox": [ + 181, + 506, + 195, + 516 + ], + "score": 0.44, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 195, + 505, + 380, + 519 + ], + "score": 1.0, + "content": "is exactly the least-squares optimal classifier", + "type": "text" + }, + { + "bbox": [ + 380, + 506, + 399, + 517 + ], + "score": 0.86, + "content": "W _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 505, + 487, + 519 + ], + "score": 1.0, + "content": "(relative to the given", + "type": "text" + }, + { + "bbox": [ + 487, + 506, + 498, + 516 + ], + "score": 0.7, + "content": "\\pmb { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 499, + 505, + 505, + 519 + ], + "score": 1.0, + "content": ");", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 140, + 516, + 385, + 530 + ], + "spans": [ + { + "bbox": [ + 140, + 516, + 159, + 530 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 159, + 516, + 176, + 529 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 516, + 278, + 530 + ], + "score": 1.0, + "content": "captures the deviation of", + "type": "text" + }, + { + "bbox": [ + 278, + 517, + 291, + 527 + ], + "score": 0.65, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 292, + 516, + 315, + 530 + ], + "score": 1.0, + "content": "from", + "type": "text" + }, + { + "bbox": [ + 315, + 517, + 334, + 528 + ], + "score": 0.81, + "content": "W _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 516, + 385, + 530 + ], + "score": 1.0, + "content": ". 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The invariance motivates the", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 139, + 581, + 507, + 598 + ], + "spans": [ + { + "bbox": [ + 139, + 583, + 341, + 598 + ], + "score": 1.0, + "content": "examination of a representative set of features,", + "type": "text" + }, + { + "bbox": [ + 341, + 581, + 392, + 597 + ], + "score": 0.94, + "content": "\\scriptstyle { X = \\sum _ { W } ^ { - { \\frac { 1 } { 2 } } } H }", + "type": "inline_equation" + }, + { + "bbox": [ + 392, + 583, + 507, + 598 + ], + "score": 1.0, + "content": ", that we call renormalized", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 139, + 596, + 253, + 607 + ], + "spans": [ + { + "bbox": [ + 139, + 596, + 253, + 607 + ], + "score": 1.0, + "content": "features. (Sections 3.1-3.2)", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 133, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 133, + 610, + 505, + 623 + ], + "score": 1.0, + "content": "• We study the gradient flow of those renormalized features along the central path and derive", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 141, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 141, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "exact, closed-form dynamics that imply NC. 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(Sections 3.1-3.2)", + "type": "text" + } + ], + "index": 36, + "is_list_start_line": true, + "is_list_end_line": true + }, + { + "bbox": [ + 133, + 610, + 505, + 623 + ], + "spans": [ + { + "bbox": [ + 133, + 610, + 505, + 623 + ], + "score": 1.0, + "content": "• We study the gradient flow of those renormalized features along the central path and derive", + "type": "text" + } + ], + "index": 37, + "is_list_start_line": true + }, + { + "bbox": [ + 141, + 621, + 505, + 634 + ], + "spans": [ + { + "bbox": [ + 141, + 621, + 505, + 634 + ], + "score": 1.0, + "content": "exact, closed-form dynamics that imply NC. 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These experiments establish that", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 179, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 506, + 194 + ], + "score": 1.0, + "content": "theoretical modeling of MSE-NC is empirically well-motivated. They are lengthy—together spanning", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 191, + 462, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 462, + 204 + ], + "score": 1.0, + "content": "four pages with seven figures and a table—so we collectively defer them to Appendix A.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5 + }, + { + "type": "title", + "bbox": [ + 108, + 218, + 288, + 232 + ], + "lines": [ + { + "bbox": [ + 104, + 217, + 290, + 234 + ], + "spans": [ + { + "bbox": [ + 104, + 217, + 290, + 234 + ], + "score": 1.0, + "content": "2 DECOMPOSITION OF MSE LOSS", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 243, + 505, + 306 + ], + "lines": [ + { + "bbox": [ + 106, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 243, + 505, + 257 + ], + "score": 1.0, + "content": "Inspired by the community’s interest in the role of the MSE loss in deep net training (Demirkaya", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 255, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 255, + 505, + 267 + ], + "score": 1.0, + "content": "et al., 2020; Hui & Belkin, 2020; Mixon et al., 2020; Poggio & Liao, 2020a;b), we derive a new", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 266, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 505, + 278 + ], + "score": 1.0, + "content": "decomposition of the MSE loss that gives insights into the NC phenomenon. First, absorb the bias", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 277, + 504, + 291 + ], + "spans": [ + { + "bbox": [ + 104, + 279, + 396, + 291 + ], + "score": 1.0, + "content": "vector into the weight matrix—by defining the extended weight matrix", + "type": "text" + }, + { + "bbox": [ + 396, + 277, + 504, + 291 + ], + "score": 0.93, + "content": "\\widetilde { W } = [ W , b ] \\in \\mathbb { R } ^ { C \\times ( P + 1 ) }", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 290, + 493, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 234, + 306 + ], + "score": 1.0, + "content": "and the extended feature vector", + "type": "text" + }, + { + "bbox": [ + 234, + 290, + 331, + 306 + ], + "score": 0.93, + "content": "\\widetilde { \\pmb { h } } _ { i , c } = [ \\pmb { h } _ { i , c } ; 1 ] \\in \\mathbb { R } ^ { P + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 291, + 493, + 306 + ], + "score": 1.0, + "content": "—so that Equation 2 can be rewritten as", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 311, + 410, + 336 + ], + "lines": [ + { + "bbox": [ + 201, + 311, + 410, + 336 + ], + "spans": [ + { + "bbox": [ + 201, + 311, + 410, + 336 + ], + "score": 0.91, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\| \\widetilde { W } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } .", + "type": "interline_equation", + "image_path": "6fcc1f97120707f2f52d04c340f251e26c339f4b01fb0274f971a138def97c37.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 201, + 311, + 410, + 336 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 343, + 506, + 372 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 507, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 134, + 362 + ], + "score": 1.0, + "content": "Using", + "type": "text" + }, + { + "bbox": [ + 134, + 342, + 164, + 362 + ], + "score": 0.92, + "content": "\\left\\{ \\widetilde { h } _ { i , c } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 340, + 245, + 362 + ], + "score": 1.0, + "content": ", define the entities", + "type": "text" + }, + { + "bbox": [ + 245, + 344, + 282, + 358 + ], + "score": 0.38, + "content": "\\widetilde { \\mu } _ { c } , \\widetilde { \\mu } _ { G } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 343, + 294, + 357 + ], + "score": 0.47, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 340, + 316, + 362 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 316, + 344, + 334, + 357 + ], + "score": 0.92, + "content": "\\widetilde { \\pmb { \\Sigma } } _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 340, + 507, + 362 + ], + "score": 1.0, + "content": "analogously to those in Section 1.1. We", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 358, + 489, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 489, + 373 + ], + "score": 1.0, + "content": "further define the extended total covariance and extended class-means matrices, respectively, as", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5 + }, + { + "type": "interline_equation", + "bbox": [ + 194, + 376, + 416, + 417 + ], + "lines": [ + { + "bbox": [ + 194, + 376, + 416, + 417 + ], + "spans": [ + { + "bbox": [ + 194, + 376, + 416, + 417 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\widetilde { \\boldsymbol { \\Sigma } } _ { T } = \\underset { i , c } { \\mathrm { A v e } } ( \\widetilde { \\boldsymbol { h } } _ { i , c } - \\widetilde { \\pmb { \\mu } } _ { G } ) ( \\widetilde { \\boldsymbol { h } } _ { i , c } - \\widetilde { \\pmb { \\mu } } _ { G } ) ^ { \\top } \\in \\mathbb { R } ^ { ( P + 1 ) \\times ( P + 1 ) } } \\\\ & { \\widetilde { \\boldsymbol { M } } = [ \\widetilde { \\mu } _ { 1 } , \\dots , \\widetilde { \\pmb { \\mu } } _ { C } ] \\in \\mathbb { R } ^ { ( P + 1 ) \\times C } . } \\end{array}", + "type": "interline_equation", + "image_path": "995863b5bfbb4dc19ceeec7d12c70caff6e24ba379bab2d84575681dd9a813f1.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 194, + 376, + 416, + 396.5 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 194, + 396.5, + 416, + 417.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 420, + 491, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 419, + 491, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 491, + 434 + ], + "score": 1.0, + "content": "Next, we reformulate, with weight decay incorporated, a classic result of Webb & Lowe (1990):", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 105, + 437, + 504, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 474, + 451 + ], + "score": 1.0, + "content": "Proposition 1 (Webb & Lowe (1990) with Weight Decay). For fixed extended features", + "type": "text" + }, + { + "bbox": [ + 474, + 436, + 486, + 448 + ], + "score": 0.8, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 435, + 505, + 451 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 449, + 334, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 279, + 465 + ], + "score": 1.0, + "content": "optimal classifier minimizing the MSE loss", + "type": "text" + }, + { + "bbox": [ + 280, + 449, + 322, + 464 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 450, + 334, + 465 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5 + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 468, + 385, + 492 + ], + "lines": [ + { + "bbox": [ + 225, + 468, + 385, + 492 + ], + "spans": [ + { + "bbox": [ + 225, + 468, + 385, + 492 + ], + "score": 0.94, + "content": "\\widetilde { \\pmb { W } } _ { L S } = \\frac { 1 } { C } \\widetilde { \\pmb { M } } ^ { \\top } ( \\widetilde { \\pmb { \\Sigma } } _ { T } + \\widetilde { \\pmb { \\mu } } _ { G } \\widetilde { \\pmb { \\mu } } _ { G } ^ { \\top } + \\lambda \\pmb { I } ) ^ { - 1 } ,", + "type": "interline_equation", + "image_path": "126e1b3cd768e948d9782a6c58a24a561429302d3d62a3ea3dbd308ec608e526.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 225, + 468, + 385, + 492 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 498, + 370, + 512 + ], + "lines": [ + { + "bbox": [ + 105, + 497, + 370, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 133, + 514 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 501, + 140, + 510 + ], + "score": 0.59, + "content": "\\pmb { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 497, + 268, + 514 + ], + "score": 1.0, + "content": "is the identity matrix. Note that", + "type": "text" + }, + { + "bbox": [ + 269, + 497, + 287, + 511 + ], + "score": 0.9, + "content": "\\widetilde { W _ { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 497, + 336, + 514 + ], + "score": 1.0, + "content": "depends on", + "type": "text" + }, + { + "bbox": [ + 336, + 497, + 348, + 510 + ], + "score": 0.8, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 497, + 370, + 514 + ], + "score": 1.0, + "content": "only.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 108, + 521, + 504, + 548 + ], + "lines": [ + { + "bbox": [ + 105, + 520, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 209, + 537 + ], + "score": 1.0, + "content": "Note that we can interpret", + "type": "text" + }, + { + "bbox": [ + 210, + 520, + 228, + 534 + ], + "score": 0.9, + "content": "\\widetilde { W _ { \\mathrm { L S } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 520, + 291, + 537 + ], + "score": 1.0, + "content": "as a function of", + "type": "text" + }, + { + "bbox": [ + 292, + 520, + 303, + 533 + ], + "score": 0.85, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 520, + 505, + 537 + ], + "score": 1.0, + "content": ", leading us to identify the following decomposition", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 534, + 274, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 117, + 549 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 537, + 126, + 546 + ], + "score": 0.8, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 536, + 239, + 549 + ], + "score": 1.0, + "content": "where one term depends on", + "type": "text" + }, + { + "bbox": [ + 239, + 534, + 250, + 546 + ], + "score": 0.86, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 536, + 274, + 549 + ], + "score": 1.0, + "content": "only.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "text", + "bbox": [ + 106, + 552, + 504, + 580 + ], + "lines": [ + { + "bbox": [ + 106, + 551, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 358, + 567 + ], + "score": 1.0, + "content": "Theorem 1. (Decomposition of MSE Loss; Proof in Appendix", + "type": "text" + }, + { + "bbox": [ + 358, + 555, + 366, + 564 + ], + "score": 0.63, + "content": "\\pmb { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 552, + 429, + 567 + ], + "score": 1.0, + "content": ") The MSE loss,", + "type": "text" + }, + { + "bbox": [ + 430, + 551, + 473, + 566 + ], + "score": 0.93, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 552, + 506, + 567 + ], + "score": 1.0, + "content": ", can be", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 565, + 403, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 220, + 581 + ], + "score": 1.0, + "content": "decomposed into two terms,", + "type": "text" + }, + { + "bbox": [ + 220, + 565, + 372, + 579 + ], + "score": 0.93, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { L S } ( \\widetilde { H } ) + \\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 565, + 403, + 581 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5 + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 585, + 408, + 609 + ], + "lines": [ + { + "bbox": [ + 200, + 585, + 408, + 609 + ], + "spans": [ + { + "bbox": [ + 200, + 585, + 408, + 609 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\Vert \\widetilde { W } _ { L S } \\widetilde { h } _ { i , c } - \\pmb { y } _ { i , c } \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { W } _ { L S } \\Vert _ { F } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "339c9ee1b3b936b8e42d7c1b27bbfd2933803660861a2992eeed74600dd17970.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 200, + 585, + 408, + 609 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 616, + 124, + 626 + ], + "lines": [ + { + "bbox": [ + 105, + 616, + 125, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 125, + 627 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 623, + 455, + 647 + ], + "lines": [ + { + "bbox": [ + 156, + 623, + 455, + 647 + ], + "spans": [ + { + "bbox": [ + 156, + 623, + 455, + 647 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathrm { t r } \\bigg \\{ ( \\widetilde { W } - \\widetilde { W } _ { L S } ) \\left( \\widetilde { \\boldsymbol { \\Sigma } } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\boldsymbol { \\mu } } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { L S } ) ^ { \\top } \\bigg \\} .", + "type": "interline_equation", + "image_path": "5071c08d0c7ca3d067a6934299686ab615d2c0f724859aa10bbe271fd499dbef.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 156, + 623, + 455, + 647 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 656, + 504, + 684 + ], + "lines": [ + { + "bbox": [ + 106, + 655, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 161, + 670 + ], + "score": 1.0, + "content": "In the above,", + "type": "text" + }, + { + "bbox": [ + 162, + 655, + 196, + 670 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 656, + 271, + 670 + ], + "score": 1.0, + "content": "is independent of", + "type": "text" + }, + { + "bbox": [ + 271, + 656, + 284, + 668 + ], + "score": 0.87, + "content": "\\widetilde { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 656, + 505, + 670 + ], + "score": 1.0, + "content": ". 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(2020); Hui & Belkin (2020) showed that", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 701, + 505, + 713 + ], + "spans": [ + { + "bbox": [ + 106, + 701, + 505, + 713 + ], + "score": 1.0, + "content": "they require an additional scaling-heuristic on top of the traditional MSE loss. Rigorous investigation into", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 710, + 505, + 724 + ], + "spans": [ + { + "bbox": [ + 105, + 710, + 505, + 724 + ], + "score": 1.0, + "content": "this scaling-heuristic would have demanded mathematical analysis outside the scope of this paper as well as", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 721, + 437, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 437, + 733 + ], + "score": 1.0, + "content": "experimentation that would have consumed expensive amounts of computational resources.", + "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 2022", + "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": [ + 142, + 82, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 141, + 82, + 507, + 95 + ], + "spans": [ + { + "bbox": [ + 141, + 82, + 507, + 95 + ], + "score": 1.0, + "content": "singular value decomposition of the renormalized feature class-means at initialization.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 142, + 94, + 196, + 106 + ], + "spans": [ + { + "bbox": [ + 142, + 94, + 196, + 106 + ], + "score": 1.0, + "content": "(Section 3.3)", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 141, + 82, + 507, + 106 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 114, + 506, + 203 + ], + "lines": [ + { + "bbox": [ + 105, + 114, + 506, + 126 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 506, + 126 + ], + "score": 1.0, + "content": "Additionally, we complement this paper with new, extensive measurements on five benchmark", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 125, + 506, + 138 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 506, + 138 + ], + "score": 1.0, + "content": "datasets—in particular, the MNIST, FashionMNIST, CIFAR10, SVHN, and STL10 datasets6 (Deng", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 136, + 506, + 149 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 506, + 149 + ], + "score": 1.0, + "content": "et al., 2009; Krizhevsky & Hinton, 2009; LeCun et al., 2010; Xiao et al., 2017)—and three canonical", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 147, + 506, + 160 + ], + "spans": [ + { + "bbox": [ + 106, + 147, + 506, + 160 + ], + "score": 1.0, + "content": "deep nets—in particular, the VGG, ResNet, and DenseNet networks (He et al., 2016; Huang et al.,", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 157, + 506, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 506, + 172 + ], + "score": 1.0, + "content": "2017; Simonyan & Zisserman, 2014)—that verify the empirical reality of MSE-NC i.e. they show", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 169, + 506, + 181 + ], + "spans": [ + { + "bbox": [ + 106, + 169, + 506, + 181 + ], + "score": 1.0, + "content": "(NC1)-(NC4) indeed occur for networks trained with MSE loss. These experiments establish that", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 179, + 506, + 194 + ], + "spans": [ + { + "bbox": [ + 105, + 179, + 506, + 194 + ], + "score": 1.0, + "content": "theoretical modeling of MSE-NC is empirically well-motivated. They are lengthy—together spanning", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 191, + 462, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 191, + 462, + 204 + ], + "score": 1.0, + "content": "four pages with seven figures and a table—so we collectively defer them to Appendix A.", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 114, + 506, + 204 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 218, + 288, + 232 + ], + "lines": [ + { + "bbox": [ + 104, + 217, + 290, + 234 + ], + "spans": [ + { + "bbox": [ + 104, + 217, + 290, + 234 + ], + "score": 1.0, + "content": "2 DECOMPOSITION OF MSE LOSS", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 10 + }, + { + "type": "text", + "bbox": [ + 106, + 243, + 505, + 306 + ], + "lines": [ + { + "bbox": [ + 106, + 243, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 243, + 505, + 257 + ], + "score": 1.0, + "content": "Inspired by the community’s interest in the role of the MSE loss in deep net training (Demirkaya", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 255, + 505, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 255, + 505, + 267 + ], + "score": 1.0, + "content": "et al., 2020; Hui & Belkin, 2020; Mixon et al., 2020; Poggio & Liao, 2020a;b), we derive a new", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 266, + 505, + 278 + ], + "spans": [ + { + "bbox": [ + 106, + 266, + 505, + 278 + ], + "score": 1.0, + "content": "decomposition of the MSE loss that gives insights into the NC phenomenon. First, absorb the bias", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 104, + 277, + 504, + 291 + ], + "spans": [ + { + "bbox": [ + 104, + 279, + 396, + 291 + ], + "score": 1.0, + "content": "vector into the weight matrix—by defining the extended weight matrix", + "type": "text" + }, + { + "bbox": [ + 396, + 277, + 504, + 291 + ], + "score": 0.93, + "content": "\\widetilde { W } = [ W , b ] \\in \\mathbb { R } ^ { C \\times ( P + 1 ) }", + "type": "inline_equation" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 290, + 493, + 306 + ], + "spans": [ + { + "bbox": [ + 105, + 291, + 234, + 306 + ], + "score": 1.0, + "content": "and the extended feature vector", + "type": "text" + }, + { + "bbox": [ + 234, + 290, + 331, + 306 + ], + "score": 0.93, + "content": "\\widetilde { \\pmb { h } } _ { i , c } = [ \\pmb { h } _ { i , c } ; 1 ] \\in \\mathbb { R } ^ { P + 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 291, + 493, + 306 + ], + "score": 1.0, + "content": "—so that Equation 2 can be rewritten as", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 13, + "bbox_fs": [ + 104, + 243, + 505, + 306 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 311, + 410, + 336 + ], + "lines": [ + { + "bbox": [ + 201, + 311, + 410, + 336 + ], + "spans": [ + { + "bbox": [ + 201, + 311, + 410, + 336 + ], + "score": 0.91, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\| \\widetilde { W } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } .", + "type": "interline_equation", + "image_path": "6fcc1f97120707f2f52d04c340f251e26c339f4b01fb0274f971a138def97c37.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 201, + 311, + 410, + 336 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 343, + 506, + 372 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 507, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 134, + 362 + ], + "score": 1.0, + "content": "Using", + "type": "text" + }, + { + "bbox": [ + 134, + 342, + 164, + 362 + ], + "score": 0.92, + "content": "\\left\\{ \\widetilde { h } _ { i , c } \\right\\}", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 340, + 245, + 362 + ], + "score": 1.0, + "content": ", define the entities", + "type": "text" + }, + { + "bbox": [ + 245, + 344, + 282, + 358 + ], + "score": 0.38, + "content": "\\widetilde { \\mu } _ { c } , \\widetilde { \\mu } _ { G } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 343, + 294, + 357 + ], + "score": 0.47, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 340, + 316, + 362 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 316, + 344, + 334, + 357 + ], + "score": 0.92, + "content": "\\widetilde { \\pmb { \\Sigma } } _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 340, + 507, + 362 + ], + "score": 1.0, + "content": "analogously to those in Section 1.1. We", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 358, + 489, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 358, + 489, + 373 + ], + "score": 1.0, + "content": "further define the extended total covariance and extended class-means matrices, respectively, as", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 340, + 507, + 373 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 194, + 376, + 416, + 417 + ], + "lines": [ + { + "bbox": [ + 194, + 376, + 416, + 417 + ], + "spans": [ + { + "bbox": [ + 194, + 376, + 416, + 417 + ], + "score": 0.92, + "content": "\\begin{array} { r l } & { \\widetilde { \\boldsymbol { \\Sigma } } _ { T } = \\underset { i , c } { \\mathrm { A v e } } ( \\widetilde { \\boldsymbol { h } } _ { i , c } - \\widetilde { \\pmb { \\mu } } _ { G } ) ( \\widetilde { \\boldsymbol { h } } _ { i , c } - \\widetilde { \\pmb { \\mu } } _ { G } ) ^ { \\top } \\in \\mathbb { R } ^ { ( P + 1 ) \\times ( P + 1 ) } } \\\\ & { \\widetilde { \\boldsymbol { M } } = [ \\widetilde { \\mu } _ { 1 } , \\dots , \\widetilde { \\pmb { \\mu } } _ { C } ] \\in \\mathbb { R } ^ { ( P + 1 ) \\times C } . } \\end{array}", + "type": "interline_equation", + "image_path": "995863b5bfbb4dc19ceeec7d12c70caff6e24ba379bab2d84575681dd9a813f1.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 194, + 376, + 416, + 396.5 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 194, + 396.5, + 416, + 417.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 420, + 491, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 419, + 491, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 419, + 491, + 434 + ], + "score": 1.0, + "content": "Next, we reformulate, with weight decay incorporated, a classic result of Webb & Lowe (1990):", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 419, + 491, + 434 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 437, + 504, + 464 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 505, + 451 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 474, + 451 + ], + "score": 1.0, + "content": "Proposition 1 (Webb & Lowe (1990) with Weight Decay). For fixed extended features", + "type": "text" + }, + { + "bbox": [ + 474, + 436, + 486, + 448 + ], + "score": 0.8, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 435, + 505, + 451 + ], + "score": 1.0, + "content": ", the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 449, + 334, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 279, + 465 + ], + "score": 1.0, + "content": "optimal classifier minimizing the MSE loss", + "type": "text" + }, + { + "bbox": [ + 280, + 449, + 322, + 464 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 322, + 450, + 334, + 465 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 435, + 505, + 465 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 468, + 385, + 492 + ], + "lines": [ + { + "bbox": [ + 225, + 468, + 385, + 492 + ], + "spans": [ + { + "bbox": [ + 225, + 468, + 385, + 492 + ], + "score": 0.94, + "content": "\\widetilde { \\pmb { W } } _ { L S } = \\frac { 1 } { C } \\widetilde { \\pmb { M } } ^ { \\top } ( \\widetilde { \\pmb { \\Sigma } } _ { T } + \\widetilde { \\pmb { \\mu } } _ { G } \\widetilde { \\pmb { \\mu } } _ { G } ^ { \\top } + \\lambda \\pmb { I } ) ^ { - 1 } ,", + "type": "interline_equation", + "image_path": "126e1b3cd768e948d9782a6c58a24a561429302d3d62a3ea3dbd308ec608e526.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 225, + 468, + 385, + 492 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 498, + 370, + 512 + ], + "lines": [ + { + "bbox": [ + 105, + 497, + 370, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 497, + 133, + 514 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 501, + 140, + 510 + ], + "score": 0.59, + "content": "\\pmb { I }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 497, + 268, + 514 + ], + "score": 1.0, + "content": "is the identity matrix. Note that", + "type": "text" + }, + { + "bbox": [ + 269, + 497, + 287, + 511 + ], + "score": 0.9, + "content": "\\widetilde { W _ { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 497, + 336, + 514 + ], + "score": 1.0, + "content": "depends on", + "type": "text" + }, + { + "bbox": [ + 336, + 497, + 348, + 510 + ], + "score": 0.8, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 497, + 370, + 514 + ], + "score": 1.0, + "content": "only.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 497, + 370, + 514 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 521, + 504, + 548 + ], + "lines": [ + { + "bbox": [ + 105, + 520, + 505, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 520, + 209, + 537 + ], + "score": 1.0, + "content": "Note that we can interpret", + "type": "text" + }, + { + "bbox": [ + 210, + 520, + 228, + 534 + ], + "score": 0.9, + "content": "\\widetilde { W _ { \\mathrm { L S } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 520, + 291, + 537 + ], + "score": 1.0, + "content": "as a function of", + "type": "text" + }, + { + "bbox": [ + 292, + 520, + 303, + 533 + ], + "score": 0.85, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 303, + 520, + 505, + 537 + ], + "score": 1.0, + "content": ", leading us to identify the following decomposition", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 534, + 274, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 536, + 117, + 549 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 117, + 537, + 126, + 546 + ], + "score": 0.8, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 126, + 536, + 239, + 549 + ], + "score": 1.0, + "content": "where one term depends on", + "type": "text" + }, + { + "bbox": [ + 239, + 534, + 250, + 546 + ], + "score": 0.86, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 536, + 274, + 549 + ], + "score": 1.0, + "content": "only.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 520, + 505, + 549 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 552, + 504, + 580 + ], + "lines": [ + { + "bbox": [ + 106, + 551, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 106, + 552, + 358, + 567 + ], + "score": 1.0, + "content": "Theorem 1. (Decomposition of MSE Loss; Proof in Appendix", + "type": "text" + }, + { + "bbox": [ + 358, + 555, + 366, + 564 + ], + "score": 0.63, + "content": "\\pmb { B }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 552, + 429, + 567 + ], + "score": 1.0, + "content": ") The MSE loss,", + "type": "text" + }, + { + "bbox": [ + 430, + 551, + 473, + 566 + ], + "score": 0.93, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 552, + 506, + 567 + ], + "score": 1.0, + "content": ", can be", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 565, + 403, + 581 + ], + "spans": [ + { + "bbox": [ + 106, + 565, + 220, + 581 + ], + "score": 1.0, + "content": "decomposed into two terms,", + "type": "text" + }, + { + "bbox": [ + 220, + 565, + 372, + 579 + ], + "score": 0.93, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { L S } ( \\widetilde { H } ) + \\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 372, + 565, + 403, + 581 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 28.5, + "bbox_fs": [ + 106, + 551, + 506, + 581 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 585, + 408, + 609 + ], + "lines": [ + { + "bbox": [ + 200, + 585, + 408, + 609 + ], + "spans": [ + { + "bbox": [ + 200, + 585, + 408, + 609 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\Vert \\widetilde { W } _ { L S } \\widetilde { h } _ { i , c } - \\pmb { y } _ { i , c } \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { W } _ { L S } \\Vert _ { F } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "339c9ee1b3b936b8e42d7c1b27bbfd2933803660861a2992eeed74600dd17970.jpg" + } + ] + } + ], + "index": 30, + "virtual_lines": [ + { + "bbox": [ + 200, + 585, + 408, + 609 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 616, + 124, + 626 + ], + "lines": [ + { + "bbox": [ + 105, + 616, + 125, + 627 + ], + "spans": [ + { + "bbox": [ + 105, + 616, + 125, + 627 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31, + "bbox_fs": [ + 105, + 616, + 125, + 627 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 623, + 455, + 647 + ], + "lines": [ + { + "bbox": [ + 156, + 623, + 455, + 647 + ], + "spans": [ + { + "bbox": [ + 156, + 623, + 455, + 647 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathrm { t r } \\bigg \\{ ( \\widetilde { W } - \\widetilde { W } _ { L S } ) \\left( \\widetilde { \\boldsymbol { \\Sigma } } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\boldsymbol { \\mu } } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { L S } ) ^ { \\top } \\bigg \\} .", + "type": "interline_equation", + "image_path": "5071c08d0c7ca3d067a6934299686ab615d2c0f724859aa10bbe271fd499dbef.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 156, + 623, + 455, + 647 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 656, + 504, + 684 + ], + "lines": [ + { + "bbox": [ + 106, + 655, + 505, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 656, + 161, + 670 + ], + "score": 1.0, + "content": "In the above,", + "type": "text" + }, + { + "bbox": [ + 162, + 655, + 196, + 670 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 197, + 656, + 271, + 670 + ], + "score": 1.0, + "content": "is independent of", + "type": "text" + }, + { + "bbox": [ + 271, + 656, + 284, + 668 + ], + "score": 0.87, + "content": "\\widetilde { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 284, + 656, + 505, + 670 + ], + "score": 1.0, + "content": ". 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Meanwhile,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 118, + 441, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 119, + 210, + 134 + ], + "score": 1.0, + "content": "the deviation component,", + "type": "text" + }, + { + "bbox": [ + 210, + 118, + 262, + 133 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 119, + 441, + 134 + ], + "score": 1.0, + "content": ", captures the divergence from that behavior.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5 + }, + { + "type": "text", + "bbox": [ + 107, + 138, + 504, + 163 + ], + "lines": [ + { + "bbox": [ + 105, + 137, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 214, + 153 + ], + "score": 1.0, + "content": "We can further decompose", + "type": "text" + }, + { + "bbox": [ + 214, + 137, + 249, + 152 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 138, + 506, + 153 + ], + "score": 1.0, + "content": "into two terms, one capturing activation collapse (NC1) and the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 151, + 494, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 151, + 494, + 164 + ], + "score": 1.0, + "content": "other capturing convergence to Simplex ETF of both features and classifiers ((NC2) and (NC3)).", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 164, + 504, + 203 + ], + "lines": [ + { + "bbox": [ + 105, + 163, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 163, + 421, + 178 + ], + "score": 1.0, + "content": "Theorem 2. 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Combined with Theorem 1, we see", + "type": "text" + }, + { + "bbox": [ + 422, + 461, + 478, + 475 + ], + "score": 0.95, + "content": "( \\widetilde { W } , \\widetilde { H } ) \\in \\mathcal { P }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "if and", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 474, + 505, + 489 + ], + "spans": [ + { + "bbox": [ + 106, + 475, + 136, + 489 + ], + "score": 1.0, + "content": "only if", + "type": "text" + }, + { + "bbox": [ + 136, + 474, + 221, + 489 + ], + "score": 0.91, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) { = } \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 475, + 505, + 489 + ], + "score": 1.0, + "content": ". Figure 2 shows that classifier-features pairs lie approximately on the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 486, + 372, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 331, + 501 + ], + "score": 1.0, + "content": "central path during TPT, allowing us to shift focus from", + "type": "text" + }, + { + "bbox": [ + 331, + 488, + 339, + 497 + ], + "score": 0.82, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 486, + 351, + 501 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 351, + 488, + 367, + 498 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 486, + 372, + 501 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5 + }, + { + "type": "title", + "bbox": [ + 107, + 515, + 392, + 527 + ], + "lines": [ + { + "bbox": [ + 105, + 513, + 393, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 393, + 529 + ], + "score": 1.0, + "content": "3 EXACT CLOSED-FORM ANALYSIS ON CENTRAL PATH", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 538, + 505, + 587 + ], + "lines": [ + { + "bbox": [ + 106, + 538, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 144, + 551 + ], + "score": 1.0, + "content": "Consider", + "type": "text" + }, + { + "bbox": [ + 144, + 539, + 169, + 549 + ], + "score": 0.9, + "content": "\\lambda = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 538, + 505, + 551 + ], + "score": 1.0, + "content": "in this section. For the subsequent theory, we adopt the unconstrained features (Mixon", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "et al., 2020) or layer-peeled (Fang et al., 2021) modeling perspective9. We consider continuous", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 560, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 444, + 573 + ], + "score": 1.0, + "content": "training dynamics with gradient flow where time-of-training is denoted by the variable", + "type": "text" + }, + { + "bbox": [ + 444, + 560, + 471, + 572 + ], + "score": 0.8, + "content": "\\cdot ^ { 1 0 } t { \\geq } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 561, + 505, + 573 + ], + "score": 1.0, + "content": ". Within", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 572, + 500, + 590 + ], + "spans": [ + { + "bbox": [ + 105, + 573, + 371, + 590 + ], + "score": 1.0, + "content": "this model, we analyze the dynamics of the renormalized features", + "type": "text" + }, + { + "bbox": [ + 371, + 572, + 421, + 588 + ], + "score": 0.94, + "content": "\\scriptstyle { X = \\sum _ { W } ^ { - { \\frac { 1 } { 2 } } } H }", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 573, + 500, + 590 + ], + "score": 1.0, + "content": "on the central path", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + }, + { + "type": "interline_equation", + "bbox": [ + 237, + 589, + 372, + 613 + ], + "lines": [ + { + "bbox": [ + 237, + 589, + 372, + 613 + ], + "spans": [ + { + "bbox": [ + 237, + 589, + 372, + 613 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } \\pmb { X } = - \\Pi _ { T \\pmb { x } } \\pmb { \\chi } \\left( \\nabla \\pmb { x } \\mathcal { L } _ { \\mathrm { L S } } ( \\pmb { X } ) \\right) ,", + "type": "interline_equation", + "image_path": "a0abd83faf06961b1d57c372bd41e02cdb89ac0531bd616152dc4921093e4f58.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 237, + 589, + 372, + 613 + ], + "spans": [], + "index": 31 + } + ] + } + ], + "page_idx": 4, + "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 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "5", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 105, + 618, + 506, + 733 + ], + "lines": [ + { + "bbox": [ + 119, + 615, + 472, + 633 + ], + "spans": [ + { + "bbox": [ + 119, + 615, + 472, + 633 + ], + "score": 1.0, + "content": "7The middle term is the sum of positive-semidefinite matrices—one of which is positive-definite.", + "type": "text" + } + ] + }, + { + "bbox": [ + 119, + 627, + 414, + 642 + ], + "spans": [ + { + "bbox": [ + 119, + 627, + 334, + 642 + ], + "score": 1.0, + "content": "8Appendices C.1-C.2 elaborates upon this interpretation of", + "type": "text" + }, + { + "bbox": [ + 334, + 630, + 358, + 640 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { \\mathrm { N C } 2 / 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 358, + 627, + 414, + 642 + ], + "score": 1.0, + "content": "in more detail.", + "type": "text" + } + ] + }, + { + "bbox": [ + 120, + 638, + 506, + 654 + ], + "spans": [ + { + "bbox": [ + 120, + 638, + 506, + 654 + ], + "score": 1.0, + "content": "9Both the unconstrained features model (Mixon et al., 2020) and the (1-)layer-peeled model (Fang et al.,", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 650, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 662 + ], + "score": 1.0, + "content": "2021) advocate for the mathematical analysis of deep nets through variants of gradient flow directly on the", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 659, + 505, + 673 + ], + "spans": [ + { + "bbox": [ + 105, + 659, + 505, + 673 + ], + "score": 1.0, + "content": "last-layer features and classifiers. The layer-peeled model is so-named because it proposes to analyze deep nets", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 671, + 505, + 682 + ], + "spans": [ + { + "bbox": [ + 106, + 671, + 505, + 682 + ], + "score": 1.0, + "content": "by \"peeling away\" one layer at a time. The unconstrained features model is so-name because features are not", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 680, + 506, + 692 + ], + "spans": [ + { + "bbox": [ + 105, + 680, + 506, + 692 + ], + "score": 1.0, + "content": "constrained to be the output of a deep net forward pass but are rather free variables that can be optimized directly:", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 689, + 505, + 703 + ], + "spans": [ + { + "bbox": [ + 105, + 689, + 505, + 703 + ], + "score": 1.0, + "content": "This captures the nearly unlimited flexibility afforded to feature engineering transformations in modern deep", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 701, + 302, + 712 + ], + "spans": [ + { + "bbox": [ + 106, + 701, + 302, + 712 + ], + "score": 1.0, + "content": "nets by the many nonlinear, overparameterized layers.", + "type": "text" + } + ] + }, + { + "bbox": [ + 116, + 707, + 506, + 726 + ], + "spans": [ + { + "bbox": [ + 116, + 707, + 240, + 726 + ], + "score": 1.0, + "content": "10Intuitively, one should interpret", + "type": "text" + }, + { + "bbox": [ + 240, + 712, + 257, + 721 + ], + "score": 0.82, + "content": "t { = } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 707, + 506, + 726 + ], + "score": 1.0, + "content": "as the time-of-training when feature-classifier pairs effectively enter", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 720, + 166, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 166, + 734 + ], + "score": 1.0, + "content": "the central path.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 106, + 329, + 505, + 379 + ], + "lines": [ + { + "bbox": [ + 106, + 329, + 505, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 329, + 505, + 342 + ], + "score": 1.0, + "content": "Figure 2 measures the empirical values of the above decomposition terms on five canonical datasets", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 340, + 505, + 355 + ], + "spans": [ + { + "bbox": [ + 105, + 341, + 288, + 355 + ], + "score": 1.0, + "content": "and three prototypical networks. It shows that", + "type": "text" + }, + { + "bbox": [ + 288, + 340, + 339, + 355 + ], + "score": 0.94, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 341, + 470, + 355 + ], + "score": 1.0, + "content": "becomes negligible compared to", + "type": "text" + }, + { + "bbox": [ + 470, + 340, + 505, + 354 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + } + ] + }, + { + "bbox": [ + 105, + 354, + 505, + 369 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 420, + 369 + ], + "score": 1.0, + "content": "when training canonical deep nets on benchmark datasets. In other words,", + "type": "text" + }, + { + "bbox": [ + 420, + 354, + 505, + 368 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) { \\approx } \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + } + ] + }, + { + "bbox": [ + 105, + 367, + 354, + 379 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 354, + 379 + ], + "score": 1.0, + "content": "starting from an early epoch in training and persists into TPT.", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 79, + 506, + 133 + ], + "lines": [ + { + "bbox": [ + 104, + 79, + 505, + 97 + ], + "spans": [ + { + "bbox": [ + 104, + 79, + 169, + 97 + ], + "score": 1.0, + "content": "The component", + "type": "text" + }, + { + "bbox": [ + 170, + 80, + 222, + 95 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 79, + 377, + 97 + ], + "score": 1.0, + "content": "is non-negative7 and is zero only when", + "type": "text" + }, + { + "bbox": [ + 378, + 80, + 422, + 93 + ], + "score": 0.92, + "content": "\\widetilde { W } = \\widetilde { W } _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 422, + 79, + 470, + 97 + ], + "score": 1.0, + "content": ". 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Meanwhile,", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 118, + 441, + 134 + ], + "spans": [ + { + "bbox": [ + 105, + 119, + 210, + 134 + ], + "score": 1.0, + "content": "the deviation component,", + "type": "text" + }, + { + "bbox": [ + 210, + 118, + 262, + 133 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 119, + 441, + 134 + ], + "score": 1.0, + "content": ", captures the divergence from that behavior.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 1.5, + "bbox_fs": [ + 104, + 79, + 507, + 134 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 138, + 504, + 163 + ], + "lines": [ + { + "bbox": [ + 105, + 137, + 506, + 153 + ], + "spans": [ + { + "bbox": [ + 105, + 138, + 214, + 153 + ], + "score": 1.0, + "content": "We can further decompose", + "type": "text" + }, + { + "bbox": [ + 214, + 137, + 249, + 152 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 138, + 506, + 153 + ], + "score": 1.0, + "content": "into two terms, one capturing activation collapse (NC1) and the", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 151, + 494, + 164 + ], + "spans": [ + { + "bbox": [ + 105, + 151, + 494, + 164 + ], + "score": 1.0, + "content": "other capturing convergence to Simplex ETF of both features and classifiers ((NC2) and (NC3)).", + "type": "text" + } + ], + "index": 5 + } + ], + "index": 4.5, + "bbox_fs": [ + 105, + 137, + 506, + 164 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 164, + 504, + 203 + ], + "lines": [ + { + "bbox": [ + 105, + 163, + 505, + 178 + ], + "spans": [ + { + "bbox": [ + 105, + 163, + 421, + 178 + ], + "score": 1.0, + "content": "Theorem 2. (Decomposition of Least-Squares Component; Proof in Appendix", + "type": "text" + }, + { + "bbox": [ + 422, + 165, + 430, + 174 + ], + "score": 0.54, + "content": "c", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 163, + 505, + 178 + ], + "score": 1.0, + "content": ") The least-squares", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 176, + 505, + 191 + ], + "spans": [ + { + "bbox": [ + 105, + 176, + 157, + 191 + ], + "score": 1.0, + "content": "component,", + "type": "text" + }, + { + "bbox": [ + 158, + 176, + 191, + 189 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { \\pmb { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 191, + 176, + 361, + 191 + ], + "score": 1.0, + "content": ", of the MSE decomposition in Theorem", + "type": "text" + }, + { + "bbox": [ + 362, + 178, + 367, + 187 + ], + "score": 0.32, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 368, + 176, + 505, + 191 + ], + "score": 1.0, + "content": "can be further decomposed into", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 189, + 280, + 204 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 248, + 203 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\mathcal { L } _ { N C I } ( \\widetilde { H } ) + \\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 249, + 190, + 280, + 204 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 163, + 505, + 204 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 216, + 204, + 393, + 254 + ], + "lines": [ + { + "bbox": [ + 216, + 204, + 393, + 254 + ], + "spans": [ + { + "bbox": [ + 216, + 204, + 393, + 254 + ], + "score": 0.89, + "content": "\\begin{array} { r l r } & { } & { \\mathcal { L } _ { N C I } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 } \\operatorname { t r } \\biggr \\{ \\widetilde { W } _ { L S } \\left[ \\widetilde { \\pmb { \\Sigma } } _ { W } + \\lambda { \\pmb I } \\right] \\widetilde { W } _ { L S } ^ { \\top } \\biggr \\} , } \\\\ & { } & { \\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 C } \\| \\widetilde { W } _ { L S } \\widetilde { \\pmb { M } } - { \\pmb I } \\| _ { F } ^ { 2 } . \\qquad } \\end{array}", + "type": "interline_equation", + "image_path": "8db6430d655e548819b16eb83abcca3bfb33c95e82edef931c5383aa27b27e58.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 216, + 204, + 393, + 220.66666666666666 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 216, + 220.66666666666666, + 393, + 237.33333333333331 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 216, + 237.33333333333331, + 393, + 253.99999999999997 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 257, + 505, + 325 + ], + "lines": [ + { + "bbox": [ + 106, + 257, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 333, + 270 + ], + "score": 1.0, + "content": "Inspection of these terms is revealing. First, observe that", + "type": "text" + }, + { + "bbox": [ + 333, + 258, + 360, + 269 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { N C } 2 / 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 360, + 257, + 506, + 270 + ], + "score": 1.0, + "content": "is a function of the class-means and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 268, + 505, + 281 + ], + "spans": [ + { + "bbox": [ + 106, + 268, + 258, + 281 + ], + "score": 1.0, + "content": "MSE-optimal classifiers. Minimizing", + "type": "text" + }, + { + "bbox": [ + 258, + 269, + 285, + 280 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { \\mathrm { N C } 2 / 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 285, + 268, + 505, + 281 + ], + "score": 1.0, + "content": "will push the (unextended) class-means and classifiers", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 292 + ], + "score": 1.0, + "content": "towards the same Simpex ETF matrix8 i.e. (NC2)-(NC3). Next, note that the within-class variation", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "spans": [ + { + "bbox": [ + 105, + 290, + 505, + 304 + ], + "score": 1.0, + "content": "is independent of the means. Thus, despite the fact that classifiers are converging towards some", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 301, + 506, + 315 + ], + "spans": [ + { + "bbox": [ + 105, + 301, + 328, + 315 + ], + "score": 1.0, + "content": "(potentially large) ETF matrix, we can always reduce", + "type": "text" + }, + { + "bbox": [ + 328, + 302, + 350, + 313 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { \\mathrm { N C 1 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 301, + 399, + 315 + ], + "score": 1.0, + "content": "by pushing", + "type": "text" + }, + { + "bbox": [ + 400, + 302, + 418, + 312 + ], + "score": 0.9, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 418, + 301, + 506, + 315 + ], + "score": 1.0, + "content": "towards zero, which", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 312, + 201, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 201, + 325 + ], + "score": 1.0, + "content": "corresponds to (NC1) .", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 257, + 506, + 325 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 384, + 298, + 395 + ], + "lines": [ + { + "bbox": [ + 106, + 383, + 298, + 397 + ], + "spans": [ + { + "bbox": [ + 106, + 383, + 298, + 397 + ], + "score": 1.0, + "content": "This motivates us to formulate the central path:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 106, + 383, + 298, + 397 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 214, + 397, + 395, + 419 + ], + "lines": [ + { + "bbox": [ + 214, + 397, + 395, + 419 + ], + "spans": [ + { + "bbox": [ + 214, + 397, + 395, + 419 + ], + "score": 0.92, + "content": "\\mathcal { P } = \\left\\{ ( \\widetilde { W } _ { \\mathrm { L S } } ( \\widetilde { H } ) , \\widetilde { H } ) | \\widetilde { H } \\in \\mathbb { R } ^ { ( P + 1 ) \\times C N } \\right\\} ,", + "type": "interline_equation", + "image_path": "0ed4798ba39365c04326381f5c6c524aaa8b6b1754edd9341a6b2efea44e2698.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 214, + 397, + 395, + 419 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 420, + 506, + 500 + ], + "lines": [ + { + "bbox": [ + 105, + 420, + 506, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 186, + 435 + ], + "score": 1.0, + "content": "where the notation", + "type": "text" + }, + { + "bbox": [ + 187, + 420, + 216, + 435 + ], + "score": 0.92, + "content": "\\widetilde { W } _ { \\mathrm { L S } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 216, + 421, + 333, + 435 + ], + "score": 1.0, + "content": "makes explicit the fact that", + "type": "text" + }, + { + "bbox": [ + 334, + 420, + 353, + 434 + ], + "score": 0.9, + "content": "\\widetilde { W _ { \\mathrm { L S } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 421, + 421, + 435 + ], + "score": 1.0, + "content": "is a function of", + "type": "text" + }, + { + "bbox": [ + 421, + 420, + 433, + 433 + ], + "score": 0.86, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 433, + 421, + 506, + 435 + ], + "score": 1.0, + "content": "only. Intuitively,", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 434, + 506, + 448 + ], + "spans": [ + { + "bbox": [ + 106, + 435, + 353, + 448 + ], + "score": 1.0, + "content": "for a classifier-features pair to lie on the central path, i.e.", + "type": "text" + }, + { + "bbox": [ + 353, + 434, + 413, + 448 + ], + "score": 0.93, + "content": "( \\widetilde { W } , \\widetilde { H } ) \\in \\mathcal { P }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 435, + 506, + 448 + ], + "score": 1.0, + "content": ", means that the “real", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 447, + 504, + 462 + ], + "spans": [ + { + "bbox": [ + 105, + 448, + 150, + 462 + ], + "score": 1.0, + "content": "classifier”", + "type": "text" + }, + { + "bbox": [ + 150, + 448, + 163, + 460 + ], + "score": 0.84, + "content": "\\widetilde { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 164, + 448, + 239, + 462 + ], + "score": 1.0, + "content": "will exactly equal", + "type": "text" + }, + { + "bbox": [ + 240, + 447, + 276, + 462 + ], + "score": 0.96, + "content": "\\widetilde { W _ { \\mathrm { L S } } } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 277, + 448, + 492, + 462 + ], + "score": 1.0, + "content": "—the optimal classifier that would result from fixing", + "type": "text" + }, + { + "bbox": [ + 493, + 448, + 504, + 460 + ], + "score": 0.83, + "content": "\\widetilde { H }", + "type": "inline_equation" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 461, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 105, + 462, + 173, + 475 + ], + "score": 1.0, + "content": "and minimizing", + "type": "text" + }, + { + "bbox": [ + 173, + 464, + 181, + 473 + ], + "score": 0.77, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 462, + 422, + 475 + ], + "score": 1.0, + "content": "w.r.t. just the classifier. 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Figure 2 shows that classifier-features pairs lie approximately on the", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 486, + 372, + 501 + ], + "spans": [ + { + "bbox": [ + 105, + 486, + 331, + 501 + ], + "score": 1.0, + "content": "central path during TPT, allowing us to shift focus from", + "type": "text" + }, + { + "bbox": [ + 331, + 488, + 339, + 497 + ], + "score": 0.82, + "content": "\\mathcal { L }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 486, + 351, + 501 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 351, + 488, + 367, + 498 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 367, + 486, + 372, + 501 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 22.5, + "bbox_fs": [ + 105, + 420, + 506, + 501 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 515, + 392, + 527 + ], + "lines": [ + { + "bbox": [ + 105, + 513, + 393, + 529 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 393, + 529 + ], + "score": 1.0, + "content": "3 EXACT CLOSED-FORM ANALYSIS ON CENTRAL PATH", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 538, + 505, + 587 + ], + "lines": [ + { + "bbox": [ + 106, + 538, + 505, + 551 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 144, + 551 + ], + "score": 1.0, + "content": "Consider", + "type": "text" + }, + { + "bbox": [ + 144, + 539, + 169, + 549 + ], + "score": 0.9, + "content": "\\lambda = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 538, + 505, + 551 + ], + "score": 1.0, + "content": "in this section. For the subsequent theory, we adopt the unconstrained features (Mixon", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "spans": [ + { + "bbox": [ + 105, + 549, + 506, + 563 + ], + "score": 1.0, + "content": "et al., 2020) or layer-peeled (Fang et al., 2021) modeling perspective9. We consider continuous", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 560, + 505, + 573 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 444, + 573 + ], + "score": 1.0, + "content": "training dynamics with gradient flow where time-of-training is denoted by the variable", + "type": "text" + }, + { + "bbox": [ + 444, + 560, + 471, + 572 + ], + "score": 0.8, + "content": "\\cdot ^ { 1 0 } t { \\geq } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 561, + 505, + 573 + ], + "score": 1.0, + "content": ". 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The red vertical", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 506, + 324 + ], + "score": 1.0, + "content": "line indicates the epoch at which zero training error was achieved. 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Note that", + "type": "text" + }, + { + "bbox": [ + 371, + 363, + 416, + 378 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { N C } 2 / 3 } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 365, + 506, + 378 + ], + "score": 1.0, + "content": "diminishes the fastest", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "among all the terms: Intuitively, this shows that the network primarily focuses on distributing the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "feature class-means into a “uniform” Simplex ETF configuration (NC1)-(NC2) early on and, from", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "there, compresses the activations towards their class-means, i.e. (NC1) , as much as possible. 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Outlier behavior is discussed in Appendix A.7.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 8 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 435, + 505, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 185, + 448 + ], + "score": 1.0, + "content": "where the operator", + "type": "text" + }, + { + "bbox": [ + 185, + 436, + 212, + 448 + ], + "score": 0.92, + "content": "\\Pi _ { T _ { X } \\mathcal { X } }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 435, + 467, + 448 + ], + "score": 1.0, + "content": "projects the gradient onto the tangent space of the manifold11,", + "type": "text" + }, + { + "bbox": [ + 468, + 436, + 478, + 446 + ], + "score": 0.77, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 435, + 505, + 448 + ], + "score": 1.0, + "content": ", of all", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 447, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 104, + 448, + 236, + 465 + ], + "score": 1.0, + "content": "identity-covariance features. For", + "type": "text" + }, + { + "bbox": [ + 236, + 447, + 269, + 463 + ], + "score": 0.93, + "content": "\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } H", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 448, + 407, + 465 + ], + "score": 1.0, + "content": "to be well-defined, we assume that", + "type": "text" + }, + { + "bbox": [ + 408, + 451, + 426, + 462 + ], + "score": 0.9, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 448, + 506, + 465 + ], + "score": 1.0, + "content": "remains full-rank12", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 462, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "during training. We call Equation 5 the continually renormalized gradient flow and will motivate it in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 474, + 368, + 485 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 368, + 485 + ], + "score": 1.0, + "content": "more detail in later subsections. We now state our main theorem:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 107, + 488, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 488, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 505, + 500 + ], + "score": 1.0, + "content": "Theorem 3. (NC Under Continually Renormalized Gradient Flow) Consider the continually", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 500, + 505, + 512 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 505, + 512 + ], + "score": 1.0, + "content": "renormalized gradient flow (Equation 5) in which the dynamics are restricted to the central path, and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 510, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 506, + 523 + ], + "score": 1.0, + "content": "the features are renormalized to identity within-class covariance. Assume the features are initialized", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "score": 1.0, + "content": "with zero global mean. 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Note that", + "type": "text" + }, + { + "bbox": [ + 371, + 363, + 416, + 378 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { N C } 2 / 3 } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 416, + 365, + 506, + 378 + ], + "score": 1.0, + "content": "diminishes the fastest", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "spans": [ + { + "bbox": [ + 105, + 376, + 505, + 389 + ], + "score": 1.0, + "content": "among all the terms: Intuitively, this shows that the network primarily focuses on distributing the", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "spans": [ + { + "bbox": [ + 105, + 387, + 505, + 400 + ], + "score": 1.0, + "content": "feature class-means into a “uniform” Simplex ETF configuration (NC1)-(NC2) early on and, from", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 398, + 506, + 411 + ], + "spans": [ + { + "bbox": [ + 106, + 398, + 506, + 411 + ], + "score": 1.0, + "content": "there, compresses the activations towards their class-means, i.e. (NC1) , as much as possible. Further", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 410, + 458, + 422 + ], + "spans": [ + { + "bbox": [ + 106, + 410, + 458, + 422 + ], + "score": 1.0, + "content": "experimental details are in Appendix A. Outlier behavior is discussed in Appendix A.7.", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 8 + } + ], + "index": 4.5 + }, + { + "type": "text", + "bbox": [ + 107, + 435, + 505, + 484 + ], + "lines": [ + { + "bbox": [ + 105, + 435, + 505, + 448 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 185, + 448 + ], + "score": 1.0, + "content": "where the operator", + "type": "text" + }, + { + "bbox": [ + 185, + 436, + 212, + 448 + ], + "score": 0.92, + "content": "\\Pi _ { T _ { X } \\mathcal { X } }", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 435, + 467, + 448 + ], + "score": 1.0, + "content": "projects the gradient onto the tangent space of the manifold11,", + "type": "text" + }, + { + "bbox": [ + 468, + 436, + 478, + 446 + ], + "score": 0.77, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 435, + 505, + 448 + ], + "score": 1.0, + "content": ", of all", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 447, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 104, + 448, + 236, + 465 + ], + "score": 1.0, + "content": "identity-covariance features. For", + "type": "text" + }, + { + "bbox": [ + 236, + 447, + 269, + 463 + ], + "score": 0.93, + "content": "\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } H", + "type": "inline_equation" + }, + { + "bbox": [ + 269, + 448, + 407, + 465 + ], + "score": 1.0, + "content": "to be well-defined, we assume that", + "type": "text" + }, + { + "bbox": [ + 408, + 451, + 426, + 462 + ], + "score": 0.9, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 426, + 448, + 506, + 465 + ], + "score": 1.0, + "content": "remains full-rank12", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 462, + 505, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 462, + 505, + 475 + ], + "score": 1.0, + "content": "during training. We call Equation 5 the continually renormalized gradient flow and will motivate it in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 106, + 474, + 368, + 485 + ], + "spans": [ + { + "bbox": [ + 106, + 474, + 368, + 485 + ], + "score": 1.0, + "content": "more detail in later subsections. We now state our main theorem:", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5, + "bbox_fs": [ + 104, + 435, + 506, + 485 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 488, + 505, + 543 + ], + "lines": [ + { + "bbox": [ + 106, + 488, + 505, + 500 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 505, + 500 + ], + "score": 1.0, + "content": "Theorem 3. (NC Under Continually Renormalized Gradient Flow) Consider the continually", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 500, + 505, + 512 + ], + "spans": [ + { + "bbox": [ + 106, + 500, + 505, + 512 + ], + "score": 1.0, + "content": "renormalized gradient flow (Equation 5) in which the dynamics are restricted to the central path, and", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 510, + 506, + 523 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 506, + 523 + ], + "score": 1.0, + "content": "the features are renormalized to identity within-class covariance. Assume the features are initialized", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "spans": [ + { + "bbox": [ + 105, + 521, + 506, + 534 + ], + "score": 1.0, + "content": "with zero global mean. Then, Neural Collapse emerges on the renormalized features with explicit", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 532, + 479, + 545 + ], + "spans": [ + { + "bbox": [ + 105, + 532, + 479, + 545 + ], + "score": 1.0, + "content": "dynamics of the flow given in Proposition 2 as well as Corollaries 1 and 2 later in this paper.", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 488, + 506, + 545 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 553, + 321, + 565 + ], + "lines": [ + { + "bbox": [ + 105, + 552, + 322, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 552, + 322, + 566 + ], + "score": 1.0, + "content": "Three assumptions standout which we discuss below:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 105, + 552, + 322, + 566 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 572, + 505, + 623 + ], + "lines": [ + { + "bbox": [ + 105, + 569, + 506, + 586 + ], + "spans": [ + { + "bbox": [ + 105, + 571, + 443, + 586 + ], + "score": 1.0, + "content": "(A1) Restriction to central path: Figure 2 shows that—in practice, during TPT—", + "type": "text" + }, + { + "bbox": [ + 443, + 569, + 494, + 585 + ], + "score": 0.87, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 571, + 506, + 586 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 583, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 338, + 599 + ], + "score": 1.0, + "content": "observed to be negligible compared to the dominant term,", + "type": "text" + }, + { + "bbox": [ + 338, + 583, + 373, + 599 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 585, + 435, + 599 + ], + "score": 1.0, + "content": ". This indicates", + "type": "text" + }, + { + "bbox": [ + 436, + 585, + 471, + 599 + ], + "score": 0.92, + "content": "( \\widetilde W , \\widetilde H )", + "type": "inline_equation" + }, + { + "bbox": [ + 472, + 585, + 505, + 599 + ], + "score": 1.0, + "content": "is close", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 597, + 505, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 257, + 613 + ], + "score": 1.0, + "content": "to the central path (Equation 4) where", + "type": "text" + }, + { + "bbox": [ + 258, + 597, + 348, + 612 + ], + "score": 0.93, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 598, + 505, + 613 + ], + "score": 1.0, + "content": ". 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\\quad \\overline { { M } } = [ \\mu _ { 1 } - \\mu _ { G } , \\ldots , \\mu _ { C } - \\mu _ { G } ] ; \\quad \\Sigma _ { T } = \\frac { 1 } { C N } \\overline { { H } } \\overline { { H } } ^ { \\top } .", + "type": "interline_equation", + "image_path": "60ee15d27703d2293879dfc153f3f87abd40c99657f9d07f0d2a877e8aad1565.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 145, + 97, + 465, + 121 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 123, + 462, + 135 + ], + "lines": [ + { + "bbox": [ + 105, + 122, + 464, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 464, + 137 + ], + "score": 1.0, + "content": "Proposition 1 then reduces to the following forms for the unextended weights and biases:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "interline_equation", + "bbox": [ + 160, + 139, + 450, + 155 + ], + "lines": [ + { + "bbox": [ + 160, + 139, + 450, + 155 + ], + "spans": [ + { + "bbox": [ + 160, + 139, + 450, + 155 + ], + "score": 0.88, + "content": "\\widetilde { W } _ { \\mathrm { L S } } = [ W _ { \\mathrm { L S } } , \\ b _ { \\mathrm { L S } } ] = \\left[ C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } , \\quad C ^ { - 1 } \\mathbb { 1 } _ { C } - C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\mu _ { G } \\right] .", + "type": "interline_equation", + "image_path": "6922ba4fa1743552f9a6b937dacaed7d4769f9dc070e787e965292b6924fe45a.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 160, + 139, + 450, + 155 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 158, + 392, + 171 + ], + "lines": [ + { + "bbox": [ + 105, + 157, + 392, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 257, + 173 + ], + "score": 1.0, + "content": "For an arbitrary activation-target pair", + "type": "text" + }, + { + "bbox": [ + 257, + 159, + 282, + 171 + ], + "score": 0.92, + "content": "( h , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 157, + 392, + 173 + ], + "score": 1.0, + "content": ", the prediction error obeys", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "interline_equation", + "bbox": [ + 159, + 173, + 452, + 207 + ], + "lines": [ + { + "bbox": [ + 159, + 173, + 452, + 207 + ], + "spans": [ + { + "bbox": [ + 159, + 173, + 452, + 207 + ], + "score": 0.9, + "content": "\\begin{array} { r l } & { W _ { \\mathrm { L S } } h + b _ { \\mathrm { L S } } - y = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } h + C ^ { - 1 } \\mathbb { 1 } _ { C } - C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\mu _ { G } - y } \\\\ & { ~ = W _ { \\mathrm { L S } } ( h - \\mu _ { G } ) - ( y - C ^ { - 1 } \\mathbb { 1 } _ { C } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "c84be0ab9e1ee58412414231b2a015d7c25706e634ca6895fa6514649c610f01.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 159, + 173, + 452, + 184.33333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 159, + 184.33333333333334, + 452, + 195.66666666666669 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 159, + 195.66666666666669, + 452, + 207.00000000000003 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 208, + 504, + 242 + ], + "lines": [ + { + "bbox": [ + 106, + 208, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 106, + 208, + 447, + 220 + ], + "score": 1.0, + "content": "The last line exhibits two terms in parentheses, both traceable to the action of the bias", + "type": "text" + }, + { + "bbox": [ + 447, + 209, + 462, + 219 + ], + "score": 0.88, + "content": "b _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 208, + 505, + 220 + ], + "score": 1.0, + "content": ". The term", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 218, + 504, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 139, + 230 + ], + "score": 0.91, + "content": "h - \\mu _ { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 218, + 390, + 231 + ], + "score": 1.0, + "content": "demonstrates that the bias induces a global-mean subtraction on", + "type": "text" + }, + { + "bbox": [ + 391, + 219, + 398, + 229 + ], + "score": 0.8, + "content": "^ { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 218, + 461, + 231 + ], + "score": 1.0, + "content": ", while the term", + "type": "text" + }, + { + "bbox": [ + 461, + 218, + 504, + 230 + ], + "score": 0.91, + "content": "\\pmb { y } - C ^ { - 1 } \\pmb { 1 }", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 229, + 461, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 229, + 461, + 243 + ], + "score": 1.0, + "content": "demonstrates that the bias also induces a global-mean subtraction on the one-hot targets.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 106, + 246, + 506, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 245, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 261 + ], + "score": 1.0, + "content": "(A3) Renormalization to identity covariance: Renormalization is ubiquitous in the empirical deep", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "learning literature through works such batch normalization and its variants (Ioffe & Szegedy, 2015;", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "Salimans & Kingma, 2016; Wu & He, 2018; Ulyanov et al., 2016; Ba et al., 2016; Krizhevsky et al.,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "score": 1.0, + "content": "2012). It is also ideologically precedented in the theoretical ML literature through works such as", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "Douglas et al. (1998); Banburski et al. (2019); Poggio & Liao (2020a;b). Within this paper, the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 302, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 314 + ], + "score": 1.0, + "content": "covariance-renormalization is inspired by an invariance property of the loss as well as the intuitive", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "score": 1.0, + "content": "concept of the signal-to-noise ratio from mathematical statistics (discussed later in Sections 3.1-3.2).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14 + }, + { + "type": "text", + "bbox": [ + 105, + 329, + 504, + 352 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 343 + ], + "score": 1.0, + "content": "In the subsequent sections, we motivate and introduce the theoretical constructs necessary for proving", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 341, + 361, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 341, + 361, + 353 + ], + "score": 1.0, + "content": "Theorem 3 and for presenting the explicit dynamics of the flow.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "title", + "bbox": [ + 107, + 365, + 232, + 376 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 232, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 232, + 377 + ], + "score": 1.0, + "content": "3.1 INVARIANCE PROPERTY", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 385, + 506, + 419 + ], + "lines": [ + { + "bbox": [ + 106, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "By Assumption (A2), classification on the central path is equivalent to classification on globally-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 397, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 397, + 300, + 410 + ], + "score": 1.0, + "content": "centered features using only the linear classifier", + "type": "text" + }, + { + "bbox": [ + 301, + 397, + 320, + 408 + ], + "score": 0.85, + "content": "W _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 397, + 505, + 410 + ], + "score": 1.0, + "content": ". Then, using Equation 6, we can equivalently", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 407, + 308, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 308, + 420 + ], + "score": 1.0, + "content": "represent the central path (Equation 4) as follows:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "title", + "bbox": [ + 107, + 421, + 305, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 421, + 306, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 306, + 435 + ], + "score": 1.0, + "content": "Definition 1 (Zero Global Mean Central Path).", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 436, + 395, + 458 + ], + "lines": [ + { + "bbox": [ + 215, + 436, + 395, + 458 + ], + "spans": [ + { + "bbox": [ + 215, + 436, + 395, + 458 + ], + "score": 0.92, + "content": "\\bar { \\mathcal { P } } = \\left\\{ \\left( W _ { L S } , \\overline { { H } } \\right) ~ \\bigg | ~ W _ { L S } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\right\\} .", + "type": "interline_equation", + "image_path": "0e7bd6355fd6867b0277f2ab452fcb3bb4827d37d02cee3cdfcebb5d42a4c9f4.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 215, + 436, + 395, + 458 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 466, + 505, + 489 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 507, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 319, + 480 + ], + "score": 1.0, + "content": "An invariance property holds on the central path. Let", + "type": "text" + }, + { + "bbox": [ + 320, + 467, + 329, + 477 + ], + "score": 0.8, + "content": "\\pmb { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 465, + 507, + 480 + ], + "score": 1.0, + "content": "denote a symmetric, full-rank matrix. Then,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 477, + 298, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 246, + 490 + ], + "score": 1.0, + "content": "the explicit form in Equation 6 for", + "type": "text" + }, + { + "bbox": [ + 246, + 478, + 265, + 489 + ], + "score": 0.9, + "content": "W _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 477, + 298, + 490 + ], + "score": 1.0, + "content": "implies", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5 + }, + { + "type": "interline_equation", + "bbox": [ + 141, + 492, + 470, + 557 + ], + "lines": [ + { + "bbox": [ + 141, + 492, + 470, + 557 + ], + "spans": [ + { + "bbox": [ + 141, + 492, + 470, + 557 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { W _ { \\mathrm { L S } } ( A \\overline { { H } } ) A \\overline { { H } } = C ^ { - 1 } \\left( A \\overline { { M } } \\right) ^ { \\top } \\left[ \\left( A \\overline { { H } } \\right) \\left( A \\overline { { H } } \\right) ^ { \\top } \\right] ^ { - 1 } A \\overline { { H } } } \\\\ & { \\qquad = C ^ { - 1 } \\overline { { M } } ^ { \\top } A \\left[ A ^ { - 1 } \\left( \\overline { { H } } \\overline { { H } } ^ { \\top } \\right) ^ { - 1 } A ^ { - 1 } \\right] A \\overline { { H } } } \\\\ & { \\qquad = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\left( \\overline { { H } } \\overline { { H } } ^ { \\top } \\right) ^ { - 1 } \\overline { { H } } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { H } } = W _ { \\mathrm { L S } } \\left( \\overline { { H } } \\right) \\overline { { H } } , } \\end{array}", + "type": "interline_equation", + "image_path": "43a4d9e1cac3cd4f47ea7453fab313a9f74af2785d1589a5d4733c00322f24ed.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 141, + 492, + 470, + 513.6666666666666 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 141, + 513.6666666666666, + 470, + 535.3333333333333 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 141, + 535.3333333333333, + 470, + 556.9999999999999 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 559, + 506, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 559, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 183, + 571 + ], + "score": 1.0, + "content": "where the notation", + "type": "text" + }, + { + "bbox": [ + 183, + 559, + 212, + 571 + ], + "score": 0.91, + "content": "W _ { \\mathrm { L S } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 560, + 291, + 571 + ], + "score": 1.0, + "content": "makes explicit that", + "type": "text" + }, + { + "bbox": [ + 291, + 560, + 311, + 571 + ], + "score": 0.89, + "content": "W _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 560, + 505, + 571 + ], + "score": 1.0, + "content": "is a function of a set of input features. 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Among those coordinate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "systems, we will prefer the one in which the “noise” is “whitened” or “sphered.” Recall that we assume", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 602, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 142, + 616 + ], + "score": 0.92, + "content": "\\dot { \\Sigma } _ { W } ( \\overline { { \\pmb { H } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 602, + 232, + 617 + ], + "score": 1.0, + "content": "—where the notation", + "type": "text" + }, + { + "bbox": [ + 233, + 603, + 262, + 616 + ], + "score": 0.91, + "content": "\\pmb { \\Sigma } _ { W } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 602, + 506, + 617 + ], + "score": 1.0, + "content": "expresses the within-class covariance as a function of the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 614, + 507, + 632 + ], + "spans": [ + { + "bbox": [ + 104, + 615, + 379, + 632 + ], + "score": 1.0, + "content": "features—is positive-definite. Consider the coordinate transformation", + "type": "text" + }, + { + "bbox": [ + 380, + 617, + 420, + 629 + ], + "score": 0.91, + "content": "\\overline { { H } } \\mapsto A \\overline { { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 615, + 441, + 632 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 441, + 614, + 503, + 631 + ], + "score": 0.94, + "content": "\\pmb { A } = \\pmb { \\Sigma } _ { W } ^ { - \\frac 1 2 } ( \\overline { { \\pmb { H } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 615, + 507, + 632 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 628, + 416, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 416, + 642 + ], + "score": 1.0, + "content": "In these coordinates, the features are “renormalized” to spherical covariance,", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34 + }, + { + "type": "interline_equation", + "bbox": [ + 238, + 643, + 372, + 658 + ], + "lines": [ + { + "bbox": [ + 238, + 643, + 372, + 658 + ], + "spans": [ + { + "bbox": [ + 238, + 643, + 372, + 658 + ], + "score": 0.91, + "content": "\\Sigma _ { W } ( A { \\overline { { H } } } ) = A \\Sigma _ { W } ( { \\overline { { H } } } ) A = I ,", + "type": "interline_equation", + "image_path": "fb45de8ef133f7502cbca3bb00dc196a605061a5cadbab1f7a780104aae2f328.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 238, + 643, + 372, + 658 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 661, + 411, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 660, + 412, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 167, + 674 + ], + "score": 1.0, + "content": "so we will call", + "type": "text" + }, + { + "bbox": [ + 167, + 660, + 187, + 671 + ], + "score": 0.89, + "content": "A \\overline { { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 660, + 375, + 674 + ], + "score": 1.0, + "content": "the renormalized features. 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Thus, Equation 5", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "describes continuous training dynamics where we continually “renormalize” features to their", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 721, + 255, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 255, + 732 + ], + "score": 1.0, + "content": "equivalently-performing representer.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42 + } + ], + "page_idx": 6, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 308, + 759 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 762 + ], + "score": 1.0, + "content": "7", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 82, + 430, + 94 + ], + "lines": [], + "index": 0, + "bbox_fs": [ + 105, + 81, + 432, + 96 + ], + "lines_deleted": true + }, + { + "type": "interline_equation", + "bbox": [ + 145, + 97, + 465, + 121 + ], + "lines": [ + { + "bbox": [ + 145, + 97, + 465, + 121 + ], + "spans": [ + { + "bbox": [ + 145, + 97, + 465, + 121 + ], + "score": 0.88, + "content": "\\overline { { H } } = H - \\mu _ { G } \\mathbb { 1 } _ { C N } ^ { \\top } ; \\quad \\overline { { M } } = [ \\mu _ { 1 } - \\mu _ { G } , \\ldots , \\mu _ { C } - \\mu _ { G } ] ; \\quad \\Sigma _ { T } = \\frac { 1 } { C N } \\overline { { H } } \\overline { { H } } ^ { \\top } .", + "type": "interline_equation", + "image_path": "60ee15d27703d2293879dfc153f3f87abd40c99657f9d07f0d2a877e8aad1565.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 145, + 97, + 465, + 121 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 123, + 462, + 135 + ], + "lines": [ + { + "bbox": [ + 105, + 122, + 464, + 137 + ], + "spans": [ + { + "bbox": [ + 105, + 122, + 464, + 137 + ], + "score": 1.0, + "content": "Proposition 1 then reduces to the following forms for the unextended weights and biases:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 122, + 464, + 137 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 160, + 139, + 450, + 155 + ], + "lines": [ + { + "bbox": [ + 160, + 139, + 450, + 155 + ], + "spans": [ + { + "bbox": [ + 160, + 139, + 450, + 155 + ], + "score": 0.88, + "content": "\\widetilde { W } _ { \\mathrm { L S } } = [ W _ { \\mathrm { L S } } , \\ b _ { \\mathrm { L S } } ] = \\left[ C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } , \\quad C ^ { - 1 } \\mathbb { 1 } _ { C } - C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\mu _ { G } \\right] .", + "type": "interline_equation", + "image_path": "6922ba4fa1743552f9a6b937dacaed7d4769f9dc070e787e965292b6924fe45a.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 160, + 139, + 450, + 155 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 158, + 392, + 171 + ], + "lines": [ + { + "bbox": [ + 105, + 157, + 392, + 173 + ], + "spans": [ + { + "bbox": [ + 105, + 157, + 257, + 173 + ], + "score": 1.0, + "content": "For an arbitrary activation-target pair", + "type": "text" + }, + { + "bbox": [ + 257, + 159, + 282, + 171 + ], + "score": 0.92, + "content": "( h , y )", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 157, + 392, + 173 + ], + "score": 1.0, + "content": ", the prediction error obeys", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4, + "bbox_fs": [ + 105, + 157, + 392, + 173 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 159, + 173, + 452, + 207 + ], + "lines": [ + { + "bbox": [ + 159, + 173, + 452, + 207 + ], + "spans": [ + { + "bbox": [ + 159, + 173, + 452, + 207 + ], + "score": 0.9, + "content": "\\begin{array} { r l } & { W _ { \\mathrm { L S } } h + b _ { \\mathrm { L S } } - y = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } h + C ^ { - 1 } \\mathbb { 1 } _ { C } - C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\mu _ { G } - y } \\\\ & { ~ = W _ { \\mathrm { L S } } ( h - \\mu _ { G } ) - ( y - C ^ { - 1 } \\mathbb { 1 } _ { C } ) . } \\end{array}", + "type": "interline_equation", + "image_path": "c84be0ab9e1ee58412414231b2a015d7c25706e634ca6895fa6514649c610f01.jpg" + } + ] + } + ], + "index": 6, + "virtual_lines": [ + { + "bbox": [ + 159, + 173, + 452, + 184.33333333333334 + ], + "spans": [], + "index": 5 + }, + { + "bbox": [ + 159, + 184.33333333333334, + 452, + 195.66666666666669 + ], + "spans": [], + "index": 6 + }, + { + "bbox": [ + 159, + 195.66666666666669, + 452, + 207.00000000000003 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 208, + 504, + 242 + ], + "lines": [ + { + "bbox": [ + 106, + 208, + 505, + 220 + ], + "spans": [ + { + "bbox": [ + 106, + 208, + 447, + 220 + ], + "score": 1.0, + "content": "The last line exhibits two terms in parentheses, both traceable to the action of the bias", + "type": "text" + }, + { + "bbox": [ + 447, + 209, + 462, + 219 + ], + "score": 0.88, + "content": "b _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 462, + 208, + 505, + 220 + ], + "score": 1.0, + "content": ". The term", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 218, + 504, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 139, + 230 + ], + "score": 0.91, + "content": "h - \\mu _ { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 139, + 218, + 390, + 231 + ], + "score": 1.0, + "content": "demonstrates that the bias induces a global-mean subtraction on", + "type": "text" + }, + { + "bbox": [ + 391, + 219, + 398, + 229 + ], + "score": 0.8, + "content": "^ { h }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 218, + 461, + 231 + ], + "score": 1.0, + "content": ", while the term", + "type": "text" + }, + { + "bbox": [ + 461, + 218, + 504, + 230 + ], + "score": 0.91, + "content": "\\pmb { y } - C ^ { - 1 } \\pmb { 1 }", + "type": "inline_equation" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 229, + 461, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 229, + 461, + 243 + ], + "score": 1.0, + "content": "demonstrates that the bias also induces a global-mean subtraction on the one-hot targets.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9, + "bbox_fs": [ + 106, + 208, + 505, + 243 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 246, + 506, + 324 + ], + "lines": [ + { + "bbox": [ + 105, + 245, + 506, + 261 + ], + "spans": [ + { + "bbox": [ + 105, + 245, + 506, + 261 + ], + "score": 1.0, + "content": "(A3) Renormalization to identity covariance: Renormalization is ubiquitous in the empirical deep", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "spans": [ + { + "bbox": [ + 105, + 258, + 506, + 271 + ], + "score": 1.0, + "content": "learning literature through works such batch normalization and its variants (Ioffe & Szegedy, 2015;", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 268, + 506, + 282 + ], + "score": 1.0, + "content": "Salimans & Kingma, 2016; Wu & He, 2018; Ulyanov et al., 2016; Ba et al., 2016; Krizhevsky et al.,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 506, + 293 + ], + "score": 1.0, + "content": "2012). It is also ideologically precedented in the theoretical ML literature through works such as", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 505, + 303 + ], + "score": 1.0, + "content": "Douglas et al. (1998); Banburski et al. (2019); Poggio & Liao (2020a;b). Within this paper, the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 302, + 506, + 314 + ], + "spans": [ + { + "bbox": [ + 105, + 302, + 506, + 314 + ], + "score": 1.0, + "content": "covariance-renormalization is inspired by an invariance property of the loss as well as the intuitive", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 312, + 506, + 325 + ], + "score": 1.0, + "content": "concept of the signal-to-noise ratio from mathematical statistics (discussed later in Sections 3.1-3.2).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 14, + "bbox_fs": [ + 105, + 245, + 506, + 325 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 329, + 504, + 352 + ], + "lines": [ + { + "bbox": [ + 105, + 327, + 505, + 343 + ], + "spans": [ + { + "bbox": [ + 105, + 327, + 505, + 343 + ], + "score": 1.0, + "content": "In the subsequent sections, we motivate and introduce the theoretical constructs necessary for proving", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 341, + 361, + 353 + ], + "spans": [ + { + "bbox": [ + 106, + 341, + 361, + 353 + ], + "score": 1.0, + "content": "Theorem 3 and for presenting the explicit dynamics of the flow.", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 105, + 327, + 505, + 353 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 365, + 232, + 376 + ], + "lines": [ + { + "bbox": [ + 106, + 365, + 232, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 365, + 232, + 377 + ], + "score": 1.0, + "content": "3.1 INVARIANCE PROPERTY", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 385, + 506, + 419 + ], + "lines": [ + { + "bbox": [ + 106, + 385, + 506, + 398 + ], + "spans": [ + { + "bbox": [ + 106, + 385, + 506, + 398 + ], + "score": 1.0, + "content": "By Assumption (A2), classification on the central path is equivalent to classification on globally-", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 397, + 505, + 410 + ], + "spans": [ + { + "bbox": [ + 106, + 397, + 300, + 410 + ], + "score": 1.0, + "content": "centered features using only the linear classifier", + "type": "text" + }, + { + "bbox": [ + 301, + 397, + 320, + 408 + ], + "score": 0.85, + "content": "W _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 320, + 397, + 505, + 410 + ], + "score": 1.0, + "content": ". Then, using Equation 6, we can equivalently", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 407, + 308, + 420 + ], + "spans": [ + { + "bbox": [ + 105, + 407, + 308, + 420 + ], + "score": 1.0, + "content": "represent the central path (Equation 4) as follows:", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 385, + 506, + 420 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 421, + 305, + 433 + ], + "lines": [ + { + "bbox": [ + 105, + 421, + 306, + 435 + ], + "spans": [ + { + "bbox": [ + 105, + 421, + 306, + 435 + ], + "score": 1.0, + "content": "Definition 1 (Zero Global Mean Central Path).", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 24 + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 436, + 395, + 458 + ], + "lines": [ + { + "bbox": [ + 215, + 436, + 395, + 458 + ], + "spans": [ + { + "bbox": [ + 215, + 436, + 395, + 458 + ], + "score": 0.92, + "content": "\\bar { \\mathcal { P } } = \\left\\{ \\left( W _ { L S } , \\overline { { H } } \\right) ~ \\bigg | ~ W _ { L S } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\right\\} .", + "type": "interline_equation", + "image_path": "0e7bd6355fd6867b0277f2ab452fcb3bb4827d37d02cee3cdfcebb5d42a4c9f4.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 215, + 436, + 395, + 458 + ], + "spans": [], + "index": 25 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 466, + 505, + 489 + ], + "lines": [ + { + "bbox": [ + 105, + 465, + 507, + 480 + ], + "spans": [ + { + "bbox": [ + 105, + 465, + 319, + 480 + ], + "score": 1.0, + "content": "An invariance property holds on the central path. Let", + "type": "text" + }, + { + "bbox": [ + 320, + 467, + 329, + 477 + ], + "score": 0.8, + "content": "\\pmb { A }", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 465, + 507, + 480 + ], + "score": 1.0, + "content": "denote a symmetric, full-rank matrix. Then,", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 477, + 298, + 490 + ], + "spans": [ + { + "bbox": [ + 106, + 477, + 246, + 490 + ], + "score": 1.0, + "content": "the explicit form in Equation 6 for", + "type": "text" + }, + { + "bbox": [ + 246, + 478, + 265, + 489 + ], + "score": 0.9, + "content": "W _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 265, + 477, + 298, + 490 + ], + "score": 1.0, + "content": "implies", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 26.5, + "bbox_fs": [ + 105, + 465, + 507, + 490 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 141, + 492, + 470, + 557 + ], + "lines": [ + { + "bbox": [ + 141, + 492, + 470, + 557 + ], + "spans": [ + { + "bbox": [ + 141, + 492, + 470, + 557 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { W _ { \\mathrm { L S } } ( A \\overline { { H } } ) A \\overline { { H } } = C ^ { - 1 } \\left( A \\overline { { M } } \\right) ^ { \\top } \\left[ \\left( A \\overline { { H } } \\right) \\left( A \\overline { { H } } \\right) ^ { \\top } \\right] ^ { - 1 } A \\overline { { H } } } \\\\ & { \\qquad = C ^ { - 1 } \\overline { { M } } ^ { \\top } A \\left[ A ^ { - 1 } \\left( \\overline { { H } } \\overline { { H } } ^ { \\top } \\right) ^ { - 1 } A ^ { - 1 } \\right] A \\overline { { H } } } \\\\ & { \\qquad = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\left( \\overline { { H } } \\overline { { H } } ^ { \\top } \\right) ^ { - 1 } \\overline { { H } } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { H } } = W _ { \\mathrm { L S } } \\left( \\overline { { H } } \\right) \\overline { { H } } , } \\end{array}", + "type": "interline_equation", + "image_path": "43a4d9e1cac3cd4f47ea7453fab313a9f74af2785d1589a5d4733c00322f24ed.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 141, + 492, + 470, + 513.6666666666666 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 141, + 513.6666666666666, + 470, + 535.3333333333333 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 141, + 535.3333333333333, + 470, + 556.9999999999999 + ], + "spans": [], + "index": 30 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 559, + 506, + 641 + ], + "lines": [ + { + "bbox": [ + 106, + 559, + 505, + 571 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 183, + 571 + ], + "score": 1.0, + "content": "where the notation", + "type": "text" + }, + { + "bbox": [ + 183, + 559, + 212, + 571 + ], + "score": 0.91, + "content": "W _ { \\mathrm { L S } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 213, + 560, + 291, + 571 + ], + "score": 1.0, + "content": "makes explicit that", + "type": "text" + }, + { + "bbox": [ + 291, + 560, + 311, + 571 + ], + "score": 0.89, + "content": "W _ { \\mathrm { L S } }", + "type": "inline_equation" + }, + { + "bbox": [ + 311, + 560, + 505, + 571 + ], + "score": 1.0, + "content": "is a function of a set of input features. Thus, the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 570, + 505, + 583 + ], + "spans": [ + { + "bbox": [ + 105, + 570, + 505, + 583 + ], + "score": 1.0, + "content": "actual predictions made by the least squares classifier are invariant to choice of the coordinates in", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 581, + 505, + 594 + ], + "spans": [ + { + "bbox": [ + 105, + 581, + 181, + 594 + ], + "score": 1.0, + "content": "which we express", + "type": "text" + }, + { + "bbox": [ + 182, + 581, + 193, + 591 + ], + "score": 0.83, + "content": "\\overline { { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 193, + 581, + 261, + 594 + ], + "score": 1.0, + "content": ", i.e. all features", + "type": "text" + }, + { + "bbox": [ + 261, + 581, + 281, + 592 + ], + "score": 0.88, + "content": "\\overline { { A H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 581, + 505, + 594 + ], + "score": 1.0, + "content": "are equivalently performing. Among those coordinate", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 592, + 505, + 604 + ], + "spans": [ + { + "bbox": [ + 105, + 592, + 505, + 604 + ], + "score": 1.0, + "content": "systems, we will prefer the one in which the “noise” is “whitened” or “sphered.” Recall that we assume", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 602, + 506, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 142, + 616 + ], + "score": 0.92, + "content": "\\dot { \\Sigma } _ { W } ( \\overline { { \\pmb { H } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 602, + 232, + 617 + ], + "score": 1.0, + "content": "—where the notation", + "type": "text" + }, + { + "bbox": [ + 233, + 603, + 262, + 616 + ], + "score": 0.91, + "content": "\\pmb { \\Sigma } _ { W } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 262, + 602, + 506, + 617 + ], + "score": 1.0, + "content": "expresses the within-class covariance as a function of the", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 104, + 614, + 507, + 632 + ], + "spans": [ + { + "bbox": [ + 104, + 615, + 379, + 632 + ], + "score": 1.0, + "content": "features—is positive-definite. Consider the coordinate transformation", + "type": "text" + }, + { + "bbox": [ + 380, + 617, + 420, + 629 + ], + "score": 0.91, + "content": "\\overline { { H } } \\mapsto A \\overline { { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 421, + 615, + 441, + 632 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 441, + 614, + 503, + 631 + ], + "score": 0.94, + "content": "\\pmb { A } = \\pmb { \\Sigma } _ { W } ^ { - \\frac 1 2 } ( \\overline { { \\pmb { H } } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 615, + 507, + 632 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 628, + 416, + 642 + ], + "spans": [ + { + "bbox": [ + 105, + 628, + 416, + 642 + ], + "score": 1.0, + "content": "In these coordinates, the features are “renormalized” to spherical covariance,", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 34, + "bbox_fs": [ + 104, + 559, + 507, + 642 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 238, + 643, + 372, + 658 + ], + "lines": [ + { + "bbox": [ + 238, + 643, + 372, + 658 + ], + "spans": [ + { + "bbox": [ + 238, + 643, + 372, + 658 + ], + "score": 0.91, + "content": "\\Sigma _ { W } ( A { \\overline { { H } } } ) = A \\Sigma _ { W } ( { \\overline { { H } } } ) A = I ,", + "type": "interline_equation", + "image_path": "fb45de8ef133f7502cbca3bb00dc196a605061a5cadbab1f7a780104aae2f328.jpg" + } + ] + } + ], + "index": 38, + "virtual_lines": [ + { + "bbox": [ + 238, + 643, + 372, + 658 + ], + "spans": [], + "index": 38 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 661, + 411, + 673 + ], + "lines": [ + { + "bbox": [ + 105, + 660, + 412, + 674 + ], + "spans": [ + { + "bbox": [ + 105, + 660, + 167, + 674 + ], + "score": 1.0, + "content": "so we will call", + "type": "text" + }, + { + "bbox": [ + 167, + 660, + 187, + 671 + ], + "score": 0.89, + "content": "A \\overline { { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 187, + 660, + 375, + 674 + ], + "score": 1.0, + "content": "the renormalized features. The class-means of", + "type": "text" + }, + { + "bbox": [ + 376, + 660, + 396, + 671 + ], + "score": 0.89, + "content": "A \\overline { { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 396, + 660, + 412, + 674 + ], + "score": 1.0, + "content": "are", + "type": "text" + } + ], + "index": 39 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 660, + 412, + 674 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 215, + 676, + 395, + 694 + ], + "lines": [ + { + "bbox": [ + 215, + 676, + 395, + 694 + ], + "spans": [ + { + "bbox": [ + 215, + 676, + 395, + 694 + ], + "score": 0.93, + "content": "\\overline { { { M } } } ( A \\overline { { { H } } } ) = A \\overline { { { M } } } ( \\overline { { { H } } } ) = \\Sigma _ { W } ^ { - \\frac 1 2 } ( \\overline { { { H } } } ) \\overline { { { M } } } ( \\overline { { { H } } } ) ,", + "type": "interline_equation", + "image_path": "ef816842170c69b4be47dda784c944b125d147c1eea35e883a566896b1d84ed3.jpg" + } + ] + } + ], + "index": 40, + "virtual_lines": [ + { + "bbox": [ + 215, + 676, + 395, + 694 + ], + "spans": [], + "index": 40 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 698, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 697, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 697, + 187, + 711 + ], + "score": 1.0, + "content": "where the notation", + "type": "text" + }, + { + "bbox": [ + 187, + 698, + 211, + 711 + ], + "score": 0.91, + "content": "\\overline { { M } } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 697, + 505, + 711 + ], + "score": 1.0, + "content": "expresses that the means are a function of features. Thus, Equation 5", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "describes continuous training dynamics where we continually “renormalize” features to their", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 105, + 721, + 255, + 732 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 255, + 732 + ], + "score": 1.0, + "content": "equivalently-performing representer.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 42, + "bbox_fs": [ + 105, + 697, + 505, + 732 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 104, + 504, + 127 + ], + "lines": [ + { + "bbox": [ + 105, + 101, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 123, + 118 + ], + "score": 1.0, + "content": "The", + "type": "text" + }, + { + "bbox": [ + 124, + 101, + 158, + 117 + ], + "score": 0.93, + "content": "\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 102, + 506, + 118 + ], + "score": 1.0, + "content": "term evokes the canonical idea of a signal-to-noise ratio from statistics. To see this, note", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 115, + 310, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 310, + 128 + ], + "score": 1.0, + "content": "that the classifier in Equation 6 can be rewritten as", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 129, + 394, + 147 + ], + "lines": [ + { + "bbox": [ + 217, + 129, + 394, + 147 + ], + "spans": [ + { + "bbox": [ + 217, + 129, + 394, + 147 + ], + "score": 0.91, + "content": "\\begin{array} { r } { W _ { \\mathrm { L S } } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\left( C ^ { - 1 } \\overline { { M } } \\overline { { M } } ^ { \\top } + \\Sigma _ { W } \\right) ^ { - 1 } . } \\end{array}", + "type": "interline_equation", + "image_path": "4a130e98590690b75853724f3720ff877fc2dae528495b8f8577e2f807acefe5.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 217, + 129, + 394, + 147 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 156, + 505, + 180 + ], + "lines": [ + { + "bbox": [ + 105, + 155, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 155, + 260, + 169 + ], + "score": 1.0, + "content": "The combined presence of the terms", + "type": "text" + }, + { + "bbox": [ + 260, + 156, + 293, + 167 + ], + "score": 0.9, + "content": "{ \\overline { { M } } } { \\overline { { M } } } ^ { \\top }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 155, + 312, + 169 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 313, + 157, + 331, + 168 + ], + "score": 0.9, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 155, + 463, + 169 + ], + "score": 1.0, + "content": "in the denominator, along with", + "type": "text" + }, + { + "bbox": [ + 464, + 156, + 477, + 167 + ], + "score": 0.86, + "content": "\\bar { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 155, + 506, + 169 + ], + "score": 1.0, + "content": "in the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 168, + 472, + 181 + ], + "spans": [ + { + "bbox": [ + 106, + 168, + 472, + 181 + ], + "score": 1.0, + "content": "numerator, signals to us the presence of the informative signal-to-noise (SNR) ratio matrix:", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5 + }, + { + "type": "interline_equation", + "bbox": [ + 270, + 182, + 343, + 200 + ], + "lines": [ + { + "bbox": [ + 270, + 182, + 343, + 200 + ], + "spans": [ + { + "bbox": [ + 270, + 182, + 343, + 200 + ], + "score": 0.93, + "content": "\\mathrm { S N R } \\equiv { \\bf C } _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { { \\cal M } } } .", + "type": "interline_equation", + "image_path": "110d0bb44d0445a15fa44831f52eeb84c1c8e3260e6049344ed0fbf636b10f91.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 270, + 182, + 343, + 200 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 202, + 505, + 327 + ], + "lines": [ + { + "bbox": [ + 105, + 200, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 505, + 216 + ], + "score": 1.0, + "content": "Why this terminology? The globally-centered class-means represent the overall “signal” indicating", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 212, + 504, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 490, + 227 + ], + "score": 1.0, + "content": "that the class-means are separated from each other: if they were non-separated—e.g. all equal—", + "type": "text" + }, + { + "bbox": [ + 491, + 212, + 504, + 223 + ], + "score": 0.82, + "content": "\\breve { M }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 224, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 450, + 237 + ], + "score": 1.0, + "content": "would be zero. However, a classifier decision must keep in view noise—captured by", + "type": "text" + }, + { + "bbox": [ + 450, + 224, + 468, + 235 + ], + "score": 0.89, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 224, + 506, + 237 + ], + "score": 1.0, + "content": "—which", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 235, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 235, + 505, + 248 + ], + "score": 1.0, + "content": "might confuse the classifier. So, one wishes the signal be large compared to the noise. It may help to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "consider the mental model—which is not at all necessary to the correctness of our analysis—under", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 257, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 312, + 270 + ], + "score": 1.0, + "content": "which the activations are normally distributed with", + "type": "text" + }, + { + "bbox": [ + 313, + 257, + 393, + 269 + ], + "score": 0.92, + "content": "\\pmb { h } _ { i , c } \\sim \\mathcal { N } ( \\pmb { \\mu _ { c } } , \\pmb { \\Sigma _ { W } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 257, + 506, + 270 + ], + "score": 1.0, + "content": ". Under that model, a linear", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 266, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 292, + 282 + ], + "score": 1.0, + "content": "classifier will indeed get confused if the norm", + "type": "text" + }, + { + "bbox": [ + 292, + 269, + 344, + 280 + ], + "score": 0.92, + "content": "\\| \\pmb { \\mu } _ { c } - \\pmb { \\mu } _ { G } \\| _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 266, + 439, + 282 + ], + "score": 1.0, + "content": "is “small compared” to", + "type": "text" + }, + { + "bbox": [ + 439, + 268, + 457, + 279 + ], + "score": 0.89, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 266, + 506, + 282 + ], + "score": 1.0, + "content": ". Replacing", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "this somewhat vague statement by a discussion of quantitative properties of the SNR matrix is well", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "understood by mathematical statisticians to be decisive for understanding classification performance", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 301, + 507, + 320 + ], + "spans": [ + { + "bbox": [ + 104, + 301, + 301, + 320 + ], + "score": 1.0, + "content": "in the normal case. Additionally, observe that", + "type": "text" + }, + { + "bbox": [ + 302, + 301, + 391, + 317 + ], + "score": 0.92, + "content": "\\mathrm { S N R } = \\overline { { M } } ( \\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 301, + 507, + 320 + ], + "score": 1.0, + "content": ". Thus, connecting back to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 315, + 469, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 469, + 329 + ], + "score": 1.0, + "content": "Section 3.1, the SNR matrix is simply the class-means matrix of the renormalized features.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 106, + 332, + 456, + 344 + ], + "lines": [ + { + "bbox": [ + 104, + 329, + 447, + 348 + ], + "spans": [ + { + "bbox": [ + 104, + 329, + 447, + 348 + ], + "score": 1.0, + "content": "The SNR can be further understood through its singular value decomposition (SVD).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 104, + 346, + 492, + 358 + ], + "lines": [ + { + "bbox": [ + 106, + 345, + 494, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 494, + 360 + ], + "score": 1.0, + "content": "Definition 2 (SVD of SNR Matrix). Denote the SVD of the SNR matrix (Equation 8) as follows:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "interline_equation", + "bbox": [ + 236, + 360, + 374, + 396 + ], + "lines": [ + { + "bbox": [ + 236, + 360, + 374, + 396 + ], + "spans": [ + { + "bbox": [ + 236, + 360, + 374, + 396 + ], + "score": 0.94, + "content": "\\mathrm { S N R } = U \\Omega V ^ { \\top } = \\sum _ { j = 1 } ^ { C - 1 } \\omega _ { j } \\pmb { u } _ { j } \\pmb { v } _ { j } ^ { \\top } .", + "type": "interline_equation", + "image_path": "0fa6f3ce2ecf80610b3bebd794def0cfb9fd9d84c2192b1fe92e518b1a5718a6.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 236, + 360, + 374, + 378.0 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 236, + 378.0, + 374, + 396.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 398, + 505, + 449 + ], + "lines": [ + { + "bbox": [ + 103, + 396, + 507, + 417 + ], + "spans": [ + { + "bbox": [ + 103, + 396, + 130, + 417 + ], + "score": 1.0, + "content": "Here,", + "type": "text" + }, + { + "bbox": [ + 130, + 398, + 168, + 412 + ], + "score": 0.93, + "content": "\\{ \\omega _ { c } \\} _ { c = 1 } ^ { C - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 396, + 332, + 417 + ], + "score": 1.0, + "content": "are the non-zero singular values of SNR;", + "type": "text" + }, + { + "bbox": [ + 333, + 398, + 470, + 413 + ], + "score": 0.93, + "content": "\\Omega = \\mathrm { d i a g } \\left( \\left\\{ \\omega _ { c } \\right\\} _ { c = 1 } ^ { C - 1 } , 0 \\right) \\in \\mathbb { R } ^ { C \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 396, + 507, + 417 + ], + "score": 1.0, + "content": "; and the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 410, + 507, + 426 + ], + "spans": [ + { + "bbox": [ + 104, + 410, + 230, + 426 + ], + "score": 1.0, + "content": "left and right singular-vectors,", + "type": "text" + }, + { + "bbox": [ + 230, + 412, + 279, + 423 + ], + "score": 0.92, + "content": "U \\in \\mathbb { R } ^ { P \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 410, + 298, + 426 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 298, + 412, + 346, + 423 + ], + "score": 0.9, + "content": "V \\in \\mathbb { R } ^ { C \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 410, + 507, + 426 + ], + "score": 1.0, + "content": ", are partial orthogonal and orthogonal", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 423, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 257, + 438 + ], + "score": 1.0, + "content": "matrices, respectively, with columns", + "type": "text" + }, + { + "bbox": [ + 257, + 423, + 293, + 437 + ], + "score": 0.93, + "content": "\\{ u _ { j } \\} _ { j = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 423, + 313, + 438 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 314, + 423, + 348, + 437 + ], + "score": 0.92, + "content": "\\{ \\pmb { v } _ { j } \\} _ { j = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 423, + 453, + 438 + ], + "score": 1.0, + "content": ". The SNR matrix is rank", + "type": "text" + }, + { + "bbox": [ + 453, + 424, + 480, + 434 + ], + "score": 0.89, + "content": "C - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 423, + 506, + 438 + ], + "score": 1.0, + "content": "since", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 436, + 429, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 124, + 448 + ], + "score": 0.87, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 436, + 227, + 450 + ], + "score": 1.0, + "content": "is assumed full-rank and", + "type": "text" + }, + { + "bbox": [ + 227, + 436, + 240, + 447 + ], + "score": 0.84, + "content": "\\bar { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 436, + 271, + 450 + ], + "score": 1.0, + "content": "is rank", + "type": "text" + }, + { + "bbox": [ + 272, + 438, + 298, + 447 + ], + "score": 0.89, + "content": "C - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 436, + 429, + 450 + ], + "score": 1.0, + "content": "due to global-mean subtraction.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5 + }, + { + "type": "text", + "bbox": [ + 106, + 456, + 506, + 568 + ], + "lines": [ + { + "bbox": [ + 101, + 451, + 509, + 479 + ], + "spans": [ + { + "bbox": [ + 101, + 451, + 227, + 479 + ], + "score": 1.0, + "content": "The non-zero singular values,", + "type": "text" + }, + { + "bbox": [ + 228, + 456, + 266, + 471 + ], + "score": 0.92, + "content": "\\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 451, + 509, + 479 + ], + "score": 1.0, + "content": ", are decisive for understanding the separation performance", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 468, + 506, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 482 + ], + "score": 1.0, + "content": "of the least-squares linear classifier. Good performance demands that the singular values be large.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 479, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 506, + 492 + ], + "score": 1.0, + "content": "Works such as Fukunaga (1972, Chapter 10) and Hastie & Tibshirani (1996) show that the magnitude", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 491, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 506, + 503 + ], + "score": 1.0, + "content": "of each singular value of the SNR matrix is the size of the class separation in the direction of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "score": 1.0, + "content": "the corresponding singular vector. In this sense, the smallest singular value captures the smallest", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "score": 1.0, + "content": "separation between classes. Consequently, driving-larger the smallest non-zero singular value makes", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 523, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 537 + ], + "score": 1.0, + "content": "the task of linear separation more immune to (spherical) noise and to Euclidean-norm-constrained", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "adversarial noise. As we will see in the next section, examining the dynamics of these singular-values", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 545, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 506, + 559 + ], + "score": 1.0, + "content": "when the features undergo gradient flow in renormalized coordinates leads to precise characterizations", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 555, + 193, + 569 + ], + "spans": [ + { + "bbox": [ + 104, + 555, + 193, + 569 + ], + "score": 1.0, + "content": "of Neural Collapse13.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29.5 + }, + { + "type": "title", + "bbox": [ + 107, + 581, + 216, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 218, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 218, + 595 + ], + "score": 1.0, + "content": "3.3 DYNAMICS OF SNR", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 600, + 507, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 170, + 615 + ], + "score": 1.0, + "content": "For any matrix", + "type": "text" + }, + { + "bbox": [ + 170, + 602, + 179, + 612 + ], + "score": 0.79, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 600, + 214, + 615 + ], + "score": 1.0, + "content": ", we use", + "type": "text" + }, + { + "bbox": [ + 215, + 602, + 226, + 613 + ], + "score": 0.87, + "content": "\\scriptstyle { Z _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 600, + 454, + 615 + ], + "score": 1.0, + "content": "in this section to denote the state of that matrix at time", + "type": "text" + }, + { + "bbox": [ + 454, + 603, + 459, + 612 + ], + "score": 0.52, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 600, + 507, + 615 + ], + "score": 1.0, + "content": ". Similarly,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 101, + 607, + 510, + 637 + ], + "spans": [ + { + "bbox": [ + 101, + 607, + 172, + 637 + ], + "score": 1.0, + "content": "we denote with Proposition 2 an", + "type": "text" + }, + { + "bbox": [ + 173, + 613, + 222, + 628 + ], + "score": 0.92, + "content": "\\{ \\omega _ { j } ( t ) \\} _ { j = 1 } ^ { C - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 607, + 425, + 637 + ], + "score": 1.0, + "content": "the state of the non-zero SNR singular values at s 1-2 that provide the explicit dynamics referenced", + "type": "text" + }, + { + "bbox": [ + 425, + 615, + 430, + 624 + ], + "score": 0.72, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 607, + 510, + 637 + ], + "score": 1.0, + "content": ". We now presenty Theorem 3.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + }, + { + "type": "text", + "bbox": [ + 107, + 638, + 504, + 672 + ], + "lines": [ + { + "bbox": [ + 105, + 638, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 651 + ], + "score": 1.0, + "content": "Proposition 2 (Dynamics of Singular Values of SNR Matrix; Proof in Appendix D.4). Continually", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 650, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 662 + ], + "score": 1.0, + "content": "renormalized gradient flow on the central path (Equation 5) induces the following closed-form", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 661, + 317, + 673 + ], + "spans": [ + { + "bbox": [ + 106, + 661, + 317, + 673 + ], + "score": 1.0, + "content": "dynamics on the SNR singular values (Definition 2):", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39 + }, + { + "type": "interline_equation", + "bbox": [ + 138, + 673, + 472, + 690 + ], + "lines": [ + { + "bbox": [ + 138, + 673, + 472, + 690 + ], + "spans": [ + { + "bbox": [ + 138, + 673, + 472, + 690 + ], + "score": 0.9, + "content": "c _ { 1 } \\log ( \\omega _ { j } ( t ) ) + c _ { 2 } \\omega _ { j } ^ { 2 } ( t ) + c _ { 3 } \\omega _ { j } ^ { 4 } ( t ) = a _ { j } + t , \\quad t \\geq 0 , \\quad f o r a l l j = 1 , \\ldots , C - 1 .", + "type": "interline_equation", + "image_path": "b5f347040f0f1036382c24e2f6d0596a8864370c0f2d84785cbec392232410b6.jpg" + } + ] + } + ], + "index": 41, + "virtual_lines": [ + { + "bbox": [ + 138, + 673, + 472, + 690 + ], + "spans": [], + "index": 41 + } + ] + }, + { + "type": "text", + "bbox": [ + 110, + 692, + 487, + 704 + ], + "lines": [ + { + "bbox": [ + 107, + 690, + 485, + 707 + ], + "spans": [ + { + "bbox": [ + 107, + 694, + 130, + 703 + ], + "score": 0.48, + "content": "c _ { 1 } , \\ : c _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 690, + 151, + 707 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 152, + 694, + 162, + 703 + ], + "score": 0.82, + "content": "c _ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 690, + 313, + 707 + ], + "score": 1.0, + "content": "are positive constants independent of", + "type": "text" + }, + { + "bbox": [ + 313, + 693, + 319, + 704 + ], + "score": 0.77, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 690, + 340, + 707 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 340, + 693, + 351, + 704 + ], + "score": 0.84, + "content": "a _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 690, + 461, + 707 + ], + "score": 1.0, + "content": "is a constant depending on", + "type": "text" + }, + { + "bbox": [ + 462, + 691, + 485, + 704 + ], + "score": 0.91, + "content": "\\omega _ { j } ( 0 )", + "type": "inline_equation" + } + ], + "index": 42 + } + ], + "index": 42 + } + ], + "page_idx": 7, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 105, + 711, + 507, + 732 + ], + "lines": [ + { + "bbox": [ + 117, + 708, + 506, + 724 + ], + "spans": [ + { + "bbox": [ + 117, + 708, + 506, + 724 + ], + "score": 1.0, + "content": "13For additional, supplementary intuitions about invariance, renormalization, and continually renormalized", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 721, + 312, + 732 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 312, + 732 + ], + "score": 1.0, + "content": "gradient flow, see the exposition in Appendices D.1-D.3.", + "type": "text" + } + ] + } + ] + }, + { + "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 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 302, + 751, + 309, + 760 + ], + "lines": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "spans": [ + { + "bbox": [ + 302, + 750, + 309, + 761 + ], + "score": 1.0, + "content": "8", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 106, + 82, + 377, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 82, + 378, + 95 + ], + "spans": [ + { + "bbox": [ + 105, + 82, + 378, + 95 + ], + "score": 1.0, + "content": "3.2 SIGNAL-TO-NOISE RATIO MATRIX ON THE CENTRAL PATH", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 104, + 504, + 127 + ], + "lines": [ + { + "bbox": [ + 105, + 101, + 506, + 118 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 123, + 118 + ], + "score": 1.0, + "content": "The", + "type": "text" + }, + { + "bbox": [ + 124, + 101, + 158, + 117 + ], + "score": 0.93, + "content": "\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 159, + 102, + 506, + 118 + ], + "score": 1.0, + "content": "term evokes the canonical idea of a signal-to-noise ratio from statistics. To see this, note", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 115, + 310, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 310, + 128 + ], + "score": 1.0, + "content": "that the classifier in Equation 6 can be rewritten as", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 101, + 506, + 128 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 129, + 394, + 147 + ], + "lines": [ + { + "bbox": [ + 217, + 129, + 394, + 147 + ], + "spans": [ + { + "bbox": [ + 217, + 129, + 394, + 147 + ], + "score": 0.91, + "content": "\\begin{array} { r } { W _ { \\mathrm { L S } } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\left( C ^ { - 1 } \\overline { { M } } \\overline { { M } } ^ { \\top } + \\Sigma _ { W } \\right) ^ { - 1 } . } \\end{array}", + "type": "interline_equation", + "image_path": "4a130e98590690b75853724f3720ff877fc2dae528495b8f8577e2f807acefe5.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 217, + 129, + 394, + 147 + ], + "spans": [], + "index": 2 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 156, + 505, + 180 + ], + "lines": [ + { + "bbox": [ + 105, + 155, + 506, + 169 + ], + "spans": [ + { + "bbox": [ + 105, + 155, + 260, + 169 + ], + "score": 1.0, + "content": "The combined presence of the terms", + "type": "text" + }, + { + "bbox": [ + 260, + 156, + 293, + 167 + ], + "score": 0.9, + "content": "{ \\overline { { M } } } { \\overline { { M } } } ^ { \\top }", + "type": "inline_equation" + }, + { + "bbox": [ + 293, + 155, + 312, + 169 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 313, + 157, + 331, + 168 + ], + "score": 0.9, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 155, + 463, + 169 + ], + "score": 1.0, + "content": "in the denominator, along with", + "type": "text" + }, + { + "bbox": [ + 464, + 156, + 477, + 167 + ], + "score": 0.86, + "content": "\\bar { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 155, + 506, + 169 + ], + "score": 1.0, + "content": "in the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 106, + 168, + 472, + 181 + ], + "spans": [ + { + "bbox": [ + 106, + 168, + 472, + 181 + ], + "score": 1.0, + "content": "numerator, signals to us the presence of the informative signal-to-noise (SNR) ratio matrix:", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 3.5, + "bbox_fs": [ + 105, + 155, + 506, + 181 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 270, + 182, + 343, + 200 + ], + "lines": [ + { + "bbox": [ + 270, + 182, + 343, + 200 + ], + "spans": [ + { + "bbox": [ + 270, + 182, + 343, + 200 + ], + "score": 0.93, + "content": "\\mathrm { S N R } \\equiv { \\bf C } _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { { \\cal M } } } .", + "type": "interline_equation", + "image_path": "110d0bb44d0445a15fa44831f52eeb84c1c8e3260e6049344ed0fbf636b10f91.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 270, + 182, + 343, + 200 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 202, + 505, + 327 + ], + "lines": [ + { + "bbox": [ + 105, + 200, + 505, + 216 + ], + "spans": [ + { + "bbox": [ + 105, + 200, + 505, + 216 + ], + "score": 1.0, + "content": "Why this terminology? The globally-centered class-means represent the overall “signal” indicating", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 212, + 504, + 227 + ], + "spans": [ + { + "bbox": [ + 105, + 212, + 490, + 227 + ], + "score": 1.0, + "content": "that the class-means are separated from each other: if they were non-separated—e.g. all equal—", + "type": "text" + }, + { + "bbox": [ + 491, + 212, + 504, + 223 + ], + "score": 0.82, + "content": "\\breve { M }", + "type": "inline_equation" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 224, + 506, + 237 + ], + "spans": [ + { + "bbox": [ + 105, + 224, + 450, + 237 + ], + "score": 1.0, + "content": "would be zero. However, a classifier decision must keep in view noise—captured by", + "type": "text" + }, + { + "bbox": [ + 450, + 224, + 468, + 235 + ], + "score": 0.89, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 468, + 224, + 506, + 237 + ], + "score": 1.0, + "content": "—which", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 235, + 505, + 248 + ], + "spans": [ + { + "bbox": [ + 106, + 235, + 505, + 248 + ], + "score": 1.0, + "content": "might confuse the classifier. So, one wishes the signal be large compared to the noise. It may help to", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "spans": [ + { + "bbox": [ + 105, + 246, + 506, + 259 + ], + "score": 1.0, + "content": "consider the mental model—which is not at all necessary to the correctness of our analysis—under", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 257, + 506, + 270 + ], + "spans": [ + { + "bbox": [ + 105, + 257, + 312, + 270 + ], + "score": 1.0, + "content": "which the activations are normally distributed with", + "type": "text" + }, + { + "bbox": [ + 313, + 257, + 393, + 269 + ], + "score": 0.92, + "content": "\\pmb { h } _ { i , c } \\sim \\mathcal { N } ( \\pmb { \\mu _ { c } } , \\pmb { \\Sigma _ { W } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 257, + 506, + 270 + ], + "score": 1.0, + "content": ". Under that model, a linear", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 266, + 506, + 282 + ], + "spans": [ + { + "bbox": [ + 105, + 266, + 292, + 282 + ], + "score": 1.0, + "content": "classifier will indeed get confused if the norm", + "type": "text" + }, + { + "bbox": [ + 292, + 269, + 344, + 280 + ], + "score": 0.92, + "content": "\\| \\pmb { \\mu } _ { c } - \\pmb { \\mu } _ { G } \\| _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 344, + 266, + 439, + 282 + ], + "score": 1.0, + "content": "is “small compared” to", + "type": "text" + }, + { + "bbox": [ + 439, + 268, + 457, + 279 + ], + "score": 0.89, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 458, + 266, + 506, + 282 + ], + "score": 1.0, + "content": ". Replacing", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "spans": [ + { + "bbox": [ + 105, + 279, + 505, + 291 + ], + "score": 1.0, + "content": "this somewhat vague statement by a discussion of quantitative properties of the SNR matrix is well", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "spans": [ + { + "bbox": [ + 105, + 289, + 505, + 303 + ], + "score": 1.0, + "content": "understood by mathematical statisticians to be decisive for understanding classification performance", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 301, + 507, + 320 + ], + "spans": [ + { + "bbox": [ + 104, + 301, + 301, + 320 + ], + "score": 1.0, + "content": "in the normal case. Additionally, observe that", + "type": "text" + }, + { + "bbox": [ + 302, + 301, + 391, + 317 + ], + "score": 0.92, + "content": "\\mathrm { S N R } = \\overline { { M } } ( \\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 301, + 507, + 320 + ], + "score": 1.0, + "content": ". Thus, connecting back to", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 315, + 469, + 329 + ], + "spans": [ + { + "bbox": [ + 105, + 315, + 469, + 329 + ], + "score": 1.0, + "content": "Section 3.1, the SNR matrix is simply the class-means matrix of the renormalized features.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 11, + "bbox_fs": [ + 104, + 200, + 507, + 329 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 332, + 456, + 344 + ], + "lines": [ + { + "bbox": [ + 104, + 329, + 447, + 348 + ], + "spans": [ + { + "bbox": [ + 104, + 329, + 447, + 348 + ], + "score": 1.0, + "content": "The SNR can be further understood through its singular value decomposition (SVD).", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17, + "bbox_fs": [ + 104, + 329, + 447, + 348 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 346, + 492, + 358 + ], + "lines": [ + { + "bbox": [ + 106, + 345, + 494, + 360 + ], + "spans": [ + { + "bbox": [ + 106, + 345, + 494, + 360 + ], + "score": 1.0, + "content": "Definition 2 (SVD of SNR Matrix). Denote the SVD of the SNR matrix (Equation 8) as follows:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 106, + 345, + 494, + 360 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 236, + 360, + 374, + 396 + ], + "lines": [ + { + "bbox": [ + 236, + 360, + 374, + 396 + ], + "spans": [ + { + "bbox": [ + 236, + 360, + 374, + 396 + ], + "score": 0.94, + "content": "\\mathrm { S N R } = U \\Omega V ^ { \\top } = \\sum _ { j = 1 } ^ { C - 1 } \\omega _ { j } \\pmb { u } _ { j } \\pmb { v } _ { j } ^ { \\top } .", + "type": "interline_equation", + "image_path": "0fa6f3ce2ecf80610b3bebd794def0cfb9fd9d84c2192b1fe92e518b1a5718a6.jpg" + } + ] + } + ], + "index": 19.5, + "virtual_lines": [ + { + "bbox": [ + 236, + 360, + 374, + 378.0 + ], + "spans": [], + "index": 19 + }, + { + "bbox": [ + 236, + 378.0, + 374, + 396.0 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 398, + 505, + 449 + ], + "lines": [ + { + "bbox": [ + 103, + 396, + 507, + 417 + ], + "spans": [ + { + "bbox": [ + 103, + 396, + 130, + 417 + ], + "score": 1.0, + "content": "Here,", + "type": "text" + }, + { + "bbox": [ + 130, + 398, + 168, + 412 + ], + "score": 0.93, + "content": "\\{ \\omega _ { c } \\} _ { c = 1 } ^ { C - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 168, + 396, + 332, + 417 + ], + "score": 1.0, + "content": "are the non-zero singular values of SNR;", + "type": "text" + }, + { + "bbox": [ + 333, + 398, + 470, + 413 + ], + "score": 0.93, + "content": "\\Omega = \\mathrm { d i a g } \\left( \\left\\{ \\omega _ { c } \\right\\} _ { c = 1 } ^ { C - 1 } , 0 \\right) \\in \\mathbb { R } ^ { C \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 470, + 396, + 507, + 417 + ], + "score": 1.0, + "content": "; and the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 410, + 507, + 426 + ], + "spans": [ + { + "bbox": [ + 104, + 410, + 230, + 426 + ], + "score": 1.0, + "content": "left and right singular-vectors,", + "type": "text" + }, + { + "bbox": [ + 230, + 412, + 279, + 423 + ], + "score": 0.92, + "content": "U \\in \\mathbb { R } ^ { P \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 279, + 410, + 298, + 426 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 298, + 412, + 346, + 423 + ], + "score": 0.9, + "content": "V \\in \\mathbb { R } ^ { C \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 347, + 410, + 507, + 426 + ], + "score": 1.0, + "content": ", are partial orthogonal and orthogonal", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 423, + 506, + 438 + ], + "spans": [ + { + "bbox": [ + 105, + 423, + 257, + 438 + ], + "score": 1.0, + "content": "matrices, respectively, with columns", + "type": "text" + }, + { + "bbox": [ + 257, + 423, + 293, + 437 + ], + "score": 0.93, + "content": "\\{ u _ { j } \\} _ { j = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 294, + 423, + 313, + 438 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 314, + 423, + 348, + 437 + ], + "score": 0.92, + "content": "\\{ \\pmb { v } _ { j } \\} _ { j = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 348, + 423, + 453, + 438 + ], + "score": 1.0, + "content": ". The SNR matrix is rank", + "type": "text" + }, + { + "bbox": [ + 453, + 424, + 480, + 434 + ], + "score": 0.89, + "content": "C - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 480, + 423, + 506, + 438 + ], + "score": 1.0, + "content": "since", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 436, + 429, + 450 + ], + "spans": [ + { + "bbox": [ + 106, + 437, + 124, + 448 + ], + "score": 0.87, + "content": "\\Sigma _ { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 125, + 436, + 227, + 450 + ], + "score": 1.0, + "content": "is assumed full-rank and", + "type": "text" + }, + { + "bbox": [ + 227, + 436, + 240, + 447 + ], + "score": 0.84, + "content": "\\bar { M }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 436, + 271, + 450 + ], + "score": 1.0, + "content": "is rank", + "type": "text" + }, + { + "bbox": [ + 272, + 438, + 298, + 447 + ], + "score": 0.89, + "content": "C - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 298, + 436, + 429, + 450 + ], + "score": 1.0, + "content": "due to global-mean subtraction.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 22.5, + "bbox_fs": [ + 103, + 396, + 507, + 450 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 456, + 506, + 568 + ], + "lines": [ + { + "bbox": [ + 101, + 451, + 509, + 479 + ], + "spans": [ + { + "bbox": [ + 101, + 451, + 227, + 479 + ], + "score": 1.0, + "content": "The non-zero singular values,", + "type": "text" + }, + { + "bbox": [ + 228, + 456, + 266, + 471 + ], + "score": 0.92, + "content": "\\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 451, + 509, + 479 + ], + "score": 1.0, + "content": ", are decisive for understanding the separation performance", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 468, + 506, + 482 + ], + "spans": [ + { + "bbox": [ + 105, + 468, + 506, + 482 + ], + "score": 1.0, + "content": "of the least-squares linear classifier. Good performance demands that the singular values be large.", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 479, + 506, + 492 + ], + "spans": [ + { + "bbox": [ + 105, + 479, + 506, + 492 + ], + "score": 1.0, + "content": "Works such as Fukunaga (1972, Chapter 10) and Hastie & Tibshirani (1996) show that the magnitude", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 491, + 506, + 503 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 506, + 503 + ], + "score": 1.0, + "content": "of each singular value of the SNR matrix is the size of the class separation in the direction of", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 502, + 506, + 514 + ], + "score": 1.0, + "content": "the corresponding singular vector. In this sense, the smallest singular value captures the smallest", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 513, + 506, + 527 + ], + "score": 1.0, + "content": "separation between classes. Consequently, driving-larger the smallest non-zero singular value makes", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 523, + 506, + 537 + ], + "spans": [ + { + "bbox": [ + 105, + 523, + 506, + 537 + ], + "score": 1.0, + "content": "the task of linear separation more immune to (spherical) noise and to Euclidean-norm-constrained", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "spans": [ + { + "bbox": [ + 105, + 534, + 505, + 547 + ], + "score": 1.0, + "content": "adversarial noise. As we will see in the next section, examining the dynamics of these singular-values", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 545, + 506, + 559 + ], + "spans": [ + { + "bbox": [ + 105, + 545, + 506, + 559 + ], + "score": 1.0, + "content": "when the features undergo gradient flow in renormalized coordinates leads to precise characterizations", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 104, + 555, + 193, + 569 + ], + "spans": [ + { + "bbox": [ + 104, + 555, + 193, + 569 + ], + "score": 1.0, + "content": "of Neural Collapse13.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 29.5, + "bbox_fs": [ + 101, + 451, + 509, + 569 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 581, + 216, + 592 + ], + "lines": [ + { + "bbox": [ + 105, + 578, + 218, + 595 + ], + "spans": [ + { + "bbox": [ + 105, + 578, + 218, + 595 + ], + "score": 1.0, + "content": "3.3 DYNAMICS OF SNR", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "text", + "bbox": [ + 107, + 601, + 505, + 637 + ], + "lines": [ + { + "bbox": [ + 105, + 600, + 507, + 615 + ], + "spans": [ + { + "bbox": [ + 105, + 600, + 170, + 615 + ], + "score": 1.0, + "content": "For any matrix", + "type": "text" + }, + { + "bbox": [ + 170, + 602, + 179, + 612 + ], + "score": 0.79, + "content": "z", + "type": "inline_equation" + }, + { + "bbox": [ + 180, + 600, + 214, + 615 + ], + "score": 1.0, + "content": ", we use", + "type": "text" + }, + { + "bbox": [ + 215, + 602, + 226, + 613 + ], + "score": 0.87, + "content": "\\scriptstyle { Z _ { t } }", + "type": "inline_equation" + }, + { + "bbox": [ + 227, + 600, + 454, + 615 + ], + "score": 1.0, + "content": "in this section to denote the state of that matrix at time", + "type": "text" + }, + { + "bbox": [ + 454, + 603, + 459, + 612 + ], + "score": 0.52, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 459, + 600, + 507, + 615 + ], + "score": 1.0, + "content": ". Similarly,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 101, + 607, + 510, + 637 + ], + "spans": [ + { + "bbox": [ + 101, + 607, + 172, + 637 + ], + "score": 1.0, + "content": "we denote with Proposition 2 an", + "type": "text" + }, + { + "bbox": [ + 173, + 613, + 222, + 628 + ], + "score": 0.92, + "content": "\\{ \\omega _ { j } ( t ) \\} _ { j = 1 } ^ { C - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 222, + 607, + 425, + 637 + ], + "score": 1.0, + "content": "the state of the non-zero SNR singular values at s 1-2 that provide the explicit dynamics referenced", + "type": "text" + }, + { + "bbox": [ + 425, + 615, + 430, + 624 + ], + "score": 0.72, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 431, + 607, + 510, + 637 + ], + "score": 1.0, + "content": ". We now presenty Theorem 3.", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5, + "bbox_fs": [ + 101, + 600, + 510, + 637 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 638, + 504, + 672 + ], + "lines": [ + { + "bbox": [ + 105, + 638, + 505, + 651 + ], + "spans": [ + { + "bbox": [ + 105, + 638, + 505, + 651 + ], + "score": 1.0, + "content": "Proposition 2 (Dynamics of Singular Values of SNR Matrix; Proof in Appendix D.4). Continually", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 650, + 505, + 662 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 505, + 662 + ], + "score": 1.0, + "content": "renormalized gradient flow on the central path (Equation 5) induces the following closed-form", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 661, + 317, + 673 + ], + "spans": [ + { + "bbox": [ + 106, + 661, + 317, + 673 + ], + "score": 1.0, + "content": "dynamics on the SNR singular values (Definition 2):", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 39, + "bbox_fs": [ + 105, + 638, + 505, + 673 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 138, + 673, + 472, + 690 + ], + "lines": [ + { + "bbox": [ + 138, + 673, + 472, + 690 + ], + "spans": [ + { + "bbox": [ + 138, + 673, + 472, + 690 + ], + "score": 0.9, + "content": "c _ { 1 } \\log ( \\omega _ { j } ( t ) ) + c _ { 2 } \\omega _ { j } ^ { 2 } ( t ) + c _ { 3 } \\omega _ { j } ^ { 4 } ( t ) = a _ { j } + t , \\quad t \\geq 0 , \\quad f o r a l l j = 1 , \\ldots , C - 1 .", + "type": "interline_equation", + "image_path": "b5f347040f0f1036382c24e2f6d0596a8864370c0f2d84785cbec392232410b6.jpg" + } + ] + } + ], + "index": 41, + "virtual_lines": [ + { + "bbox": [ + 138, + 673, + 472, + 690 + ], + "spans": [], + "index": 41 + } + ] + }, + { + "type": "text", + "bbox": [ + 110, + 692, + 487, + 704 + ], + "lines": [ + { + "bbox": [ + 107, + 690, + 485, + 707 + ], + "spans": [ + { + "bbox": [ + 107, + 694, + 130, + 703 + ], + "score": 0.48, + "content": "c _ { 1 } , \\ : c _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 690, + 151, + 707 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 152, + 694, + 162, + 703 + ], + "score": 0.82, + "content": "c _ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 690, + 313, + 707 + ], + "score": 1.0, + "content": "are positive constants independent of", + "type": "text" + }, + { + "bbox": [ + 313, + 693, + 319, + 704 + ], + "score": 0.77, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 690, + 340, + 707 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 340, + 693, + 351, + 704 + ], + "score": 0.84, + "content": "a _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 690, + 461, + 707 + ], + "score": 1.0, + "content": "is a constant depending on", + "type": "text" + }, + { + "bbox": [ + 462, + 691, + 485, + 704 + ], + "score": 0.91, + "content": "\\omega _ { j } ( 0 )", + "type": "inline_equation" + } + ], + "index": 42 + } + ], + "index": 42, + "bbox_fs": [ + 107, + 690, + 485, + 707 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 104, + 82, + 505, + 106 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "Corollary 1 (Properties of SNR Singular Values; Proof in Appendix D.5). SNR singular values", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 465, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 465, + 107 + ], + "score": 1.0, + "content": "(Definition 2) following the Equation 9 dynamics satisfy the following limiting behaviors:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "interline_equation", + "bbox": [ + 129, + 110, + 465, + 159 + ], + "lines": [ + { + "bbox": [ + 129, + 110, + 465, + 159 + ], + "spans": [ + { + "bbox": [ + 129, + 110, + 465, + 159 + ], + "score": 0.42, + "content": "\\begin{array} { r l } & { 1 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\omega _ { j } ( t ) = \\infty \\quad a n d \\quad \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { t / c _ { 3 } } } = 1 , \\quad f o r a l l \\ j = 1 , \\ldots , C - 1 . } \\\\ & { } \\\\ & { 2 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 . } \\end{array}", + "type": "interline_equation", + "image_path": "d568c88a6644d625fe7fc5884610fc440ee4c88e633b10aad77cc77c8a569f76.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 129, + 110, + 465, + 126.33333333333333 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 129, + 126.33333333333333, + 465, + 142.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 129, + 142.66666666666666, + 465, + 159.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 165, + 506, + 243 + ], + "lines": [ + { + "bbox": [ + 104, + 164, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 104, + 164, + 401, + 183 + ], + "score": 1.0, + "content": "The first fact shows that all non-zero singular values of the SNR matrix,", + "type": "text" + }, + { + "bbox": [ + 401, + 165, + 436, + 182 + ], + "score": 0.93, + "content": "\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 164, + 506, + 183 + ], + "score": 1.0, + "content": ", grow to infinity", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 181, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 215, + 195 + ], + "score": 1.0, + "content": "at an asymptotic rate of", + "type": "text" + }, + { + "bbox": [ + 216, + 181, + 243, + 195 + ], + "score": 0.93, + "content": "\\sqrt [ 4 ] { t / c _ { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 181, + 506, + 195 + ], + "score": 1.0, + "content": ". Intuitively, this shows that the “signal” becomes infinitely", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 192, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 104, + 192, + 506, + 207 + ], + "score": 1.0, + "content": "large compared to the “noise”, i.e. (NC1). The second fact shows that the singular values of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 204, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 141, + 220 + ], + "score": 0.92, + "content": "\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 206, + 506, + 222 + ], + "score": 1.0, + "content": "(which has zero-mean columns) approach equality—implying that the limiting matrix is a", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 219, + 507, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 507, + 231 + ], + "score": 1.0, + "content": "Simplex ETF (Lemma 7, Appendix D.6) i.e. (NC2). Finally, Papyan, Han, and Donoho (2020, The-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 230, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 505, + 243 + ], + "score": 1.0, + "content": "orem 1) show that (NC1-2) imply (NC3-4) on the central path. Corollary 2 formalizes these intuitions.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5 + }, + { + "type": "text", + "bbox": [ + 107, + 253, + 504, + 277 + ], + "lines": [ + { + "bbox": [ + 106, + 254, + 504, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 254, + 504, + 267 + ], + "score": 1.0, + "content": "Corollary 2 (Neural Collapse Under MSE Loss; Proof in Appendix D.6). Under continually", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 265, + 442, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 259, + 278 + ], + "score": 1.0, + "content": "renormalized gradient flow (Equation", + "type": "text" + }, + { + "bbox": [ + 259, + 266, + 266, + 275 + ], + "score": 0.25, + "content": "5", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 265, + 442, + 278 + ], + "score": 1.0, + "content": "), the SNR matrix (Equation 8) converges to", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5 + }, + { + "type": "interline_equation", + "bbox": [ + 242, + 278, + 370, + 304 + ], + "lines": [ + { + "bbox": [ + 242, + 278, + 370, + 304 + ], + "spans": [ + { + "bbox": [ + 242, + 278, + 370, + 304 + ], + "score": 0.95, + "content": "\\operatorname* { l i m } _ { t \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\mathrm { S N R } _ { t } = \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ,", + "type": "interline_equation", + "image_path": "657c89b3a34fcee8c126605d2f4b190834164203c8371bc6168a1380412e49a8.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 242, + 278, + 370, + 304 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 305, + 505, + 352 + ], + "lines": [ + { + "bbox": [ + 104, + 304, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 104, + 304, + 134, + 321 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 305, + 205, + 319 + ], + "score": 0.91, + "content": "\\widehat { U } _ { 0 } \\in \\mathbb { R } ^ { P \\times ( C - 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 304, + 226, + 321 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 227, + 306, + 296, + 319 + ], + "score": 0.92, + "content": "\\widehat { V } _ { 0 } \\in \\mathbb { R } ^ { C \\times ( C - 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 304, + 506, + 321 + ], + "score": 1.0, + "content": "are the left and right singular vectors of the SNR", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 207, + 331 + ], + "score": 1.0, + "content": "matrix (Definition 2) at", + "type": "text" + }, + { + "bbox": [ + 207, + 319, + 225, + 329 + ], + "score": 0.84, + "content": "t { = } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 318, + 444, + 331 + ], + "score": 1.0, + "content": "corresponding to the non-zero singular values; and", + "type": "text" + }, + { + "bbox": [ + 444, + 319, + 478, + 330 + ], + "score": 0.9, + "content": "\\omega _ { \\mathrm { m a x } } ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 330, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 223, + 342 + ], + "score": 1.0, + "content": "largest singular value at time", + "type": "text" + }, + { + "bbox": [ + 223, + 331, + 228, + 339 + ], + "score": 0.33, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 330, + 328, + 342 + ], + "score": 1.0, + "content": ". Furthermore, Corollary", + "type": "text" + }, + { + "bbox": [ + 329, + 330, + 334, + 339 + ], + "score": 0.36, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 330, + 506, + 342 + ], + "score": 1.0, + "content": "implies the occurrence of (NC1)-(NC4) i.e.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 340, + 398, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 398, + 354 + ], + "score": 1.0, + "content": "renormalized gradient flow on the central path leads to Neural Collapse.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5 + }, + { + "type": "text", + "bbox": [ + 106, + 357, + 493, + 369 + ], + "lines": [ + { + "bbox": [ + 106, + 357, + 495, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 297, + 371 + ], + "score": 1.0, + "content": "Moreover, denoting the Kronecker product with", + "type": "text" + }, + { + "bbox": [ + 297, + 359, + 306, + 368 + ], + "score": 0.76, + "content": "\\otimes", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 357, + 495, + 371 + ], + "score": 1.0, + "content": ", the renormalized features matrix converges to", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "interline_equation", + "bbox": [ + 220, + 370, + 392, + 396 + ], + "lines": [ + { + "bbox": [ + 220, + 370, + 392, + 396 + ], + "spans": [ + { + "bbox": [ + 220, + 370, + 392, + 396 + ], + "score": 0.93, + "content": "\\operatorname* { l i m } _ { t \\to \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\Sigma _ { W , t } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } _ { t } = ( \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ) \\otimes \\mathbf { 1 } _ { N } ^ { \\top } .", + "type": "interline_equation", + "image_path": "40763baeb802cc1f28adf2e603419581b72e351cf83e636e0175b283e5256eed.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 220, + 370, + 392, + 396 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "title", + "bbox": [ + 108, + 408, + 217, + 420 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 218, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 218, + 423 + ], + "score": 1.0, + "content": "4 RELATED WORKS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 432, + 505, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "score": 1.0, + "content": "Since the publication of Papyan, Han, and Donoho (2020), several works (Mixon et al., 2020; Lu &", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "Steinerberger, 2020; E & Wojtowytsch, 2020; Poggio & Liao, 2020a;b; Fang et al., 2021; Ergen &", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 453, + 484, + 469 + ], + "spans": [ + { + "bbox": [ + 104, + 453, + 484, + 469 + ], + "score": 1.0, + "content": "Pilanci, 2020; Zhu et al., 2021) proposed mathematical frameworks ratifying Neural Collapse.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 106, + 470, + 505, + 549 + ], + "lines": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "Among them, Mixon et al. (2020) and Poggio & Liao (2020a;b) also examine MSE-NC. Our contri-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 481, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 495 + ], + "score": 1.0, + "content": "butions are distinct from the MSE-NC analyses of Mixon et al. (2020) and Poggio & Liao (2020a;b):", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 492, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 506 + ], + "score": 1.0, + "content": "The work of Mixon et al. (2020) relies on a linearization of the unconstrained features model ODE", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 503, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 518 + ], + "score": 1.0, + "content": "while Poggio & Liao (2020a;b)—in a special section co-authored with Andrzej Banburski—examine", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "score": 1.0, + "content": "homogeneous, weight-normalized networks. In contrast, this paper considers the dynamics of the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "renormalized gradient flow on the central path (motivated by the discussions in Sections 2-3). Neither", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 536, + 495, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 495, + 549 + ], + "score": 1.0, + "content": "Mixon et al. (2020) nor Poggio & Liao (2020a;b) provide exact, closed-form dynamics as we do.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 106, + 553, + 505, + 599 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 567 + ], + "score": 1.0, + "content": "Outside the MSE setting, Lu & Steinerberger (2020); E & Wojtowytsch (2020); Ergen & Pilanci", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "score": 1.0, + "content": "(2020); Fang et al. (2021); Zhu et al. (2021) examine the emergence of the NC properties under", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "score": 1.0, + "content": "variants of the unconstrained features/layer-peeled model trained with CE loss. These works focus on", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 586, + 460, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 460, + 600 + ], + "score": 1.0, + "content": "characterizing the loss landscape or the global minima without describing the dynamics.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 408, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 603, + 410, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 410, + 617 + ], + "score": 1.0, + "content": "We provide a detailed survey of all above-mentioned papers in Appendix E.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35 + }, + { + "type": "title", + "bbox": [ + 108, + 630, + 195, + 643 + ], + "lines": [ + { + "bbox": [ + 104, + 627, + 198, + 647 + ], + "spans": [ + { + "bbox": [ + 104, + 627, + 198, + 647 + ], + "score": 1.0, + "content": "5 CONCLUSION", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 654, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "In this paper, after verifying that NC occurs when prototypical classification deep nets are trained with", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 665, + 507, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 507, + 678 + ], + "score": 1.0, + "content": "MSE loss on canonical datasets, we then derive and measure a novel decomposition of the MSE loss.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "We observed that the last-layer classifier tends to the least-squares classifier—motivating us to define", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "the central path on which the classifier behaves exactly as optimal least-squares classifier. On the", + "type": "text" + } + ], + "index": 40 + }, + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 106, + 699, + 505, + 711 + ], + "score": 1.0, + "content": "central path, we showed invariance properties that inspired us to examine the renormalized features", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "spans": [ + { + "bbox": [ + 106, + 709, + 505, + 722 + ], + "score": 1.0, + "content": "and their corresponding continually renormalized gradient flow. This flow induces closed-form", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 106, + 721, + 331, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 331, + 733 + ], + "score": 1.0, + "content": "dynamics that imply the occurrence of Neural Collapse.", + "type": "text" + } + ], + "index": 43 + } + ], + "index": 40 + } + ], + "page_idx": 8, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "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": [ + 104, + 82, + 505, + 106 + ], + "lines": [ + { + "bbox": [ + 106, + 81, + 505, + 96 + ], + "spans": [ + { + "bbox": [ + 106, + 81, + 505, + 96 + ], + "score": 1.0, + "content": "Corollary 1 (Properties of SNR Singular Values; Proof in Appendix D.5). SNR singular values", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 94, + 465, + 107 + ], + "spans": [ + { + "bbox": [ + 106, + 94, + 465, + 107 + ], + "score": 1.0, + "content": "(Definition 2) following the Equation 9 dynamics satisfy the following limiting behaviors:", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5, + "bbox_fs": [ + 106, + 81, + 505, + 107 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 129, + 110, + 465, + 159 + ], + "lines": [ + { + "bbox": [ + 129, + 110, + 465, + 159 + ], + "spans": [ + { + "bbox": [ + 129, + 110, + 465, + 159 + ], + "score": 0.42, + "content": "\\begin{array} { r l } & { 1 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\omega _ { j } ( t ) = \\infty \\quad a n d \\quad \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { t / c _ { 3 } } } = 1 , \\quad f o r a l l \\ j = 1 , \\ldots , C - 1 . } \\\\ & { } \\\\ & { 2 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 . } \\end{array}", + "type": "interline_equation", + "image_path": "d568c88a6644d625fe7fc5884610fc440ee4c88e633b10aad77cc77c8a569f76.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 129, + 110, + 465, + 126.33333333333333 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 129, + 126.33333333333333, + 465, + 142.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 129, + 142.66666666666666, + 465, + 159.0 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 165, + 506, + 243 + ], + "lines": [ + { + "bbox": [ + 104, + 164, + 506, + 183 + ], + "spans": [ + { + "bbox": [ + 104, + 164, + 401, + 183 + ], + "score": 1.0, + "content": "The first fact shows that all non-zero singular values of the SNR matrix,", + "type": "text" + }, + { + "bbox": [ + 401, + 165, + 436, + 182 + ], + "score": 0.93, + "content": "\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 436, + 164, + 506, + 183 + ], + "score": 1.0, + "content": ", grow to infinity", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 181, + 506, + 195 + ], + "spans": [ + { + "bbox": [ + 105, + 181, + 215, + 195 + ], + "score": 1.0, + "content": "at an asymptotic rate of", + "type": "text" + }, + { + "bbox": [ + 216, + 181, + 243, + 195 + ], + "score": 0.93, + "content": "\\sqrt [ 4 ] { t / c _ { 3 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 244, + 181, + 506, + 195 + ], + "score": 1.0, + "content": ". Intuitively, this shows that the “signal” becomes infinitely", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 104, + 192, + 506, + 207 + ], + "spans": [ + { + "bbox": [ + 104, + 192, + 506, + 207 + ], + "score": 1.0, + "content": "large compared to the “noise”, i.e. (NC1). The second fact shows that the singular values of", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 204, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 106, + 204, + 141, + 220 + ], + "score": 0.92, + "content": "\\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 141, + 206, + 506, + 222 + ], + "score": 1.0, + "content": "(which has zero-mean columns) approach equality—implying that the limiting matrix is a", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 219, + 507, + 231 + ], + "spans": [ + { + "bbox": [ + 106, + 219, + 507, + 231 + ], + "score": 1.0, + "content": "Simplex ETF (Lemma 7, Appendix D.6) i.e. (NC2). Finally, Papyan, Han, and Donoho (2020, The-", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 230, + 505, + 243 + ], + "spans": [ + { + "bbox": [ + 106, + 230, + 505, + 243 + ], + "score": 1.0, + "content": "orem 1) show that (NC1-2) imply (NC3-4) on the central path. Corollary 2 formalizes these intuitions.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7.5, + "bbox_fs": [ + 104, + 164, + 507, + 243 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 253, + 504, + 277 + ], + "lines": [ + { + "bbox": [ + 106, + 254, + 504, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 254, + 504, + 267 + ], + "score": 1.0, + "content": "Corollary 2 (Neural Collapse Under MSE Loss; Proof in Appendix D.6). Under continually", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 265, + 442, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 265, + 259, + 278 + ], + "score": 1.0, + "content": "renormalized gradient flow (Equation", + "type": "text" + }, + { + "bbox": [ + 259, + 266, + 266, + 275 + ], + "score": 0.25, + "content": "5", + "type": "inline_equation" + }, + { + "bbox": [ + 266, + 265, + 442, + 278 + ], + "score": 1.0, + "content": "), the SNR matrix (Equation 8) converges to", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11.5, + "bbox_fs": [ + 105, + 254, + 504, + 278 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 242, + 278, + 370, + 304 + ], + "lines": [ + { + "bbox": [ + 242, + 278, + 370, + 304 + ], + "spans": [ + { + "bbox": [ + 242, + 278, + 370, + 304 + ], + "score": 0.95, + "content": "\\operatorname* { l i m } _ { t \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\mathrm { S N R } _ { t } = \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ,", + "type": "interline_equation", + "image_path": "657c89b3a34fcee8c126605d2f4b190834164203c8371bc6168a1380412e49a8.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 242, + 278, + 370, + 304 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 305, + 505, + 352 + ], + "lines": [ + { + "bbox": [ + 104, + 304, + 506, + 321 + ], + "spans": [ + { + "bbox": [ + 104, + 304, + 134, + 321 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 305, + 205, + 319 + ], + "score": 0.91, + "content": "\\widehat { U } _ { 0 } \\in \\mathbb { R } ^ { P \\times ( C - 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 304, + 226, + 321 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 227, + 306, + 296, + 319 + ], + "score": 0.92, + "content": "\\widehat { V } _ { 0 } \\in \\mathbb { R } ^ { C \\times ( C - 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 304, + 506, + 321 + ], + "score": 1.0, + "content": "are the left and right singular vectors of the SNR", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 318, + 506, + 331 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 207, + 331 + ], + "score": 1.0, + "content": "matrix (Definition 2) at", + "type": "text" + }, + { + "bbox": [ + 207, + 319, + 225, + 329 + ], + "score": 0.84, + "content": "t { = } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 318, + 444, + 331 + ], + "score": 1.0, + "content": "corresponding to the non-zero singular values; and", + "type": "text" + }, + { + "bbox": [ + 444, + 319, + 478, + 330 + ], + "score": 0.9, + "content": "\\omega _ { \\mathrm { m a x } } ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 318, + 506, + 331 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 330, + 506, + 342 + ], + "spans": [ + { + "bbox": [ + 106, + 330, + 223, + 342 + ], + "score": 1.0, + "content": "largest singular value at time", + "type": "text" + }, + { + "bbox": [ + 223, + 331, + 228, + 339 + ], + "score": 0.33, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 229, + 330, + 328, + 342 + ], + "score": 1.0, + "content": ". Furthermore, Corollary", + "type": "text" + }, + { + "bbox": [ + 329, + 330, + 334, + 339 + ], + "score": 0.36, + "content": "^ { l }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 330, + 506, + 342 + ], + "score": 1.0, + "content": "implies the occurrence of (NC1)-(NC4) i.e.", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 340, + 398, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 398, + 354 + ], + "score": 1.0, + "content": "renormalized gradient flow on the central path leads to Neural Collapse.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 15.5, + "bbox_fs": [ + 104, + 304, + 506, + 354 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 357, + 493, + 369 + ], + "lines": [ + { + "bbox": [ + 106, + 357, + 495, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 357, + 297, + 371 + ], + "score": 1.0, + "content": "Moreover, denoting the Kronecker product with", + "type": "text" + }, + { + "bbox": [ + 297, + 359, + 306, + 368 + ], + "score": 0.76, + "content": "\\otimes", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 357, + 495, + 371 + ], + "score": 1.0, + "content": ", the renormalized features matrix converges to", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 106, + 357, + 495, + 371 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 220, + 370, + 392, + 396 + ], + "lines": [ + { + "bbox": [ + 220, + 370, + 392, + 396 + ], + "spans": [ + { + "bbox": [ + 220, + 370, + 392, + 396 + ], + "score": 0.93, + "content": "\\operatorname* { l i m } _ { t \\to \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\Sigma _ { W , t } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } _ { t } = ( \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ) \\otimes \\mathbf { 1 } _ { N } ^ { \\top } .", + "type": "interline_equation", + "image_path": "40763baeb802cc1f28adf2e603419581b72e351cf83e636e0175b283e5256eed.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 220, + 370, + 392, + 396 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "title", + "bbox": [ + 108, + 408, + 217, + 420 + ], + "lines": [ + { + "bbox": [ + 105, + 406, + 218, + 423 + ], + "spans": [ + { + "bbox": [ + 105, + 406, + 218, + 423 + ], + "score": 1.0, + "content": "4 RELATED WORKS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 432, + 505, + 466 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "spans": [ + { + "bbox": [ + 105, + 432, + 506, + 445 + ], + "score": 1.0, + "content": "Since the publication of Papyan, Han, and Donoho (2020), several works (Mixon et al., 2020; Lu &", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 106, + 443, + 506, + 456 + ], + "spans": [ + { + "bbox": [ + 106, + 443, + 506, + 456 + ], + "score": 1.0, + "content": "Steinerberger, 2020; E & Wojtowytsch, 2020; Poggio & Liao, 2020a;b; Fang et al., 2021; Ergen &", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 104, + 453, + 484, + 469 + ], + "spans": [ + { + "bbox": [ + 104, + 453, + 484, + 469 + ], + "score": 1.0, + "content": "Pilanci, 2020; Zhu et al., 2021) proposed mathematical frameworks ratifying Neural Collapse.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22, + "bbox_fs": [ + 104, + 432, + 506, + 469 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 470, + 505, + 549 + ], + "lines": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "spans": [ + { + "bbox": [ + 105, + 471, + 506, + 484 + ], + "score": 1.0, + "content": "Among them, Mixon et al. (2020) and Poggio & Liao (2020a;b) also examine MSE-NC. Our contri-", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 105, + 481, + 506, + 495 + ], + "spans": [ + { + "bbox": [ + 105, + 481, + 506, + 495 + ], + "score": 1.0, + "content": "butions are distinct from the MSE-NC analyses of Mixon et al. (2020) and Poggio & Liao (2020a;b):", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 492, + 506, + 506 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 506, + 506 + ], + "score": 1.0, + "content": "The work of Mixon et al. (2020) relies on a linearization of the unconstrained features model ODE", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 503, + 506, + 518 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 518 + ], + "score": 1.0, + "content": "while Poggio & Liao (2020a;b)—in a special section co-authored with Andrzej Banburski—examine", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 515, + 505, + 528 + ], + "score": 1.0, + "content": "homogeneous, weight-normalized networks. In contrast, this paper considers the dynamics of the", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 538 + ], + "score": 1.0, + "content": "renormalized gradient flow on the central path (motivated by the discussions in Sections 2-3). Neither", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 536, + 495, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 495, + 549 + ], + "score": 1.0, + "content": "Mixon et al. (2020) nor Poggio & Liao (2020a;b) provide exact, closed-form dynamics as we do.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 471, + 506, + 549 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 553, + 505, + 599 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 506, + 567 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 567 + ], + "score": 1.0, + "content": "Outside the MSE setting, Lu & Steinerberger (2020); E & Wojtowytsch (2020); Ergen & Pilanci", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "spans": [ + { + "bbox": [ + 105, + 565, + 506, + 578 + ], + "score": 1.0, + "content": "(2020); Fang et al. (2021); Zhu et al. (2021) examine the emergence of the NC properties under", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 106, + 576, + 505, + 588 + ], + "score": 1.0, + "content": "variants of the unconstrained features/layer-peeled model trained with CE loss. These works focus on", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 586, + 460, + 600 + ], + "spans": [ + { + "bbox": [ + 105, + 586, + 460, + 600 + ], + "score": 1.0, + "content": "characterizing the loss landscape or the global minima without describing the dynamics.", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 553, + 506, + 600 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 603, + 408, + 615 + ], + "lines": [ + { + "bbox": [ + 106, + 603, + 410, + 617 + ], + "spans": [ + { + "bbox": [ + 106, + 603, + 410, + 617 + ], + "score": 1.0, + "content": "We provide a detailed survey of all above-mentioned papers in Appendix E.", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 35, + "bbox_fs": [ + 106, + 603, + 410, + 617 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 630, + 195, + 643 + ], + "lines": [ + { + "bbox": [ + 104, + 627, + 198, + 647 + ], + "spans": [ + { + "bbox": [ + 104, + 627, + 198, + 647 + ], + "score": 1.0, + "content": "5 CONCLUSION", + "type": "text" + } + ], + "index": 36 + } + ], + "index": 36 + }, + { + "type": "text", + "bbox": [ + 107, + 654, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 654, + 506, + 668 + ], + "score": 1.0, + "content": "In this paper, after verifying that NC occurs when prototypical classification deep nets are trained with", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 665, + 507, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 665, + 507, + 678 + ], + "score": 1.0, + "content": "MSE loss on canonical datasets, we then derive and measure a novel decomposition of the MSE loss.", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "spans": [ + { + "bbox": [ + 105, + 676, + 505, + 690 + ], + "score": 1.0, + "content": "We observed that the last-layer classifier tends to the least-squares classifier—motivating us to define", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "spans": [ + { + "bbox": [ + 106, + 688, + 505, + 700 + ], + "score": 1.0, + "content": "the central path on which the classifier behaves exactly as optimal least-squares classifier. 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We would like to", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 245, + 505, + 257 + ], + "spans": [ + { + "bbox": [ + 106, + 245, + 505, + 257 + ], + "score": 1.0, + "content": "thank Stanford University and the Stanford Research Computing Center for providing computational", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 256, + 362, + 268 + ], + "spans": [ + { + "bbox": [ + 105, + 256, + 362, + 268 + ], + "score": 1.0, + "content": "resources and support that contributed to these research results.", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 234, + 505, + 268 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 273, + 505, + 339 + ], + "lines": [ + { + "bbox": [ + 105, + 272, + 505, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 272, + 505, + 285 + ], + "score": 1.0, + "content": "We acknowledge the support of the Natural Sciences and Engineering Research Council of Canada", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 284, + 505, + 297 + ], + "spans": [ + { + "bbox": [ + 106, + 284, + 505, + 297 + ], + "score": 1.0, + "content": "(NSERC), [funding reference number 512236 and 512265]. 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(2020) and Hui & Belkin (2020) showed that", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 362 + ], + "score": 1.0, + "content": "the additional scaling-heuristic does need to be applied to the loss before comparable test-performance", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 360, + 505, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 360, + 505, + 373 + ], + "score": 1.0, + "content": "can be achieved. In informal, exploratory experiments not reported here, we were able to reproduce", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 371, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 505, + 383 + ], + "score": 1.0, + "content": "their results on datasets with more than ten classes. 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DATASETVGGREsNETDENSENET
MNISTVGG11RESNET18DENSENET40
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SVHNVGG13RESNET34DENSENET40
CIFAR10VGG11RESNET50DENSENET100
STL10VGG11REsNET18DENSENET201
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DATASETNETACC.O-ERRORACC.FINAL
MNISTVGG99.2399.59
REsNET99.1699.70
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DATASETNETACC.O-ERRORACC.FINAL
MNISTVGG99.2399.59
REsNET99.1699.70
DENSENET99.6299.70
FASHIONVGG92.7692.95
REsNET93.5593.76
DENSENET90.5692.95
SVHNVGG89.3593.91
REsNET85.1892.65
DENSENET95.6195.23
CIFAR10VGG83.1384.54
RESNET75.4376.39
DENSENET91.7791.78
STL10VGG60.4367.24
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On the test data, activation collapse still visibly occurs", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 516, + 505, + 528 + ], + "spans": [ + { + "bbox": [ + 105, + 516, + 505, + 528 + ], + "score": 1.0, + "content": "on multiple dataset-network combinations: Albeit the rate of collapse is much slower on the test data", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 526, + 506, + 540 + ], + "spans": [ + { + "bbox": [ + 105, + 526, + 506, + 540 + ], + "score": 1.0, + "content": "compared to that on the train data, and the plotted measure (described in Figure 6 of Papyan, Han,", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 538, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 538, + 505, + 549 + ], + "score": 1.0, + "content": "and Donoho (2020)) at the last epoch is larger than that on the train data. Also interesting is that", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 549, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 106, + 549, + 506, + 560 + ], + "score": 1.0, + "content": "the value at the last epoch is roughly monotonic with the difficulty of the dataset. See discussion in", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 106, + 560, + 158, + 570 + ], + "spans": [ + { + "bbox": [ + 106, + 560, + 158, + 570 + ], + "score": 1.0, + "content": "Section A.8.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 6.5 + } + ], + "index": 3.75 + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 371, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 372, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 372, + 96 + ], + "score": 1.0, + "content": "A.7 EXCEPTIONS: STL10-RESNET AND STL10-DENSENET", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 107, + 105, + 505, + 139 + ], + "lines": [ + { + "bbox": [ + 105, + 105, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 119 + ], + "score": 1.0, + "content": "The STL10-ResNet and STL10-DenseNet dataset-network pairs stand out among the experiments", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "described in this section—sometimes displaying outlier behavior either by converging more slowly to", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 128, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 506, + 140 + ], + "score": 1.0, + "content": "Neural Collapse or by exhibiting trends inconsistent with those found in other dataset-network pairs.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2 + }, + { + "type": "text", + "bbox": [ + 107, + 144, + 505, + 222 + ], + "lines": [ + { + "bbox": [ + 105, + 144, + 507, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 507, + 157 + ], + "score": 1.0, + "content": "STL10 stands apart from the other canonical datasets for multiple reasons15 and is a “less-typical”", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 156, + 506, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 156, + 506, + 168 + ], + "score": 1.0, + "content": "benchmark compared to more “compulsory” datasets like CIFAR10. In this particular case, we", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 167, + 505, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 468, + 179 + ], + "score": 1.0, + "content": "hypothesize that its outlier behavior might be caused by the size of the STL10 images", + "type": "text" + }, + { + "bbox": [ + 469, + 167, + 505, + 178 + ], + "score": 0.89, + "content": "( 9 6 \\times 9 6", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 178, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 176, + 190 + ], + "score": 1.0, + "content": "compared to the", + "type": "text" + }, + { + "bbox": [ + 176, + 178, + 210, + 188 + ], + "score": 0.9, + "content": "3 2 \\times 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 178, + 506, + 190 + ], + "score": 1.0, + "content": ", after padding, of the other datasets)—leading to a higher-dimensional", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "score": 1.0, + "content": "problem, which, in turn, induces a harder non-convex optimization problem, which might make SGD", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 199, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 506, + 213 + ], + "score": 1.0, + "content": "less likely to converge to a useful optimum or might make the convergence much slower and harder", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 210, + 295, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 295, + 223 + ], + "score": 1.0, + "content": "to observe under a fixed computational budget.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 107, + 227, + 505, + 293 + ], + "lines": [ + { + "bbox": [ + 104, + 226, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 104, + 226, + 505, + 241 + ], + "score": 1.0, + "content": "It was previously noted in Hui & Belkin (2020) and Demirkaya et al. (2020) that more challenging", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 238, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 505, + 251 + ], + "score": 1.0, + "content": "classification problems—in those projects, problems with more classes to be labeled—may require", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "score": 1.0, + "content": "modifications to the MSE loss. We decided that such modifications are unnecessary in the ten class", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 506, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 506, + 272 + ], + "score": 1.0, + "content": "problems examined in this paper’s experiments. But perhaps the outlier nature of the STL10-ResNet", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "score": 1.0, + "content": "and STL10-DenseNet combinations signal that the MSE loss modifications proposed by Hui & Belkin", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 282, + 350, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 350, + 294 + ], + "score": 1.0, + "content": "(2020) and Demirkaya et al. (2020) ought to have been used.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 108, + 315, + 503, + 336 + ], + "lines": [ + { + "bbox": [ + 105, + 313, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 505, + 327 + ], + "score": 1.0, + "content": "A.8 OPEN QUESTIONS: WEIGHT-DECAY, BATCH NORMALIZATION, SGD, GENERALIZATION,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 132, + 326, + 181, + 336 + ], + "spans": [ + { + "bbox": [ + 132, + 326, + 181, + 336 + ], + "score": 1.0, + "content": "TEST DATA", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5 + }, + { + "type": "text", + "bbox": [ + 107, + 348, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "The experiments in this paper as well as those in Papyan, Han, and Donoho (2020) were conducted", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "under the canonical setting where deep nets were trained using SGD with weight-decay and batch", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 371, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 505, + 383 + ], + "score": 1.0, + "content": "normalization—leading one to wonder about the roles that these particular ingredients play on the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 382, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 505, + 395 + ], + "score": 1.0, + "content": "NC phenomena. Additionally, most observables focus on the train data—raising the question of how", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 392, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 505, + 405 + ], + "score": 1.0, + "content": "the NC phenomena behave on test data as well as their relationship to generalization. We find these", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 403, + 504, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 504, + 417 + ], + "score": 1.0, + "content": "questions intriguing, but feel each deserves careful experimentation outside the scope of this paper.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5 + }, + { + "type": "text", + "bbox": [ + 107, + 421, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 105, + 420, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 434 + ], + "score": 1.0, + "content": "Nonetheless, we note here that several existing papers have already begun insightful investiga-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 431, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 506, + 444 + ], + "score": 1.0, + "content": "tions in these directions. For example, weight-decay, weight-normalization (as a proxy for batch-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "normalization), and SGD play key roles in the analyses of Banburski et al. (2019); Poggio & Liao", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "score": 1.0, + "content": "(2020a;b) that, along other things, lead to the prediction of NC in homogeneous deep nets. Banburski", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "score": 1.0, + "content": "et al. (2021) also explores the connection between NC and margin distributions with generalization.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "score": 1.0, + "content": "Another example is Zhu et al. (2021) in which the authors conduct several experiments on ResNets", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "trained on CIFAR10. On their models, the authors examine NC-related properties relative to the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "train data, test data, and randomly labeled data; they also conducted ablation studies varying control", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "parameters (weight-decay, width, etc.) and the optimization algorithm (SGD, ADAM, L-BFGS).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "score": 1.0, + "content": "Based on their results, Zhu et al. (2021) propose thought-provoking conjectures on the role of each of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 537, + 390, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 390, + 549 + ], + "score": 1.0, + "content": "these components (see Section E.7 for a brief survey of their findings).", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5 + }, + { + "type": "text", + "bbox": [ + 107, + 553, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "score": 1.0, + "content": "As a preliminary exploration, we include Figure 12 showing the variability collapse (NC1) behavior", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "on test data for the networks trained with MSE loss (used in this paper) as well as those trained with", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 574, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 588 + ], + "score": 1.0, + "content": "CE loss (released16 by Papyan, Han, and Donoho (2020)). From Figure 12, we see that variability", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "score": 1.0, + "content": "collapse occurs much slower on the test data than on the train data. Although not shown here, the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 596, + 264, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 264, + 610 + ], + "score": 1.0, + "content": "other NC phenomena behave similarly.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38 + }, + { + "type": "text", + "bbox": [ + 107, + 614, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "score": 1.0, + "content": "In this Appendix, we show Figure 12 since it is concise, within reach, and may be of interest to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 625, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 505, + 637 + ], + "score": 1.0, + "content": "readers who share our curiosity. We refrain from presenting the entire series of multi-figure NC", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 635, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 104, + 635, + 505, + 649 + ], + "score": 1.0, + "content": "measurements on test data because it is outside the scope of this paper and would significantly", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "lengthen this appendix. We also refrain from speculating on any underlying explanations until more", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 658, + 264, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 264, + 670 + ], + "score": 1.0, + "content": "meticulous experiments are conducted.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43 + } + ], + "page_idx": 20, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 690, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 117, + 687, + 505, + 704 + ], + "spans": [ + { + "bbox": [ + 117, + 687, + 505, + 704 + ], + "score": 1.0, + "content": "15For example, one sense in which STL-10 is clearly different from the other datasets is the comparatively", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 700, + 298, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 700, + 298, + 712 + ], + "score": 1.0, + "content": "small number of labeled training examples per class.", + "type": "text" + } + ] + }, + { + "bbox": [ + 117, + 707, + 505, + 726 + ], + "spans": [ + { + "bbox": [ + 117, + 707, + 505, + 726 + ], + "score": 1.0, + "content": "16The CE test data results were released by Papyan, Han, and Donoho (2020) on the paper’s corresponding", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 720, + 223, + 734 + ], + "spans": [ + { + "bbox": [ + 106, + 720, + 223, + 734 + ], + "score": 1.0, + "content": "Stanford Data Repository entry.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 108, + 27, + 293, + 37 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 310, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 312, + 765 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 312, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 15, + "width": 14 + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 107, + 82, + 371, + 93 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 372, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 372, + 96 + ], + "score": 1.0, + "content": "A.7 EXCEPTIONS: STL10-RESNET AND STL10-DENSENET", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 105, + 81, + 372, + 96 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 105, + 505, + 139 + ], + "lines": [ + { + "bbox": [ + 105, + 105, + 505, + 119 + ], + "spans": [ + { + "bbox": [ + 105, + 105, + 505, + 119 + ], + "score": 1.0, + "content": "The STL10-ResNet and STL10-DenseNet dataset-network pairs stand out among the experiments", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "spans": [ + { + "bbox": [ + 106, + 117, + 505, + 129 + ], + "score": 1.0, + "content": "described in this section—sometimes displaying outlier behavior either by converging more slowly to", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 128, + 506, + 140 + ], + "spans": [ + { + "bbox": [ + 106, + 128, + 506, + 140 + ], + "score": 1.0, + "content": "Neural Collapse or by exhibiting trends inconsistent with those found in other dataset-network pairs.", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2, + "bbox_fs": [ + 105, + 105, + 506, + 140 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 144, + 505, + 222 + ], + "lines": [ + { + "bbox": [ + 105, + 144, + 507, + 157 + ], + "spans": [ + { + "bbox": [ + 105, + 144, + 507, + 157 + ], + "score": 1.0, + "content": "STL10 stands apart from the other canonical datasets for multiple reasons15 and is a “less-typical”", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 156, + 506, + 168 + ], + "spans": [ + { + "bbox": [ + 106, + 156, + 506, + 168 + ], + "score": 1.0, + "content": "benchmark compared to more “compulsory” datasets like CIFAR10. In this particular case, we", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 167, + 505, + 179 + ], + "spans": [ + { + "bbox": [ + 106, + 167, + 468, + 179 + ], + "score": 1.0, + "content": "hypothesize that its outlier behavior might be caused by the size of the STL10 images", + "type": "text" + }, + { + "bbox": [ + 469, + 167, + 505, + 178 + ], + "score": 0.89, + "content": "( 9 6 \\times 9 6", + "type": "inline_equation" + } + ], + "index": 6 + }, + { + "bbox": [ + 106, + 178, + 506, + 190 + ], + "spans": [ + { + "bbox": [ + 106, + 178, + 176, + 190 + ], + "score": 1.0, + "content": "compared to the", + "type": "text" + }, + { + "bbox": [ + 176, + 178, + 210, + 188 + ], + "score": 0.9, + "content": "3 2 \\times 3 2", + "type": "inline_equation" + }, + { + "bbox": [ + 211, + 178, + 506, + 190 + ], + "score": 1.0, + "content": ", after padding, of the other datasets)—leading to a higher-dimensional", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 105, + 188, + 505, + 201 + ], + "score": 1.0, + "content": "problem, which, in turn, induces a harder non-convex optimization problem, which might make SGD", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 199, + 506, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 506, + 213 + ], + "score": 1.0, + "content": "less likely to converge to a useful optimum or might make the convergence much slower and harder", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 210, + 295, + 223 + ], + "spans": [ + { + "bbox": [ + 105, + 210, + 295, + 223 + ], + "score": 1.0, + "content": "to observe under a fixed computational budget.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 7, + "bbox_fs": [ + 105, + 144, + 507, + 223 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 227, + 505, + 293 + ], + "lines": [ + { + "bbox": [ + 104, + 226, + 505, + 241 + ], + "spans": [ + { + "bbox": [ + 104, + 226, + 505, + 241 + ], + "score": 1.0, + "content": "It was previously noted in Hui & Belkin (2020) and Demirkaya et al. (2020) that more challenging", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 238, + 505, + 251 + ], + "spans": [ + { + "bbox": [ + 105, + 238, + 505, + 251 + ], + "score": 1.0, + "content": "classification problems—in those projects, problems with more classes to be labeled—may require", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "spans": [ + { + "bbox": [ + 105, + 249, + 505, + 262 + ], + "score": 1.0, + "content": "modifications to the MSE loss. We decided that such modifications are unnecessary in the ten class", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 261, + 506, + 272 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 506, + 272 + ], + "score": 1.0, + "content": "problems examined in this paper’s experiments. But perhaps the outlier nature of the STL10-ResNet", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 505, + 284 + ], + "score": 1.0, + "content": "and STL10-DenseNet combinations signal that the MSE loss modifications proposed by Hui & Belkin", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 282, + 350, + 294 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 350, + 294 + ], + "score": 1.0, + "content": "(2020) and Demirkaya et al. (2020) ought to have been used.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 13.5, + "bbox_fs": [ + 104, + 226, + 506, + 294 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 315, + 503, + 336 + ], + "lines": [ + { + "bbox": [ + 105, + 313, + 505, + 327 + ], + "spans": [ + { + "bbox": [ + 105, + 313, + 505, + 327 + ], + "score": 1.0, + "content": "A.8 OPEN QUESTIONS: WEIGHT-DECAY, BATCH NORMALIZATION, SGD, GENERALIZATION,", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 132, + 326, + 181, + 336 + ], + "spans": [ + { + "bbox": [ + 132, + 326, + 181, + 336 + ], + "score": 1.0, + "content": "TEST DATA", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 313, + 505, + 336 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 348, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 505, + 361 + ], + "score": 1.0, + "content": "The experiments in this paper as well as those in Papyan, Han, and Donoho (2020) were conducted", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "spans": [ + { + "bbox": [ + 106, + 360, + 505, + 372 + ], + "score": 1.0, + "content": "under the canonical setting where deep nets were trained using SGD with weight-decay and batch", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 106, + 371, + 505, + 383 + ], + "spans": [ + { + "bbox": [ + 106, + 371, + 505, + 383 + ], + "score": 1.0, + "content": "normalization—leading one to wonder about the roles that these particular ingredients play on the", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 382, + 505, + 395 + ], + "spans": [ + { + "bbox": [ + 105, + 382, + 505, + 395 + ], + "score": 1.0, + "content": "NC phenomena. Additionally, most observables focus on the train data—raising the question of how", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 392, + 505, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 505, + 405 + ], + "score": 1.0, + "content": "the NC phenomena behave on test data as well as their relationship to generalization. We find these", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 105, + 403, + 504, + 417 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 504, + 417 + ], + "score": 1.0, + "content": "questions intriguing, but feel each deserves careful experimentation outside the scope of this paper.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 349, + 505, + 417 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 421, + 505, + 476 + ], + "lines": [ + { + "bbox": [ + 105, + 420, + 506, + 434 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 506, + 434 + ], + "score": 1.0, + "content": "Nonetheless, we note here that several existing papers have already begun insightful investiga-", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 431, + 506, + 444 + ], + "spans": [ + { + "bbox": [ + 105, + 431, + 506, + 444 + ], + "score": 1.0, + "content": "tions in these directions. For example, weight-decay, weight-normalization (as a proxy for batch-", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 105, + 442, + 505, + 455 + ], + "score": 1.0, + "content": "normalization), and SGD play key roles in the analyses of Banburski et al. (2019); Poggio & Liao", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "spans": [ + { + "bbox": [ + 106, + 454, + 505, + 466 + ], + "score": 1.0, + "content": "(2020a;b) that, along other things, lead to the prediction of NC in homogeneous deep nets. Banburski", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 505, + 476 + ], + "score": 1.0, + "content": "et al. (2021) also explores the connection between NC and margin distributions with generalization.", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 420, + 506, + 476 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 481, + 505, + 547 + ], + "lines": [ + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "spans": [ + { + "bbox": [ + 105, + 480, + 505, + 494 + ], + "score": 1.0, + "content": "Another example is Zhu et al. (2021) in which the authors conduct several experiments on ResNets", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "spans": [ + { + "bbox": [ + 105, + 492, + 505, + 505 + ], + "score": 1.0, + "content": "trained on CIFAR10. On their models, the authors examine NC-related properties relative to the", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "spans": [ + { + "bbox": [ + 105, + 503, + 506, + 516 + ], + "score": 1.0, + "content": "train data, test data, and randomly labeled data; they also conducted ablation studies varying control", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "spans": [ + { + "bbox": [ + 105, + 514, + 506, + 527 + ], + "score": 1.0, + "content": "parameters (weight-decay, width, etc.) and the optimization algorithm (SGD, ADAM, L-BFGS).", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "spans": [ + { + "bbox": [ + 105, + 525, + 506, + 539 + ], + "score": 1.0, + "content": "Based on their results, Zhu et al. (2021) propose thought-provoking conjectures on the role of each of", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 106, + 537, + 390, + 549 + ], + "spans": [ + { + "bbox": [ + 106, + 537, + 390, + 549 + ], + "score": 1.0, + "content": "these components (see Section E.7 for a brief survey of their findings).", + "type": "text" + } + ], + "index": 35 + } + ], + "index": 32.5, + "bbox_fs": [ + 105, + 480, + 506, + 549 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 553, + 505, + 608 + ], + "lines": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 105, + 553, + 506, + 566 + ], + "score": 1.0, + "content": "As a preliminary exploration, we include Figure 12 showing the variability collapse (NC1) behavior", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "spans": [ + { + "bbox": [ + 105, + 564, + 505, + 576 + ], + "score": 1.0, + "content": "on test data for the networks trained with MSE loss (used in this paper) as well as those trained with", + "type": "text" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 574, + 505, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 505, + 588 + ], + "score": 1.0, + "content": "CE loss (released16 by Papyan, Han, and Donoho (2020)). From Figure 12, we see that variability", + "type": "text" + } + ], + "index": 38 + }, + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 505, + 599 + ], + "score": 1.0, + "content": "collapse occurs much slower on the test data than on the train data. Although not shown here, the", + "type": "text" + } + ], + "index": 39 + }, + { + "bbox": [ + 105, + 596, + 264, + 610 + ], + "spans": [ + { + "bbox": [ + 105, + 596, + 264, + 610 + ], + "score": 1.0, + "content": "other NC phenomena behave similarly.", + "type": "text" + } + ], + "index": 40 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 553, + 506, + 610 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 614, + 505, + 669 + ], + "lines": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "spans": [ + { + "bbox": [ + 106, + 614, + 505, + 626 + ], + "score": 1.0, + "content": "In this Appendix, we show Figure 12 since it is concise, within reach, and may be of interest to", + "type": "text" + } + ], + "index": 41 + }, + { + "bbox": [ + 105, + 625, + 505, + 637 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 505, + 637 + ], + "score": 1.0, + "content": "readers who share our curiosity. We refrain from presenting the entire series of multi-figure NC", + "type": "text" + } + ], + "index": 42 + }, + { + "bbox": [ + 104, + 635, + 505, + 649 + ], + "spans": [ + { + "bbox": [ + 104, + 635, + 505, + 649 + ], + "score": 1.0, + "content": "measurements on test data because it is outside the scope of this paper and would significantly", + "type": "text" + } + ], + "index": 43 + }, + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 505, + 660 + ], + "score": 1.0, + "content": "lengthen this appendix. We also refrain from speculating on any underlying explanations until more", + "type": "text" + } + ], + "index": 44 + }, + { + "bbox": [ + 106, + 658, + 264, + 670 + ], + "spans": [ + { + "bbox": [ + 106, + 658, + 264, + 670 + ], + "score": 1.0, + "content": "meticulous experiments are conducted.", + "type": "text" + } + ], + "index": 45 + } + ], + "index": 43, + "bbox_fs": [ + 104, + 614, + 505, + 670 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 80, + 189, + 94 + ], + "lines": [ + { + "bbox": [ + 104, + 80, + 191, + 96 + ], + "spans": [ + { + "bbox": [ + 104, + 80, + 191, + 96 + ], + "score": 1.0, + "content": "B THEOREM 1", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 105, + 103, + 504, + 132 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 344, + 120 + ], + "score": 1.0, + "content": "Theorem 1. (Decomposition of MSE Loss) The MSE loss,", + "type": "text" + }, + { + "bbox": [ + 344, + 103, + 387, + 118 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 102, + 506, + 120 + ], + "score": 1.0, + "content": ", can be decomposed into two", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 117, + 316, + 132 + ], + "spans": [ + { + "bbox": [ + 106, + 118, + 133, + 132 + ], + "score": 1.0, + "content": "terms,", + "type": "text" + }, + { + "bbox": [ + 133, + 117, + 286, + 132 + ], + "score": 0.93, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\bar { \\mathcal { L } } _ { L S } ( \\widetilde { H } ) + \\mathcal { L } _ { L S } ^ { \\bot } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 118, + 316, + 132 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5 + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 135, + 408, + 159 + ], + "lines": [ + { + "bbox": [ + 201, + 135, + 408, + 159 + ], + "spans": [ + { + "bbox": [ + 201, + 135, + 408, + 159 + ], + "score": 0.88, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\Vert \\widetilde { W } _ { L S } \\widetilde { h } _ { i , c } - \\pmb { y } _ { i , c } \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { W } _ { L S } \\Vert _ { F } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "c6432b67ceeb3a5397bc50ae650577a07f6ac24db3ee48077bfc32b77e1a2ec1.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 201, + 135, + 408, + 159 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 162, + 124, + 174 + ], + "lines": [ + { + "bbox": [ + 104, + 163, + 125, + 174 + ], + "spans": [ + { + "bbox": [ + 104, + 163, + 125, + 174 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 170, + 455, + 194 + ], + "lines": [ + { + "bbox": [ + 156, + 170, + 455, + 194 + ], + "spans": [ + { + "bbox": [ + 156, + 170, + 455, + 194 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathrm { t r } \\bigg \\{ ( \\widetilde { W } - \\widetilde { W } _ { L S } ) \\left( \\widetilde { \\boldsymbol { \\Sigma } } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\boldsymbol { \\mu } } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { L S } ) ^ { \\top } \\bigg \\} .", + "type": "interline_equation", + "image_path": "9ca167a5ac3388bdb3ba9649efec5ed250af9f3238953bb66bff12fa3562597c.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 156, + 170, + 455, + 194 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 203, + 222, + 216 + ], + "lines": [ + { + "bbox": [ + 106, + 203, + 223, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 223, + 217 + ], + "score": 1.0, + "content": "Proof. Recall the MSE loss:", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 218, + 410, + 244 + ], + "lines": [ + { + "bbox": [ + 201, + 218, + 410, + 244 + ], + "spans": [ + { + "bbox": [ + 201, + 218, + 410, + 244 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\| \\widetilde { W } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } .", + "type": "interline_equation", + "image_path": "a35d627461e0062abd2a9a0ff9376092b7cd97f2313ea1ee584ea4951e5a05ee.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 201, + 218, + 410, + 244 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 103, + 248, + 508, + 275 + ], + "lines": [ + { + "bbox": [ + 105, + 247, + 506, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 310, + 264 + ], + "score": 1.0, + "content": "Consider a specific extended activations matrix", + "type": "text" + }, + { + "bbox": [ + 311, + 247, + 322, + 260 + ], + "score": 0.85, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 247, + 439, + 264 + ], + "score": 1.0, + "content": "; the least-squares solution", + "type": "text" + }, + { + "bbox": [ + 439, + 248, + 453, + 260 + ], + "score": 0.85, + "content": "\\widetilde { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 247, + 506, + 264 + ], + "score": 1.0, + "content": "minimizing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 107, + 261, + 452, + 276 + ], + "spans": [ + { + "bbox": [ + 107, + 261, + 149, + 275 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 261, + 171, + 276 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 171, + 261, + 183, + 273 + ], + "score": 0.84, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 261, + 452, + 276 + ], + "score": 1.0, + "content": "kept fixed must obey the following first-order optimality condition:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5 + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 277, + 387, + 299 + ], + "lines": [ + { + "bbox": [ + 225, + 277, + 387, + 299 + ], + "spans": [ + { + "bbox": [ + 225, + 277, + 387, + 299 + ], + "score": 0.94, + "content": "\\underset { i , c } { \\mathrm { A v e } } \\big ( \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - { \\pmb y } _ { i , c } \\big ) \\widetilde { { \\pmb h } } _ { i , c } ^ { \\top } + \\lambda \\widetilde { { \\pmb W } } _ { \\mathrm { L S } } = 0 .", + "type": "interline_equation", + "image_path": "3072b89addadb078fa6f0ec23a0a246fb22637e9233eed69f5b21bd5d16392e2.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 225, + 277, + 387, + 299 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 302, + 429, + 314 + ], + "lines": [ + { + "bbox": [ + 105, + 300, + 429, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 429, + 317 + ], + "score": 1.0, + "content": "From Proposition 1 in the main manuscript, the solution to the above is given by", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 220, + 316, + 390, + 333 + ], + "lines": [ + { + "bbox": [ + 220, + 316, + 390, + 333 + ], + "spans": [ + { + "bbox": [ + 220, + 316, + 390, + 333 + ], + "score": 0.91, + "content": "\\widetilde { \\pmb { W } } _ { \\mathrm { L S } } = C ^ { - 1 } \\widetilde { \\pmb { M } } ^ { \\top } ( \\widetilde { \\pmb { \\Sigma } } _ { T } + \\widetilde { \\pmb { \\mu } } _ { G } \\widetilde { \\pmb { \\mu } } _ { G } ^ { \\top } + \\lambda \\pmb { I } ) ^ { - 1 } .", + "type": "interline_equation", + "image_path": "ee96c721a045b3e9f6d703f63fe7e1cbde09939ea6ef02d51f1dbd8a83a885a4.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 220, + 316, + 390, + 333 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 336, + 219, + 347 + ], + "lines": [ + { + "bbox": [ + 106, + 334, + 220, + 348 + ], + "spans": [ + { + "bbox": [ + 106, + 334, + 220, + 348 + ], + "score": 1.0, + "content": "The loss can be rewritten as", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 187, + 348, + 424, + 374 + ], + "lines": [ + { + "bbox": [ + 187, + 348, + 424, + 374 + ], + "spans": [ + { + "bbox": [ + 187, + 348, + 424, + 374 + ], + "score": 0.91, + "content": "\\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\| \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - y _ { i , c } + ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } .", + "type": "interline_equation", + "image_path": "fe8aebb782e4f2063f3327a29cc50e31ea098f04263f026a45f50d43ff27fada.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 187, + 348, + 424, + 374 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 376, + 363, + 388 + ], + "lines": [ + { + "bbox": [ + 105, + 374, + 364, + 392 + ], + "spans": [ + { + "bbox": [ + 105, + 374, + 364, + 392 + ], + "score": 1.0, + "content": "Combining the above with Equation 13 gives, after rearranging:", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "interline_equation", + "bbox": [ + 111, + 390, + 503, + 416 + ], + "lines": [ + { + "bbox": [ + 111, + 390, + 503, + 416 + ], + "spans": [ + { + "bbox": [ + 111, + 390, + 503, + 416 + ], + "score": 0.88, + "content": "\\frac { 1 } { 2 } \\operatorname { A v e } \\| \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { A v e } \\| ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } - \\lambda \\mathrm { t r } \\Big \\{ \\widetilde { W } _ { \\mathrm { L S } } ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) ^ { \\top } \\Big \\} + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "413a641a3f389a0df1747c9f7568831568bdb2bcceae62b7186ffbd6e237a1e0.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 111, + 390, + 503, + 416 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 419, + 196, + 430 + ], + "lines": [ + { + "bbox": [ + 106, + 418, + 196, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 196, + 432 + ], + "score": 1.0, + "content": "which is equivalent to", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "interline_equation", + "bbox": [ + 123, + 433, + 487, + 459 + ], + "lines": [ + { + "bbox": [ + 123, + 433, + 487, + 459 + ], + "spans": [ + { + "bbox": [ + 123, + 433, + 487, + 459 + ], + "score": 0.92, + "content": "\\frac { 1 } { 2 } \\operatorname { A v e } \\| \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { A v e } \\| ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } \\| _ { F } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } - \\widetilde { W } \\| _ { F } ^ { 2 } .", + "type": "interline_equation", + "image_path": "964f3ab2f8216c2b65330ef909effcba796e9dcc02a79d6755ecf86380ecf269.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 123, + 433, + 487, + 459 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 467, + 329, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 466, + 329, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 329, + 481 + ], + "score": 1.0, + "content": "Using the above, the loss can indeed be decomposed as", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19 + }, + { + "type": "interline_equation", + "bbox": [ + 226, + 482, + 383, + 499 + ], + "lines": [ + { + "bbox": [ + 226, + 482, + 383, + 499 + ], + "spans": [ + { + "bbox": [ + 226, + 482, + 383, + 499 + ], + "score": 0.76, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } ) + \\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) ,", + "type": "interline_equation", + "image_path": "a18264170eacdc4ba1f51fcd3e831af68109ceb177cd4f0e7f493613b3462a1d.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 226, + 482, + 383, + 499 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 502, + 132, + 513 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 134, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 134, + 514 + ], + "score": 1.0, + "content": "where", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 508, + 409, + 534 + ], + "lines": [ + { + "bbox": [ + 201, + 508, + 409, + 534 + ], + "spans": [ + { + "bbox": [ + 201, + 508, + 409, + 534 + ], + "score": 0.82, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { \\pmb { H } } ) \\equiv \\frac { 1 } { 2 } \\underset { i , c } { \\mathrm { A v e } } \\Vert \\widetilde { \\pmb { W } } _ { \\mathrm { L S } } \\widetilde { \\pmb { h } } _ { i , c } - \\pmb { y } _ { i , c } \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { \\pmb { W } } _ { \\mathrm { L S } } \\Vert _ { F } ^ { 2 }", + "type": "interline_equation", + "image_path": "143a687d0c5aa0038be6e8743b261cc4076f3801ae8201defe3a102bd097ac1f.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 201, + 508, + 409, + 534 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 535, + 124, + 546 + ], + "lines": [ + { + "bbox": [ + 105, + 535, + 123, + 546 + ], + "spans": [ + { + "bbox": [ + 105, + 535, + 123, + 546 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "interline_equation", + "bbox": [ + 155, + 547, + 455, + 599 + ], + "lines": [ + { + "bbox": [ + 155, + 547, + 455, + 599 + ], + "spans": [ + { + "bbox": [ + 155, + 547, + 455, + 599 + ], + "score": 0.94, + "content": "\\begin{array} { l } { \\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) \\equiv \\displaystyle \\frac { 1 } { 2 } \\operatorname { A v e } _ { i , c } \\| ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } + \\displaystyle \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } - \\widetilde { W } \\| _ { F } ^ { 2 } } \\\\ { \\displaystyle \\qquad = \\displaystyle \\frac { 1 } { 2 } \\operatorname { t r } \\Big \\{ ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\left( \\widetilde { \\Sigma } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\mu } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) ^ { \\top } \\Big \\} . } \\end{array}", + "type": "interline_equation", + "image_path": "cc6730c2caf869802efdfd491cc1d693de89c620da845dae81ba5edf18855e29.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 155, + 547, + 455, + 564.3333333333334 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 155, + 564.3333333333334, + 455, + 581.6666666666667 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 155, + 581.6666666666667, + 455, + 599.0000000000001 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 599, + 209, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 210, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 210, + 613 + ], + "score": 1.0, + "content": "This completes the proof.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "title", + "bbox": [ + 107, + 626, + 190, + 640 + ], + "lines": [ + { + "bbox": [ + 105, + 625, + 191, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 191, + 641 + ], + "score": 1.0, + "content": "C THEOREM 2", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 650, + 507, + 689 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 469, + 664 + ], + "score": 1.0, + "content": "Theorem 2. (Decomposition of Least-Squares Component) The least-squares component,", + "type": "text" + }, + { + "bbox": [ + 469, + 650, + 502, + 663 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { \\pmb { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 650, + 506, + 664 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 663, + 507, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 408, + 678 + ], + "score": 1.0, + "content": "of the MSE decomposition in Theorem 1 can be further decomposed into", + "type": "text" + }, + { + "bbox": [ + 408, + 663, + 507, + 677 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\mathcal { L } _ { N C I } ( \\widetilde { H } ) +", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 676, + 183, + 691 + ], + "spans": [ + { + "bbox": [ + 107, + 676, + 151, + 690 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 677, + 183, + 691 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30 + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 689, + 393, + 737 + ], + "lines": [ + { + "bbox": [ + 217, + 689, + 393, + 737 + ], + "spans": [ + { + "bbox": [ + 217, + 689, + 393, + 737 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } & { } & { \\mathcal { L } _ { N C I } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 } \\operatorname { t r } \\biggr \\{ \\widetilde { W } _ { L S } \\left[ \\widetilde { \\pmb { \\Sigma } } _ { W } + \\lambda { \\pmb I } \\right] \\widetilde { W } _ { L S } ^ { \\top } \\biggr \\} , } \\\\ & { } & { \\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 C } \\| \\widetilde { W } _ { L S } \\widetilde { \\pmb { M } } - { \\pmb I } \\| _ { F } ^ { 2 } . \\qquad } \\end{array}", + "type": "interline_equation", + "image_path": "9f32c0cff4624a1200ed5fa9f9be73f6ebd88a2abaf2ae3a5cc2b5735be5b0ad.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 217, + 689, + 393, + 705.0 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 217, + 705.0, + 393, + 721.0 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 217, + 721.0, + 393, + 737.0 + ], + "spans": [], + "index": 34 + } + ] + } + ], + "page_idx": 21, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 293, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 293, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 600, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 496, + 601, + 505, + 611 + ], + "spans": [ + { + "bbox": [ + 496, + 601, + 505, + 611 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 761 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 764 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 764 + ], + "score": 1.0, + "content": "22", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 80, + 189, + 94 + ], + "lines": [ + { + "bbox": [ + 104, + 80, + 191, + 96 + ], + "spans": [ + { + "bbox": [ + 104, + 80, + 191, + 96 + ], + "score": 1.0, + "content": "B THEOREM 1", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 105, + 103, + 504, + 132 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 506, + 120 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 344, + 120 + ], + "score": 1.0, + "content": "Theorem 1. (Decomposition of MSE Loss) The MSE loss,", + "type": "text" + }, + { + "bbox": [ + 344, + 103, + 387, + 118 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 387, + 102, + 506, + 120 + ], + "score": 1.0, + "content": ", can be decomposed into two", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 117, + 316, + 132 + ], + "spans": [ + { + "bbox": [ + 106, + 118, + 133, + 132 + ], + "score": 1.0, + "content": "terms,", + "type": "text" + }, + { + "bbox": [ + 133, + 117, + 286, + 132 + ], + "score": 0.93, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\bar { \\mathcal { L } } _ { L S } ( \\widetilde { H } ) + \\mathcal { L } _ { L S } ^ { \\bot } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 286, + 118, + 316, + 132 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 102, + 506, + 132 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 135, + 408, + 159 + ], + "lines": [ + { + "bbox": [ + 201, + 135, + 408, + 159 + ], + "spans": [ + { + "bbox": [ + 201, + 135, + 408, + 159 + ], + "score": 0.88, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\Vert \\widetilde { W } _ { L S } \\widetilde { h } _ { i , c } - \\pmb { y } _ { i , c } \\Vert _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\Vert \\widetilde { W } _ { L S } \\Vert _ { F } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "c6432b67ceeb3a5397bc50ae650577a07f6ac24db3ee48077bfc32b77e1a2ec1.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 201, + 135, + 408, + 159 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 162, + 124, + 174 + ], + "lines": [ + { + "bbox": [ + 104, + 163, + 125, + 174 + ], + "spans": [ + { + "bbox": [ + 104, + 163, + 125, + 174 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4, + "bbox_fs": [ + 104, + 163, + 125, + 174 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 156, + 170, + 455, + 194 + ], + "lines": [ + { + "bbox": [ + 156, + 170, + 455, + 194 + ], + "spans": [ + { + "bbox": [ + 156, + 170, + 455, + 194 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { L S } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathrm { t r } \\bigg \\{ ( \\widetilde { W } - \\widetilde { W } _ { L S } ) \\left( \\widetilde { \\boldsymbol { \\Sigma } } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\boldsymbol { \\mu } } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { L S } ) ^ { \\top } \\bigg \\} .", + "type": "interline_equation", + "image_path": "9ca167a5ac3388bdb3ba9649efec5ed250af9f3238953bb66bff12fa3562597c.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 156, + 170, + 455, + 194 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 203, + 222, + 216 + ], + "lines": [ + { + "bbox": [ + 106, + 203, + 223, + 217 + ], + "spans": [ + { + "bbox": [ + 106, + 203, + 223, + 217 + ], + "score": 1.0, + "content": "Proof. Recall the MSE loss:", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 106, + 203, + 223, + 217 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 218, + 410, + 244 + ], + "lines": [ + { + "bbox": [ + 201, + 218, + 410, + 244 + ], + "spans": [ + { + "bbox": [ + 201, + 218, + 410, + 244 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\frac { 1 } { 2 } \\mathop { \\mathrm { A v e } } _ { i , c } \\| \\widetilde { W } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } .", + "type": "interline_equation", + "image_path": "a35d627461e0062abd2a9a0ff9376092b7cd97f2313ea1ee584ea4951e5a05ee.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 201, + 218, + 410, + 244 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 103, + 248, + 508, + 275 + ], + "lines": [ + { + "bbox": [ + 105, + 247, + 506, + 264 + ], + "spans": [ + { + "bbox": [ + 105, + 247, + 310, + 264 + ], + "score": 1.0, + "content": "Consider a specific extended activations matrix", + "type": "text" + }, + { + "bbox": [ + 311, + 247, + 322, + 260 + ], + "score": 0.85, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 247, + 439, + 264 + ], + "score": 1.0, + "content": "; the least-squares solution", + "type": "text" + }, + { + "bbox": [ + 439, + 248, + 453, + 260 + ], + "score": 0.85, + "content": "\\widetilde { W }", + "type": "inline_equation" + }, + { + "bbox": [ + 453, + 247, + 506, + 264 + ], + "score": 1.0, + "content": "minimizing", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 107, + 261, + 452, + 276 + ], + "spans": [ + { + "bbox": [ + 107, + 261, + 149, + 275 + ], + "score": 0.92, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 150, + 261, + 171, + 276 + ], + "score": 1.0, + "content": "with", + "type": "text" + }, + { + "bbox": [ + 171, + 261, + 183, + 273 + ], + "score": 0.84, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 183, + 261, + 452, + 276 + ], + "score": 1.0, + "content": "kept fixed must obey the following first-order optimality condition:", + "type": "text" + } + ], + "index": 9 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 247, + 506, + 276 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 277, + 387, + 299 + ], + "lines": [ + { + "bbox": [ + 225, + 277, + 387, + 299 + ], + "spans": [ + { + "bbox": [ + 225, + 277, + 387, + 299 + ], + "score": 0.94, + "content": "\\underset { i , c } { \\mathrm { A v e } } \\big ( \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - { \\pmb y } _ { i , c } \\big ) \\widetilde { { \\pmb h } } _ { i , c } ^ { \\top } + \\lambda \\widetilde { { \\pmb W } } _ { \\mathrm { L S } } = 0 .", + "type": "interline_equation", + "image_path": "3072b89addadb078fa6f0ec23a0a246fb22637e9233eed69f5b21bd5d16392e2.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 225, + 277, + 387, + 299 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 302, + 429, + 314 + ], + "lines": [ + { + "bbox": [ + 105, + 300, + 429, + 317 + ], + "spans": [ + { + "bbox": [ + 105, + 300, + 429, + 317 + ], + "score": 1.0, + "content": "From Proposition 1 in the main manuscript, the solution to the above is given by", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 300, + 429, + 317 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 220, + 316, + 390, + 333 + ], + "lines": [ + { + "bbox": [ + 220, + 316, + 390, + 333 + ], + "spans": [ + { + "bbox": [ + 220, + 316, + 390, + 333 + ], + "score": 0.91, + "content": "\\widetilde { \\pmb { W } } _ { \\mathrm { L S } } = C ^ { - 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y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { A v e } \\| ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } - \\lambda \\mathrm { t r } \\Big \\{ \\widetilde { W } _ { \\mathrm { L S } } ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) ^ { \\top } \\Big \\} + \\frac { \\lambda } { 2 } \\| \\widetilde { W } \\| _ { F } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "413a641a3f389a0df1747c9f7568831568bdb2bcceae62b7186ffbd6e237a1e0.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 111, + 390, + 503, + 416 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 419, + 196, + 430 + ], + "lines": [ + { + "bbox": [ + 106, + 418, + 196, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 418, + 196, + 432 + ], + "score": 1.0, + "content": "which is equivalent to", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17, + "bbox_fs": [ + 106, + 418, + 196, + 432 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 123, + 433, + 487, + 459 + ], + "lines": [ + { + "bbox": [ + 123, + 433, + 487, + 459 + ], + "spans": [ + { + "bbox": [ + 123, + 433, + 487, + 459 + ], + "score": 0.92, + "content": "\\frac { 1 } { 2 } \\operatorname { A v e } \\| \\widetilde { W } _ { \\mathrm { L S } } \\widetilde { h } _ { i , c } - y _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { A v e } \\| ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } \\| _ { F } ^ { 2 } + \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } - \\widetilde { W } \\| _ { F } ^ { 2 } .", + "type": "interline_equation", + "image_path": "964f3ab2f8216c2b65330ef909effcba796e9dcc02a79d6755ecf86380ecf269.jpg" + } + ] + } + ], + "index": 18, + "virtual_lines": [ + { + "bbox": [ + 123, + 433, + 487, + 459 + ], + "spans": [], + "index": 18 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 467, + 329, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 466, + 329, + 481 + ], + "spans": [ + { + "bbox": [ + 105, + 466, + 329, + 481 + ], + "score": 1.0, + "content": "Using the above, the loss can indeed be decomposed as", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 19, + "bbox_fs": [ + 105, + 466, + 329, + 481 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 226, + 482, + 383, + 499 + ], + "lines": [ + { + "bbox": [ + 226, + 482, + 383, + 499 + ], + "spans": [ + { + "bbox": [ + 226, + 482, + 383, + 499 + ], + "score": 0.76, + "content": "\\mathcal { L } ( \\widetilde { W } , \\widetilde { H } ) = \\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { H } ) + \\mathcal { L } _ { \\mathrm { L S } } ^ { \\perp } ( \\widetilde { W } , \\widetilde { H } ) ,", + "type": "interline_equation", + "image_path": "a18264170eacdc4ba1f51fcd3e831af68109ceb177cd4f0e7f493613b3462a1d.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 226, + 482, + 383, + 499 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 502, + 132, + 513 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 134, + 514 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 134, + 514 + ], + "score": 1.0, + "content": "where", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 500, + 134, + 514 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 201, + 508, + 409, + 534 + ], + "lines": [ + { + "bbox": [ + 201, + 508, + 409, + 534 + ], + "spans": [ + { + "bbox": [ + 201, + 508, + 409, + 534 + ], + "score": 0.82, + "content": "\\mathcal { L } _ { \\mathrm { L S } } ( \\widetilde { \\pmb { H } } ) \\equiv \\frac { 1 } { 2 } \\underset { i , c } { \\mathrm { A v e } } \\Vert \\widetilde { \\pmb { W } } _ { \\mathrm { L S } } \\widetilde { \\pmb { h } } _ { i , c } - 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\\widetilde { W } _ { \\mathrm { L S } } ) \\widetilde { h } _ { i , c } \\| _ { 2 } ^ { 2 } + \\displaystyle \\frac { \\lambda } { 2 } \\| \\widetilde { W } _ { \\mathrm { L S } } - \\widetilde { W } \\| _ { F } ^ { 2 } } \\\\ { \\displaystyle \\qquad = \\displaystyle \\frac { 1 } { 2 } \\operatorname { t r } \\Big \\{ ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) \\left( \\widetilde { \\Sigma } _ { T } + \\widetilde { \\mu } _ { G } \\widetilde { \\mu } _ { G } ^ { \\top } + \\lambda I \\right) ( \\widetilde { W } - \\widetilde { W } _ { \\mathrm { L S } } ) ^ { \\top } \\Big \\} . } \\end{array}", + "type": "interline_equation", + "image_path": "cc6730c2caf869802efdfd491cc1d693de89c620da845dae81ba5edf18855e29.jpg" + } + ] + } + ], + "index": 25, + "virtual_lines": [ + { + "bbox": [ + 155, + 547, + 455, + 564.3333333333334 + ], + "spans": [], + "index": 24 + }, + { + "bbox": [ + 155, + 564.3333333333334, + 455, + 581.6666666666667 + ], + "spans": [], + "index": 25 + }, + { + "bbox": [ + 155, + 581.6666666666667, + 455, + 599.0000000000001 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 599, + 209, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 599, + 210, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 599, + 210, + 613 + ], + "score": 1.0, + "content": "This completes the proof.", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27, + "bbox_fs": [ + 105, + 599, + 210, + 613 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 626, + 190, + 640 + ], + "lines": [ + { + "bbox": [ + 105, + 625, + 191, + 641 + ], + "spans": [ + { + "bbox": [ + 105, + 625, + 191, + 641 + ], + "score": 1.0, + "content": "C THEOREM 2", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 28 + }, + { + "type": "text", + "bbox": [ + 106, + 650, + 507, + 689 + ], + "lines": [ + { + "bbox": [ + 105, + 650, + 506, + 664 + ], + "spans": [ + { + "bbox": [ + 105, + 650, + 469, + 664 + ], + "score": 1.0, + "content": "Theorem 2. (Decomposition of Least-Squares Component) The least-squares component,", + "type": "text" + }, + { + "bbox": [ + 469, + 650, + 502, + 663 + ], + "score": 0.9, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { \\pmb { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 503, + 650, + 506, + 664 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 663, + 507, + 678 + ], + "spans": [ + { + "bbox": [ + 105, + 664, + 408, + 678 + ], + "score": 1.0, + "content": "of the MSE decomposition in Theorem 1 can be further decomposed into", + "type": "text" + }, + { + "bbox": [ + 408, + 663, + 507, + 677 + ], + "score": 0.91, + "content": "\\mathcal { L } _ { L S } ( \\widetilde { H } ) = \\mathcal { L } _ { N C I } ( \\widetilde { H } ) +", + "type": "inline_equation" + } + ], + "index": 30 + }, + { + "bbox": [ + 107, + 676, + 183, + 691 + ], + "spans": [ + { + "bbox": [ + 107, + 676, + 151, + 690 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { H } )", + "type": "inline_equation" + }, + { + "bbox": [ + 152, + 677, + 183, + 691 + ], + "score": 1.0, + "content": ", where", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 650, + 507, + 691 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 689, + 393, + 737 + ], + "lines": [ + { + "bbox": [ + 217, + 689, + 393, + 737 + ], + "spans": [ + { + "bbox": [ + 217, + 689, + 393, + 737 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } & { } & { \\mathcal { L } _ { N C I } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 } \\operatorname { t r } \\biggr \\{ \\widetilde { W } _ { L S } \\left[ \\widetilde { \\pmb { \\Sigma } } _ { W } + \\lambda { \\pmb I } \\right] \\widetilde { W } _ { L S } ^ { \\top } \\biggr \\} , } \\\\ & { } & { \\mathcal { L } _ { N C 2 / 3 } ( \\widetilde { \\pmb { H } } ) = \\frac { 1 } { 2 C } \\| \\widetilde { W } _ { L S } \\widetilde { \\pmb { M } } - { \\pmb I } \\| _ { F } ^ { 2 } . \\qquad } \\end{array}", + "type": "interline_equation", + "image_path": "9f32c0cff4624a1200ed5fa9f9be73f6ebd88a2abaf2ae3a5cc2b5735be5b0ad.jpg" + } + ] + } + ], + "index": 33, + "virtual_lines": [ + { + "bbox": [ + 217, + 689, + 393, + 705.0 + ], + "spans": [], + "index": 32 + }, + { + "bbox": [ + 217, + 705.0, + 393, + 721.0 + ], + "spans": [], + "index": 33 + }, + { + "bbox": [ + 217, + 721.0, + 393, + 737.0 + ], + "spans": [], + "index": 34 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 505, + 118 + ], + "lines": [ + { + "bbox": [ + 106, + 80, + 505, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 439, + 95 + ], + "score": 1.0, + "content": "Proof. 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Proposition 1 in the main text", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 282, + 131, + 296 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 131, + 296 + ], + "score": 1.0, + "content": "gives", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "interline_equation", + "bbox": [ + 259, + 291, + 352, + 307 + ], + "lines": [ + { + "bbox": [ + 259, + 291, + 352, + 307 + ], + "spans": [ + { + "bbox": [ + 259, + 291, + 352, + 307 + ], + "score": 0.93, + "content": "\\begin{array} { r } { W _ { \\mathrm { L S } } = C ^ { - 1 } \\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } , } \\end{array}", + "type": "interline_equation", + "image_path": "430b9276495f399fb340315646535209b47fcd7478d67551ac3853a08b0d8300.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 259, + 291, + 352, + 307 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 310, + 505, + 332 + ], + "lines": [ + { + "bbox": [ + 104, + 307, + 507, + 325 + ], + "spans": [ + { + "bbox": [ + 104, + 307, + 133, + 325 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 309, + 185, + 320 + ], + "score": 0.91, + "content": "\\overline { { M } } \\in \\mathbb { R } ^ { P \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 185, + 307, + 296, + 325 + ], + "score": 1.0, + "content": "is the matrix with columns", + "type": "text" + }, + { + "bbox": [ + 296, + 311, + 334, + 322 + ], + "score": 0.9, + "content": "\\mu _ { c } - \\mu _ { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 334, + 307, + 507, + 325 + ], + "score": 1.0, + "content": ". Returning to the unextended coordinates,", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 107, + 320, + 201, + 334 + ], + "spans": [ + { + "bbox": [ + 107, + 321, + 146, + 333 + ], + "score": 0.92, + "content": "\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\overline { { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 320, + 201, + 334 + ], + "score": 1.0, + "content": "simplifies to", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "interline_equation", + "bbox": [ + 235, + 331, + 375, + 354 + ], + "lines": [ + { + "bbox": [ + 235, + 331, + 375, + 354 + ], + "spans": [ + { + "bbox": [ + 235, + 331, + 375, + 354 + ], + "score": 0.94, + "content": "\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\overline { { H } } ) = \\frac { 1 } { 2 } \\mathrm { t r } \\big \\{ W _ { \\mathrm { L S } } \\Sigma _ { W } W _ { \\mathrm { L S } } ^ { \\top } \\big \\} ,", + "type": "interline_equation", + "image_path": "3bbbf612856dfe629d161e3123a7e64e2091087dac982a063bbfa920245a231a.jpg" + } + ] + } + ], + "index": 15, + "virtual_lines": [ + { + "bbox": [ + 235, + 331, + 375, + 354 + ], + "spans": [], + "index": 15 + } + ] + }, + { + "type": "text", + "bbox": [ + 108, + 357, + 498, + 370 + ], + "lines": [ + { + "bbox": [ + 105, + 353, + 500, + 373 + ], + "spans": [ + { + "bbox": [ + 105, + 353, + 133, + 373 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 357, + 190, + 368 + ], + "score": 0.91, + "content": "\\overline { { H } } \\in \\mathbb { R } ^ { P \\times C N }", + "type": "inline_equation" + }, + { + "bbox": [ + 190, + 353, + 243, + 373 + ], + "score": 1.0, + "content": "has columns", + "type": "text" + }, + { + "bbox": [ + 244, + 358, + 286, + 370 + ], + "score": 0.92, + "content": "h _ { i , c } - \\mu _ { G }", + "type": "inline_equation" + }, + { + "bbox": [ + 287, + 353, + 330, + 373 + ], + "score": 1.0, + "content": ". The term", + "type": "text" + }, + { + "bbox": [ + 330, + 357, + 375, + 370 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { \\mathrm { N C } 2 / 3 } ( \\overline { { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 353, + 500, + 373 + ], + "score": 1.0, + "content": "also simplifies instructively to", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16 + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 374, + 378, + 399 + ], + "lines": [ + { + "bbox": [ + 232, + 374, + 378, + 399 + ], + "spans": [ + { + "bbox": [ + 232, + 374, + 378, + 399 + ], + "score": 0.94, + "content": "\\mathcal { L } _ { \\mathrm { N C 2 / 3 } } ( \\overline { { H } } ) = \\frac { 1 } { 2 C } \\| W _ { \\mathrm { L S } } \\overline { { M } } - \\Phi \\| _ { F } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "ab4c833566553144f6a4c9b8cf1e3fa8335d8da066eabae9c99f1df993530a37.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 232, + 374, + 378, + 399 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 403, + 300, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 402, + 302, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 133, + 419 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 403, + 181, + 415 + ], + "score": 0.92, + "content": "\\Phi \\in \\mathbb { R } ^ { C \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 402, + 302, + 419 + ], + "score": 1.0, + "content": "is the standard Simplex ETF:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "interline_equation", + "bbox": [ + 268, + 420, + 342, + 445 + ], + "lines": [ + { + "bbox": [ + 268, + 420, + 342, + 445 + ], + "spans": [ + { + "bbox": [ + 268, + 420, + 342, + 445 + ], + "score": 0.93, + "content": "\\pmb { \\Phi } = \\pmb { I } - \\frac { 1 } { C } \\pmb { 1 } \\pmb { 1 } ^ { \\top } .", + "type": "interline_equation", + "image_path": "4cb51e6ae05b543b51f1c5347533330e65119040a5b00c738eeca77301005c93.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 268, + 420, + 342, + 445 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 455, + 347, + 468 + ], + "lines": [ + { + "bbox": [ + 106, + 456, + 347, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 347, + 469 + ], + "score": 1.0, + "content": "C.2 ADDITIONAL INTUITIONS FOR THEOREM 2 TERMS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 106, + 476, + 425, + 489 + ], + "lines": [ + { + "bbox": [ + 105, + 475, + 426, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 426, + 489 + ], + "score": 1.0, + "content": "The expressions in Equation 15 and Equation 17 further evoke the intuition that", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "text", + "bbox": [ + 141, + 496, + 470, + 519 + ], + "lines": [ + { + "bbox": [ + 142, + 496, + 470, + 511 + ], + "spans": [ + { + "bbox": [ + 142, + 496, + 182, + 510 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\overline { { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 497, + 470, + 511 + ], + "score": 1.0, + "content": "is a variance term that goes to zero only under activation collapse (NC1)", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "text", + "bbox": [ + 105, + 529, + 504, + 552 + ], + "lines": [ + { + "bbox": [ + 105, + 528, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 451, + 542 + ], + "score": 1.0, + "content": "More specifically, we see that, with the class-means held constant, the only way to have", + "type": "text" + }, + { + "bbox": [ + 451, + 528, + 505, + 541 + ], + "score": 0.91, + "content": "{ \\mathcal { L } } _ { \\mathrm { N C l } } ( { \\overline { { H } } } ) \\to", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 540, + 381, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 137, + 552 + ], + "score": 1.0, + "content": "0 is for", + "type": "text" + }, + { + "bbox": [ + 138, + 540, + 177, + 551 + ], + "score": 0.91, + "content": "\\pmb { \\Sigma } _ { W } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 540, + 381, + 552 + ], + "score": 1.0, + "content": ". 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Thus,", + "type": "text" + }, + { + "bbox": [ + 427, + 614, + 472, + 626 + ], + "score": 0.92, + "content": "\\bar { \\mathcal { L } } _ { \\mathrm { N C } 2 / 3 } ( \\overline { { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 473, + 613, + 506, + 627 + ], + "score": 1.0, + "content": "can be", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 106, + 625, + 451, + 639 + ], + "spans": [ + { + "bbox": [ + 106, + 625, + 451, + 639 + ], + "score": 1.0, + "content": "interpreted as a semi-metric reflecting the distance from achieving (NC2) and (NC3) .", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 28.5 + }, + { + "type": "title", + "bbox": [ + 107, + 653, + 190, + 666 + ], + "lines": [ + { + "bbox": [ + 105, + 652, + 192, + 668 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 192, + 668 + ], + "score": 1.0, + "content": "D THEOREM 3", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "title", + "bbox": [ + 108, + 678, + 265, + 689 + ], + "lines": [ + { + "bbox": [ + 105, + 678, + 267, + 691 + ], + "spans": [ + { + "bbox": [ + 105, + 678, + 267, + 691 + ], + "score": 1.0, + "content": "D.1 IMPLICATIONS OF INVARIANCE", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 107, + 698, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "spans": [ + { + "bbox": [ + 105, + 698, + 505, + 711 + ], + "score": 1.0, + "content": "In this section, we will discuss in more detail how the invariance observed Section 3.1 leads the", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 711, + 505, + 721 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 505, + 721 + ], + "score": 1.0, + "content": "the continually renormalized gradient flow (Equation 5). 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Under Euclidean distance, perturbations to the extended activations matrix", + "type": "text" + }, + { + "bbox": [ + 440, + 80, + 451, + 93 + ], + "score": 0.84, + "content": "\\widetilde { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 452, + 82, + 505, + 95 + ], + "score": 1.0, + "content": "which affect", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 505, + 106 + ], + "score": 1.0, + "content": "only the class-means or global-mean are orthogonal to perturbations which affect only the within-class", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 104, + 466, + 119 + ], + "spans": [ + { + "bbox": [ + 106, + 106, + 200, + 119 + ], + "score": 1.0, + "content": "covariance. 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The term", + "type": "text" + }, + { + "bbox": [ + 330, + 357, + 375, + 370 + ], + "score": 0.93, + "content": "\\mathcal { L } _ { \\mathrm { N C } 2 / 3 } ( \\overline { { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 376, + 353, + 500, + 373 + ], + "score": 1.0, + "content": "also simplifies instructively to", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 353, + 500, + 373 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 232, + 374, + 378, + 399 + ], + "lines": [ + { + "bbox": [ + 232, + 374, + 378, + 399 + ], + "spans": [ + { + "bbox": [ + 232, + 374, + 378, + 399 + ], + "score": 0.94, + "content": "\\mathcal { L } _ { \\mathrm { N C 2 / 3 } } ( \\overline { { H } } ) = \\frac { 1 } { 2 C } \\| W _ { \\mathrm { L S } } \\overline { { M } } - \\Phi \\| _ { F } ^ { 2 } ,", + "type": "interline_equation", + "image_path": "ab4c833566553144f6a4c9b8cf1e3fa8335d8da066eabae9c99f1df993530a37.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 232, + 374, + 378, + 399 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 403, + 300, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 402, + 302, + 419 + ], + "spans": [ + { + "bbox": [ + 105, + 402, + 133, + 419 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 403, + 181, + 415 + ], + "score": 0.92, + "content": "\\Phi \\in \\mathbb { R } ^ { C \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 181, + 402, + 302, + 419 + ], + "score": 1.0, + "content": "is the standard Simplex ETF:", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 402, + 302, + 419 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 268, + 420, + 342, + 445 + ], + "lines": [ + { + "bbox": [ + 268, + 420, + 342, + 445 + ], + "spans": [ + { + "bbox": [ + 268, + 420, + 342, + 445 + ], + "score": 0.93, + "content": "\\pmb { \\Phi } = \\pmb { I } - \\frac { 1 } { C } \\pmb { 1 } \\pmb { 1 } ^ { \\top } .", + "type": "interline_equation", + "image_path": "4cb51e6ae05b543b51f1c5347533330e65119040a5b00c738eeca77301005c93.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 268, + 420, + 342, + 445 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 455, + 347, + 468 + ], + "lines": [ + { + "bbox": [ + 106, + 456, + 347, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 456, + 347, + 469 + ], + "score": 1.0, + "content": "C.2 ADDITIONAL INTUITIONS FOR THEOREM 2 TERMS", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20, + "bbox_fs": [ + 106, + 456, + 347, + 469 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 476, + 425, + 489 + ], + "lines": [ + { + "bbox": [ + 105, + 475, + 426, + 489 + ], + "spans": [ + { + "bbox": [ + 105, + 475, + 426, + 489 + ], + "score": 1.0, + "content": "The expressions in Equation 15 and Equation 17 further evoke the intuition that", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 142, + 496, + 470, + 511 + ], + "spans": [ + { + "bbox": [ + 142, + 496, + 182, + 510 + ], + "score": 0.89, + "content": "\\mathcal { L } _ { \\mathrm { N C 1 } } ( \\overline { { H } } )", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 497, + 470, + 511 + ], + "score": 1.0, + "content": "is a variance term that goes to zero only under activation collapse (NC1)", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 475, + 426, + 489 + ] + }, + { + "type": "text", + "bbox": [ + 141, + 496, + 470, + 519 + ], + "lines": [], + "index": 22, + "bbox_fs": [ + 142, + 496, + 470, + 511 + ], + "lines_deleted": true + }, + { + "type": "text", + "bbox": [ + 105, + 529, + 504, + 552 + ], + "lines": [ + { + "bbox": [ + 105, + 528, + 505, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 528, + 451, + 542 + ], + "score": 1.0, + "content": "More specifically, we see that, with the class-means held constant, the only way to have", + "type": "text" + }, + { + "bbox": [ + 451, + 528, + 505, + 541 + ], + "score": 0.91, + "content": "{ \\mathcal { L } } _ { \\mathrm { N C l } } ( { \\overline { { H } } } ) \\to", + "type": "inline_equation" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 540, + 381, + 552 + ], + "spans": [ + { + "bbox": [ + 106, + 540, + 137, + 552 + ], + "score": 1.0, + "content": "0 is for", + "type": "text" + }, + { + "bbox": [ + 138, + 540, + 177, + 551 + ], + "score": 0.91, + "content": "\\pmb { \\Sigma } _ { W } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 177, + 540, + 381, + 552 + ], + "score": 1.0, + "content": ". 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The base", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 420, + 506, + 436 + ], + "spans": [ + { + "bbox": [ + 105, + 420, + 205, + 436 + ], + "score": 1.0, + "content": "space—we will denote it", + "type": "text" + }, + { + "bbox": [ + 205, + 423, + 214, + 432 + ], + "score": 0.83, + "content": "\\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 215, + 420, + 361, + 436 + ], + "score": 1.0, + "content": "—can be taken to be the collection of", + "type": "text" + }, + { + "bbox": [ + 361, + 422, + 393, + 432 + ], + "score": 0.91, + "content": "\\mathbf { } X \\in { \\mathcal { H } }", + "type": "inline_equation" + }, + { + "bbox": [ + 393, + 420, + 420, + 436 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 420, + 422, + 476, + 434 + ], + "score": 0.93, + "content": "\\Sigma _ { W } ( { \\pmb X } ) = { \\pmb I }", + "type": "inline_equation" + }, + { + "bbox": [ + 476, + 420, + 506, + 436 + ], + "score": 1.0, + "content": ". 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There", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 141, + 520, + 506, + 533 + ], + "spans": [ + { + "bbox": [ + 141, + 520, + 506, + 533 + ], + "score": 1.0, + "content": "is also no performance benefit to moving along a fiber; only by moving from fiber-to-fiber", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 141, + 532, + 263, + 543 + ], + "spans": [ + { + "bbox": [ + 141, + 532, + 263, + 543 + ], + "score": 1.0, + "content": "can we improve performance.", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 128, + 546, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 128, + 546, + 506, + 560 + ], + "score": 1.0, + "content": "2. 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For any matrix", + "type": "text" + }, + { + "bbox": [ + 201, + 369, + 248, + 380 + ], + "score": 0.91, + "content": "\\boldsymbol { Z } \\in \\mathbb { R } ^ { P \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 248, + 367, + 355, + 383 + ], + "score": 1.0, + "content": ", define the transformation", + "type": "text" + }, + { + "bbox": [ + 355, + 369, + 413, + 380 + ], + "score": 0.89, + "content": "Z \\to U ^ { \\top } Z { \\bar { V } }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 367, + 506, + 383 + ], + "score": 1.0, + "content": "as the transformation", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 381, + 233, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 233, + 393 + ], + "score": 1.0, + "content": "into aligned-SNR coordinates.", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 18.5, + "bbox_fs": [ + 104, + 346, + 507, + 393 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 399, + 506, + 436 + ], + "lines": [ + { + "bbox": [ + 106, + 400, + 482, + 413 + ], + "spans": [ + { + "bbox": [ + 106, + 400, + 482, + 413 + ], + "score": 1.0, + "content": "The aligned-SNR coordinates is so-named because it diagonalizes i.e. aligns the SNR matrix:", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 105, + 413, + 506, + 426 + ], + "score": 1.0, + "content": "Definition 4 (Aligned SNR Matrix). Consider the SVD decomposition of the SNR from Definition 2.", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 425, + 270, + 437 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 270, + 437 + ], + "score": 1.0, + "content": "Combined with Equation 8, observe that", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 400, + 506, + 437 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 219, + 437, + 392, + 456 + ], + "lines": [ + { + "bbox": [ + 219, + 437, + 392, + 456 + ], + "spans": [ + { + "bbox": [ + 219, + 437, + 392, + 456 + ], + "score": 0.92, + "content": "\\boldsymbol { \\Omega } = \\mathrm { d i a g } \\left( \\left\\{ \\omega _ { c } \\right\\} _ { c = 1 } ^ { C - 1 } , 0 \\right) = \\boldsymbol { U } ^ { \\top } \\boldsymbol { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { \\boldsymbol { M } } } \\boldsymbol { V }", + "type": "interline_equation", + "image_path": "11a53927e8c6b33936140dea480dc43d28786df5e227227c99be8ec850af4064.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 219, + 437, + 392, + 456 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 456, + 248, + 469 + ], + "lines": [ + { + "bbox": [ + 105, + 455, + 249, + 470 + ], + "spans": [ + { + "bbox": [ + 105, + 455, + 137, + 470 + ], + "score": 1.0, + "content": "We call", + "type": "text" + }, + { + "bbox": [ + 138, + 457, + 147, + 467 + ], + "score": 0.48, + "content": "\\pmb { \\Omega }", + "type": "inline_equation" + }, + { + "bbox": [ + 147, + 455, + 249, + 470 + ], + "score": 1.0, + "content": "the aligned SNR matrix.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 455, + 249, + 470 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 476, + 467, + 488 + ], + "lines": [ + { + "bbox": [ + 105, + 476, + 468, + 488 + ], + "spans": [ + { + "bbox": [ + 105, + 476, + 468, + 488 + ], + "score": 1.0, + "content": "The following facts about the aligned SNR matrix becomes useful later in our derivations:", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 476, + 468, + 488 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 489, + 505, + 502 + ], + "lines": [ + { + "bbox": [ + 106, + 488, + 505, + 504 + ], + "spans": [ + { + "bbox": [ + 106, + 488, + 505, + 504 + ], + "score": 1.0, + "content": "Observation 1 (SVD of Aligned SNR Matrix). The SVD of the aligned SNR matrix itself is simply", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27, + "bbox_fs": [ + 106, + 488, + 505, + 504 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 266, + 503, + 343, + 539 + ], + "lines": [ + { + "bbox": [ + 266, + 503, + 343, + 539 + ], + "spans": [ + { + "bbox": [ + 266, + 503, + 343, + 539 + ], + "score": 0.93, + "content": "\\Omega = \\sum _ { j = 1 } ^ { C - 1 } \\omega _ { j } \\pmb { e } _ { j } \\pmb { e } _ { j } ^ { \\top } ,", + "type": "interline_equation", + "image_path": "ead402a96b6cfbf3780076ea1a3e4fa29231634c8eb877d5f299ba6e0ee82f2f.jpg" + } + ] + } + ], + "index": 28.5, + "virtual_lines": [ + { + "bbox": [ + 266, + 503, + 343, + 521.0 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 266, + 521.0, + 343, + 539.0 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 540, + 334, + 555 + ], + "lines": [ + { + "bbox": [ + 105, + 540, + 334, + 556 + ], + "spans": [ + { + "bbox": [ + 105, + 540, + 205, + 556 + ], + "score": 1.0, + "content": "with the canonical basis", + "type": "text" + }, + { + "bbox": [ + 206, + 541, + 240, + 555 + ], + "score": 0.94, + "content": "\\{ e _ { j } \\} _ { j = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 540, + 334, + 556 + ], + "score": 1.0, + "content": "as its singular vectors.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 540, + 334, + 556 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 562, + 505, + 597 + ], + "lines": [ + { + "bbox": [ + 101, + 558, + 509, + 582 + ], + "spans": [ + { + "bbox": [ + 101, + 558, + 234, + 582 + ], + "score": 1.0, + "content": "As discussed in Section 3.2, the", + "type": "text" + }, + { + "bbox": [ + 235, + 563, + 272, + 576 + ], + "score": 0.93, + "content": "\\{ \\omega _ { c } \\} _ { c = 1 } ^ { C - 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 273, + 558, + 330, + 582 + ], + "score": 1.0, + "content": "that comprise", + "type": "text" + }, + { + "bbox": [ + 330, + 564, + 339, + 574 + ], + "score": 0.8, + "content": "\\pmb { \\Omega }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 558, + 509, + 582 + ], + "score": 1.0, + "content": "are decisive for understanding separation", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 105, + 574, + 506, + 588 + ], + "spans": [ + { + "bbox": [ + 105, + 574, + 219, + 588 + ], + "score": 1.0, + "content": "performance. In fact, when", + "type": "text" + }, + { + "bbox": [ + 220, + 576, + 240, + 585 + ], + "score": 0.86, + "content": "\\lambda { = } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 574, + 506, + 588 + ], + "score": 1.0, + "content": ", the MSE loss can be entirely characterized by the SNR singular", + "type": "text" + } + ], + "index": 32 + }, + { + "bbox": [ + 106, + 586, + 216, + 598 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 216, + 598 + ], + "score": 1.0, + "content": "values on the central path:", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 32, + "bbox_fs": [ + 101, + 558, + 509, + 598 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 599, + 441, + 612 + ], + "lines": [ + { + "bbox": [ + 105, + 598, + 442, + 613 + ], + "spans": [ + { + "bbox": [ + 105, + 598, + 348, + 613 + ], + "score": 1.0, + "content": "Lemma 1 (Spectral Representation of MSE Loss). When", + "type": "text" + }, + { + "bbox": [ + 348, + 600, + 373, + 610 + ], + "score": 0.88, + "content": "\\lambda = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 373, + 598, + 442, + 613 + ], + "score": 1.0, + "content": ", MSE loss obeys", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 34, + "bbox_fs": [ + 105, + 598, + 442, + 613 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 155, + 613, + 455, + 648 + ], + "lines": [ + { + "bbox": [ + 155, + 613, + 455, + 648 + ], + "spans": [ + { + "bbox": [ + 155, + 613, + 455, + 648 + ], + "score": 0.93, + "content": "\\mathcal { L } ( W _ { L S } ( \\overline { { H } } ) , \\overline { { H } } ) = \\mathcal { L } _ { L S } ( W _ { L S } ( \\overline { { H } } ) , \\overline { { H } } ) = \\frac { 1 } { 2 } \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { \\omega _ { j } ^ { 2 } + C } = \\mathcal { L } \\left( \\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 } \\right) ,", + "type": "interline_equation", + "image_path": "65e330e2f135b303378e66622fd921a353161c67e83dd2475c46202839316322.jpg" + } + ] + } + ], + "index": 36, + "virtual_lines": [ + { + "bbox": [ + 155, + 613, + 455, + 624.6666666666666 + ], + "spans": [], + "index": 35 + }, + { + "bbox": [ + 155, + 624.6666666666666, + 455, + 636.3333333333333 + ], + "spans": [], + "index": 36 + }, + { + "bbox": [ + 155, + 636.3333333333333, + 455, + 647.9999999999999 + ], + "spans": [], + "index": 37 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 649, + 301, + 661 + ], + "lines": [ + { + "bbox": [ + 105, + 647, + 302, + 663 + ], + "spans": [ + { + "bbox": [ + 105, + 647, + 302, + 663 + ], + "score": 1.0, + "content": "on the central path, and its decomposition obeys", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 38, + "bbox_fs": [ + 105, + 647, + 302, + 663 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 177, + 662, + 435, + 737 + ], + "lines": [ + { + "bbox": [ + 177, + 662, + 435, + 737 + ], + "spans": [ + { + "bbox": [ + 177, + 662, + 435, + 737 + ], + "score": 0.9, + "content": "\\begin{array} { l } { { \\displaystyle \\mathcal { L } _ { N C I } ( \\overline { { { H } } } ) = \\frac 1 2 \\sum _ { j = 1 } ^ { C - 1 } \\frac { \\omega _ { j } ^ { 2 } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } = \\mathcal { L } _ { N C I } \\left( \\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 } \\right) } } \\\\ { { \\displaystyle \\mathcal { L } _ { N C 2 / 3 } ( \\overline { { { H } } } ) = \\frac 1 2 \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { C } \\left( \\frac { \\omega _ { j } ^ { 2 } } { \\omega _ { j } ^ { 2 } + C } - 1 \\right) ^ { 2 } = \\mathcal { L } _ { N C 2 / 3 } \\left( \\{ \\omega _ { j } \\} _ { j = 1 } ^ { C - 1 } \\right) . } } \\end{array}", + "type": "interline_equation", + "image_path": "fe0182fee4a892ac36c929acb037d6e33c5e4cd205affa5eede94726223a987b.jpg" + } + ] + } + ], + "index": 40, + "virtual_lines": [ + { + "bbox": [ + 177, + 662, + 435, + 687.0 + ], + "spans": [], + "index": 39 + }, + { + "bbox": [ + 177, + 687.0, + 435, + 712.0 + ], + "spans": [], + "index": 40 + }, + { + "bbox": [ + 177, + 712.0, + 435, + 737.0 + ], + "spans": [], + "index": 41 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 81, + 476, + 95 + ], + "lines": [ + { + "bbox": [ + 104, + 81, + 477, + 97 + ], + "spans": [ + { + "bbox": [ + 104, + 81, + 477, + 97 + ], + "score": 1.0, + "content": "Proof. Using Equation 16, Equation 17, and Equation 18, the loss on the central path equals", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "interline_equation", + "bbox": [ + 121, + 97, + 473, + 122 + ], + "lines": [ + { + "bbox": [ + 121, + 97, + 473, + 122 + ], + "spans": [ + { + "bbox": [ + 121, + 97, + 473, + 122 + ], + "score": 0.92, + "content": "\\mathcal { L } ( W _ { \\mathrm { L S } } , \\overline { { { M } } } ) = \\frac { 1 } { 2 C } \\Vert C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { { M } } } - \\Phi \\Vert _ { F } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { t r } \\big \\{ C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\Sigma _ { W } \\Sigma _ { T } ^ { - 1 } \\overline { { { M } } } C ^ { - 1 } \\big \\} .", + "type": "interline_equation", + "image_path": "38827d7c9d71a08bc4d30226bf6aa6c9f919a97d62142ac61e76cdac0dc33f56.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 121, + 97, + 473, + 122 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 127, + 504, + 151 + ], + "lines": [ + { + "bbox": [ + 105, + 125, + 504, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 141, + 142 + ], + "score": 1.0, + "content": "Observe", + "type": "text" + }, + { + "bbox": [ + 142, + 126, + 193, + 140 + ], + "score": 0.93, + "content": "\\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 125, + 211, + 142 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 211, + 128, + 221, + 138 + ], + "score": 0.82, + "content": "\\Phi", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 125, + 459, + 142 + ], + "score": 1.0, + "content": "are simultaneously diagonalizable since they share the same", + "type": "text" + }, + { + "bbox": [ + 459, + 126, + 504, + 140 + ], + "score": 0.89, + "content": "[ 1 , \\ldots , 1 ] ^ { \\top }", + "type": "inline_equation" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 138, + 371, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 166, + 151 + ], + "score": 1.0, + "content": "null space and", + "type": "text" + }, + { + "bbox": [ + 166, + 140, + 176, + 149 + ], + "score": 0.83, + "content": "\\Phi", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 138, + 192, + 151 + ], + "score": 1.0, + "content": "has", + "type": "text" + }, + { + "bbox": [ + 192, + 140, + 219, + 150 + ], + "score": 0.89, + "content": "C - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 138, + 371, + 151 + ], + "score": 1.0, + "content": "equal eigenvalues. Also, observe that", + "type": "text" + } + ], + "index": 3 + } + ], + "index": 2.5 + }, + { + "type": "interline_equation", + "bbox": [ + 253, + 154, + 358, + 178 + ], + "lines": [ + { + "bbox": [ + 253, + 154, + 358, + 178 + ], + "spans": [ + { + "bbox": [ + 253, + 154, + 358, + 178 + ], + "score": 0.93, + "content": "\\Sigma _ { T } = \\Sigma _ { W } + \\frac { 1 } { C } \\overline { { { M } } } \\overline { { { M } } } ^ { T } .", + "type": "interline_equation", + "image_path": "76c69d01aa0716b835b65e10c603a0fcea4f4ab7135ce573d9001cdfd3f929ac.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 253, + 154, + 358, + 178 + ], + "spans": [], + "index": 4 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 189, + 506, + 229 + ], + "lines": [ + { + "bbox": [ + 105, + 187, + 506, + 204 + ], + "spans": [ + { + "bbox": [ + 105, + 187, + 122, + 204 + ], + "score": 1.0, + "content": "Let", + "type": "text" + }, + { + "bbox": [ + 123, + 188, + 132, + 200 + ], + "score": 0.84, + "content": "\\widehat { \\Omega }", + "type": "inline_equation" + }, + { + "bbox": [ + 132, + 187, + 296, + 204 + ], + "score": 1.0, + "content": "be submatrix of the aligned-SNR matrix", + "type": "text" + }, + { + "bbox": [ + 296, + 191, + 306, + 200 + ], + "score": 0.82, + "content": "\\pmb { \\Omega }", + "type": "inline_equation" + }, + { + "bbox": [ + 306, + 187, + 506, + 204 + ], + "score": 1.0, + "content": "corresponding to the non-zero singular values i.e.", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 199, + 508, + 218 + ], + "spans": [ + { + "bbox": [ + 106, + 201, + 195, + 216 + ], + "score": 0.92, + "content": "\\widehat { \\Omega } = \\mathrm { d i a g } \\left( \\{ \\omega _ { j } \\} _ { c = 1 } ^ { C - 1 } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 199, + 508, + 218 + ], + "score": 1.0, + "content": ". After taking simultaneous-diagonalizations and canceling partial orthogonal", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 215, + 340, + 229 + ], + "spans": [ + { + "bbox": [ + 105, + 216, + 327, + 229 + ], + "score": 1.0, + "content": "matrices, Equation 19 can be written solely in terms of", + "type": "text" + }, + { + "bbox": [ + 327, + 215, + 336, + 227 + ], + "score": 0.85, + "content": "\\widehat { \\Omega }", + "type": "inline_equation" + }, + { + "bbox": [ + 337, + 216, + 340, + 229 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 6 + }, + { + "type": "interline_equation", + "bbox": [ + 118, + 232, + 493, + 263 + ], + "lines": [ + { + "bbox": [ + 118, + 232, + 493, + 263 + ], + "spans": [ + { + "bbox": [ + 118, + 232, + 493, + 263 + ], + "score": 0.94, + "content": "\\mathcal { L } ( \\widehat { \\Omega } ) = \\frac { 1 } { 2 C } \\left\\| \\widehat { \\Omega } ^ { \\top } \\left( \\widehat { \\Omega } \\widehat { \\Omega } ^ { \\top } + C I _ { C - 1 } \\right) ^ { - 1 } \\widehat { \\Omega } - I _ { C - 1 } \\right\\| _ { F } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { t r } \\Big \\{ \\widehat { \\Omega } ^ { \\top } ( \\widehat { \\Omega } \\widehat { \\Omega } ^ { \\top } + C I _ { C - 1 } ) ^ { - 2 } \\widehat { \\Omega } \\Big \\} .", + "type": "interline_equation", + "image_path": "5fd625df92714c0561c4c438e22fa3aaed72d4765219925ca2d0f7f4120cabdd.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 118, + 232, + 493, + 242.33333333333334 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 118, + 242.33333333333334, + 493, + 252.66666666666669 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 118, + 252.66666666666669, + 493, + 263.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 266, + 244, + 277 + ], + "lines": [ + { + "bbox": [ + 105, + 264, + 245, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 245, + 279 + ], + "score": 1.0, + "content": "This can be further simplified into", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 186, + 281, + 424, + 356 + ], + "lines": [ + { + "bbox": [ + 186, + 281, + 424, + 356 + ], + "spans": [ + { + "bbox": [ + 186, + 281, + 424, + 356 + ], + "score": 0.94, + "content": "\\begin{array} { l } { \\displaystyle \\mathcal { L } ( \\{ \\omega _ { j } \\} _ { c = 1 } ^ { C - 1 } \\} ) = \\frac { 1 } { 2 } \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { C } \\left( \\frac { \\omega _ { j } ^ { 2 } } { \\omega _ { j } ^ { 2 } + C } - 1 \\right) ^ { 2 } + \\frac { \\omega _ { j } ^ { 2 } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } } \\\\ { \\displaystyle \\quad = \\frac { 1 } { 2 } \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { \\omega _ { j } ^ { 2 } + C } . } \\end{array}", + "type": "interline_equation", + "image_path": "7bf169bfd5869ffb10f10c95d7f35a3e765d7df44afb54480580e402e8cefba4.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 186, + 281, + 424, + 296.0 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 186, + 296.0, + 424, + 311.0 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 186, + 311.0, + 424, + 326.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 186, + 326.0, + 424, + 341.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 186, + 341.0, + 424, + 356.0 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 363, + 264, + 375 + ], + "lines": [ + { + "bbox": [ + 106, + 363, + 265, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 265, + 377 + ], + "score": 1.0, + "content": "This completes the proof for Lemma 1.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 104, + 388, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 99, + 380, + 504, + 417 + ], + "spans": [ + { + "bbox": [ + 99, + 380, + 277, + 417 + ], + "score": 1.0, + "content": "Thus, the aligned SNR matrix, U ⊤Σ− 12W MĎSNR matrix to a diagonal matrix (Definiti", + "type": "text" + }, + { + "bbox": [ + 289, + 391, + 504, + 404 + ], + "score": 1.0, + "content": ", maximally simplifies analysis by reducing the vanilla", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 402, + 501, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 501, + 415 + ], + "score": 1.0, + "content": "on 4) whose entries determine the MSE loss (Lemma 1).", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "text", + "bbox": [ + 108, + 419, + 465, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 418, + 466, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 466, + 433 + ], + "score": 1.0, + "content": "We introduce the alignment of features into their own notion of aligned SNR coordinates:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "text", + "bbox": [ + 107, + 433, + 509, + 468 + ], + "lines": [ + { + "bbox": [ + 104, + 432, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 104, + 432, + 420, + 446 + ], + "score": 1.0, + "content": "Definition 5 (Renormalization to aligned SNR Coordinates). Consider", + "type": "text" + }, + { + "bbox": [ + 420, + 432, + 483, + 444 + ], + "score": 0.91, + "content": "\\overline { { \\pmb { H } } } ~ \\in ~ \\mathbb { R } ^ { P \\times C N }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 432, + 506, + 446 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 445, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 313, + 457 + ], + "score": 1.0, + "content": "corresponding SNR left and right singular vectors", + "type": "text" + }, + { + "bbox": [ + 313, + 446, + 323, + 455 + ], + "score": 0.79, + "content": "U", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 445, + 342, + 457 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 343, + 445, + 353, + 455 + ], + "score": 0.74, + "content": "V", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 445, + 506, + 457 + ], + "score": 1.0, + "content": "(Definition 2). Then, define the SNR-", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 106, + 455, + 276, + 469 + ], + "spans": [ + { + "bbox": [ + 106, + 455, + 276, + 469 + ], + "score": 1.0, + "content": "aligned renormalization of the features as", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 22 + }, + { + "type": "interline_equation", + "bbox": [ + 142, + 471, + 468, + 491 + ], + "lines": [ + { + "bbox": [ + 142, + 471, + 468, + 491 + ], + "spans": [ + { + "bbox": [ + 142, + 471, + 468, + 491 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\pmb { X } = \\pmb { U } ^ { \\top } \\left( \\pmb { \\Sigma } _ { W } \\right) ^ { - \\frac { 1 } { 2 } } \\pmb { \\overline { { H } } } ( \\pmb { V } \\otimes \\pmb { I } _ { N } ) = \\pmb { U } ^ { \\top } \\left( \\pmb { \\overline { { H } } } \\pmb { C } \\pmb { \\overline { { H } } } ^ { \\top } \\right) ^ { - \\frac { 1 } { 2 } } \\pmb { \\overline { { H } } } ( \\pmb { V } \\otimes \\pmb { I } _ { N } ) \\in \\mathbb { R } ^ { C \\times N C } , } \\end{array}", + "type": "interline_equation", + "image_path": "2fd11ec4c875ad37bf26a99ea62b298091412f8fb3212a4c0972086531c79862.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 142, + 471, + 468, + 491 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 493, + 424, + 505 + ], + "lines": [ + { + "bbox": [ + 105, + 491, + 425, + 507 + ], + "spans": [ + { + "bbox": [ + 105, + 491, + 133, + 507 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 495, + 142, + 504 + ], + "score": 0.82, + "content": "\\otimes", + "type": "inline_equation" + }, + { + "bbox": [ + 143, + 491, + 261, + 507 + ], + "score": 1.0, + "content": "is the Kronecker product and", + "type": "text" + }, + { + "bbox": [ + 262, + 494, + 271, + 504 + ], + "score": 0.83, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 491, + 425, + 507 + ], + "score": 1.0, + "content": "is a class-centering matrix defined as", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "interline_equation", + "bbox": [ + 239, + 509, + 372, + 537 + ], + "lines": [ + { + "bbox": [ + 239, + 509, + 372, + 537 + ], + "spans": [ + { + "bbox": [ + 239, + 509, + 372, + 537 + ], + "score": 0.94, + "content": "\\pmb { C } = \\frac { 1 } { C N } \\left( \\pmb { I } _ { C N } - \\frac { 1 } { N } \\pmb { Y } ^ { \\top } \\pmb { Y } \\right) .", + "type": "interline_equation", + "image_path": "4c1a7b3818ebc8084121e4ced89dce3ecbb6c7f55cb38fbcbf5f7966629b07e9.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 239, + 509, + 372, + 537 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 547, + 505, + 584 + ], + "lines": [ + { + "bbox": [ + 101, + 546, + 509, + 567 + ], + "spans": [ + { + "bbox": [ + 101, + 547, + 294, + 567 + ], + "score": 1.0, + "content": "As discussed in Section 3.1, the transformation", + "type": "text" + }, + { + "bbox": [ + 294, + 546, + 352, + 563 + ], + "score": 0.94, + "content": "\\overline { { { \\pmb { H } } } } \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } \\overline { { { \\pmb { H } } } }", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 547, + 509, + 567 + ], + "score": 1.0, + "content": "does not change the predictions of the", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "spans": [ + { + "bbox": [ + 105, + 561, + 505, + 574 + ], + "score": 1.0, + "content": "least squares classifier. 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The aligned SNR matrix,", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 690, + 504, + 704 + ], + "spans": [ + { + "bbox": [ + 106, + 692, + 116, + 702 + ], + "score": 0.45, + "content": "\\pmb { \\Omega }", + "type": "inline_equation" + }, + { + "bbox": [ + 117, + 690, + 492, + 704 + ], + "score": 1.0, + "content": "(Definition 4) can be expressed as a function of the features in aligned SNR-coordinates", + "type": "text" + }, + { + "bbox": [ + 493, + 692, + 504, + 702 + ], + "score": 0.71, + "content": "\\boldsymbol { X }", + "type": "inline_equation" + } + ], + "index": 37 + }, + { + "bbox": [ + 105, + 703, + 202, + 716 + ], + "spans": [ + { + "bbox": [ + 105, + 703, + 202, + 716 + ], + "score": 1.0, + "content": "(Definition 5) as simply", + "type": "text" + } + ], + "index": 38 + } + ], + "index": 37 + }, + { + "type": "interline_equation", + "bbox": [ + 264, + 712, + 346, + 736 + ], + "lines": [ + { + "bbox": [ + 264, + 712, + 346, + 736 + ], + "spans": [ + { + "bbox": [ + 264, + 712, + 346, + 736 + ], + "score": 0.93, + "content": "\\Omega ( X ) = \\frac { 1 } { N } X Y ^ { \\top } .", + "type": "interline_equation", + "image_path": "9b13a3e144441b3f82dc758ac21cadae37a187bacc9476bd358f008807b3bd06.jpg" + } + ] + } + ], + "index": 39, + "virtual_lines": [ + { + "bbox": [ + 264, + 712, + 346, + 736 + ], + "spans": [], + "index": 39 + } + ] + } + ], + "page_idx": 25, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 313, + 763 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 313, + 763 + ], + "score": 1.0, + "content": "26", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 364, + 505, + 375 + ], + "lines": [ + { + "bbox": [ + 495, + 366, + 505, + 375 + ], + "spans": [ + { + "bbox": [ + 495, + 366, + 505, + 375 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 81, + 476, + 95 + ], + "lines": [ + { + "bbox": [ + 104, + 81, + 477, + 97 + ], + "spans": [ + { + "bbox": [ + 104, + 81, + 477, + 97 + ], + "score": 1.0, + "content": "Proof. Using Equation 16, Equation 17, and Equation 18, the loss on the central path equals", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0, + "bbox_fs": [ + 104, + 81, + 477, + 97 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 121, + 97, + 473, + 122 + ], + "lines": [ + { + "bbox": [ + 121, + 97, + 473, + 122 + ], + "spans": [ + { + "bbox": [ + 121, + 97, + 473, + 122 + ], + "score": 0.92, + "content": "\\mathcal { L } ( W _ { \\mathrm { L S } } , \\overline { { { M } } } ) = \\frac { 1 } { 2 C } \\Vert C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { { M } } } - \\Phi \\Vert _ { F } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { t r } \\big \\{ C ^ { - 1 } \\overline { { { M } } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\Sigma _ { W } \\Sigma _ { T } ^ { - 1 } \\overline { { { M } } } C ^ { - 1 } \\big \\} .", + "type": "interline_equation", + "image_path": "38827d7c9d71a08bc4d30226bf6aa6c9f919a97d62142ac61e76cdac0dc33f56.jpg" + } + ] + } + ], + "index": 1, + "virtual_lines": [ + { + "bbox": [ + 121, + 97, + 473, + 122 + ], + "spans": [], + "index": 1 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 127, + 504, + 151 + ], + "lines": [ + { + "bbox": [ + 105, + 125, + 504, + 142 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 141, + 142 + ], + "score": 1.0, + "content": "Observe", + "type": "text" + }, + { + "bbox": [ + 142, + 126, + 193, + 140 + ], + "score": 0.93, + "content": "\\overline { { M } } ^ { \\top } \\Sigma _ { T } ^ { - 1 } \\overline { { M } }", + "type": "inline_equation" + }, + { + "bbox": [ + 194, + 125, + 211, + 142 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 211, + 128, + 221, + 138 + ], + "score": 0.82, + "content": "\\Phi", + "type": "inline_equation" + }, + { + "bbox": [ + 221, + 125, + 459, + 142 + ], + "score": 1.0, + "content": "are simultaneously diagonalizable since they share the same", + "type": "text" + }, + { + "bbox": [ + 459, + 126, + 504, + 140 + ], + "score": 0.89, + "content": "[ 1 , \\ldots , 1 ] ^ { \\top }", + "type": "inline_equation" + } + ], + "index": 2 + }, + { + "bbox": [ + 106, + 138, + 371, + 151 + ], + "spans": [ + { + "bbox": [ + 106, + 138, + 166, + 151 + ], + "score": 1.0, + "content": "null space and", + "type": "text" + }, + { + "bbox": [ + 166, + 140, + 176, + 149 + ], + "score": 0.83, + "content": "\\Phi", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 138, + 192, + 151 + ], + "score": 1.0, + "content": "has", + "type": "text" + }, + { + "bbox": [ + 192, + 140, + 219, + 150 + ], + "score": 0.89, + "content": "C - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 219, + 138, + 371, + 151 + ], + "score": 1.0, + "content": "equal eigenvalues. 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1 } \\right) ^ { - 1 } \\widehat { \\Omega } - I _ { C - 1 } \\right\\| _ { F } ^ { 2 } + \\frac { 1 } { 2 } \\operatorname { t r } \\Big \\{ \\widehat { \\Omega } ^ { \\top } ( \\widehat { \\Omega } \\widehat { \\Omega } ^ { \\top } + C I _ { C - 1 } ) ^ { - 2 } \\widehat { \\Omega } \\Big \\} .", + "type": "interline_equation", + "image_path": "5fd625df92714c0561c4c438e22fa3aaed72d4765219925ca2d0f7f4120cabdd.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 118, + 232, + 493, + 242.33333333333334 + ], + "spans": [], + "index": 8 + }, + { + "bbox": [ + 118, + 242.33333333333334, + 493, + 252.66666666666669 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 118, + 252.66666666666669, + 493, + 263.0 + ], + "spans": [], + "index": 10 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 266, + 244, + 277 + ], + "lines": [ + { + "bbox": [ + 105, + 264, + 245, + 279 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 245, + 279 + ], + "score": 1.0, + "content": "This can be further simplified into", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 264, + 245, + 279 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 186, + 281, + 424, + 356 + ], + "lines": [ + { + "bbox": [ + 186, + 281, + 424, + 356 + ], + "spans": [ + { + "bbox": [ + 186, + 281, + 424, + 356 + ], + "score": 0.94, + "content": "\\begin{array} { l } { \\displaystyle \\mathcal { L } ( \\{ \\omega _ { j } \\} _ { c = 1 } ^ { C - 1 } \\} ) = \\frac { 1 } { 2 } \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { C } \\left( \\frac { \\omega _ { j } ^ { 2 } } { \\omega _ { j } ^ { 2 } + C } - 1 \\right) ^ { 2 } + \\frac { \\omega _ { j } ^ { 2 } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } } \\\\ { \\displaystyle \\quad = \\frac { 1 } { 2 } \\sum _ { j = 1 } ^ { C - 1 } \\frac { 1 } { \\omega _ { j } ^ { 2 } + C } . } \\end{array}", + "type": "interline_equation", + "image_path": "7bf169bfd5869ffb10f10c95d7f35a3e765d7df44afb54480580e402e8cefba4.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 186, + 281, + 424, + 296.0 + ], + "spans": [], + "index": 12 + }, + { + "bbox": [ + 186, + 296.0, + 424, + 311.0 + ], + "spans": [], + "index": 13 + }, + { + "bbox": [ + 186, + 311.0, + 424, + 326.0 + ], + "spans": [], + "index": 14 + }, + { + "bbox": [ + 186, + 326.0, + 424, + 341.0 + ], + "spans": [], + "index": 15 + }, + { + "bbox": [ + 186, + 341.0, + 424, + 356.0 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 363, + 264, + 375 + ], + "lines": [ + { + "bbox": [ + 106, + 363, + 265, + 377 + ], + "spans": [ + { + "bbox": [ + 106, + 363, + 265, + 377 + ], + "score": 1.0, + "content": "This completes the proof for Lemma 1.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 17, + "bbox_fs": [ + 106, + 363, + 265, + 377 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 388, + 505, + 415 + ], + "lines": [ + { + "bbox": [ + 99, + 380, + 504, + 417 + ], + "spans": [ + { + "bbox": [ + 99, + 380, + 277, + 417 + ], + "score": 1.0, + "content": "Thus, the aligned SNR matrix, U ⊤Σ− 12W MĎSNR matrix to a diagonal matrix (Definiti", + "type": "text" + }, + { + "bbox": [ + 289, + 391, + 504, + 404 + ], + "score": 1.0, + "content": ", maximally simplifies analysis by reducing the vanilla", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 106, + 402, + 501, + 415 + ], + "spans": [ + { + "bbox": [ + 106, + 402, + 501, + 415 + ], + "score": 1.0, + "content": "on 4) whose entries determine the MSE loss (Lemma 1).", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 99, + 380, + 504, + 417 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 419, + 465, + 432 + ], + "lines": [ + { + "bbox": [ + 105, + 418, + 466, + 433 + ], + "spans": [ + { + "bbox": [ + 105, + 418, + 466, + 433 + ], + "score": 1.0, + "content": "We introduce the alignment of features into their own notion of aligned SNR coordinates:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 418, + 466, + 433 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 433, + 509, + 468 + ], + "lines": [ + { + "bbox": [ + 104, + 432, + 506, + 446 + ], + "spans": [ + { + "bbox": [ + 104, + 432, + 420, + 446 + ], + "score": 1.0, + "content": "Definition 5 (Renormalization to aligned SNR Coordinates). Consider", + "type": "text" + }, + { + "bbox": [ + 420, + 432, + 483, + 444 + ], + "score": 0.91, + "content": "\\overline { { \\pmb { H } } } ~ \\in ~ \\mathbb { R } ^ { P \\times C N }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 432, + 506, + 446 + ], + "score": 1.0, + "content": "with", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 105, + 445, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 445, + 313, + 457 + ], + "score": 1.0, + "content": "corresponding SNR left and right singular vectors", + "type": "text" + }, + { + "bbox": [ + 313, + 446, + 323, + 455 + ], + "score": 0.79, + "content": "U", + "type": "inline_equation" + }, + { + "bbox": [ + 324, + 445, + 342, + 457 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 343, + 445, + 353, + 455 + ], + "score": 0.74, + "content": "V", + "type": "inline_equation" + }, + { + "bbox": [ + 353, + 445, + 506, + 457 + ], + "score": 1.0, + "content": "(Definition 2). 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To this end, we first", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 239, + 507, + 253 + ], + "spans": [ + { + "bbox": [ + 105, + 239, + 264, + 253 + ], + "score": 1.0, + "content": "identify its tangent space at a particular", + "type": "text" + }, + { + "bbox": [ + 265, + 240, + 276, + 249 + ], + "score": 0.82, + "content": "\\boldsymbol { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 276, + 239, + 507, + 253 + ], + "score": 1.0, + "content": "as well as the projection operator onto that tangent space.", + "type": "text" + } + ], + "index": 10 + } + ], + "index": 9 + }, + { + "type": "text", + "bbox": [ + 105, + 253, + 382, + 266 + ], + "lines": [ + { + "bbox": [ + 106, + 253, + 383, + 267 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 383, + 267 + ], + "score": 1.0, + "content": "Proposition 3 (Tangent Space of Normalized Features Manifold).", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 204, + 268, + 407, + 284 + ], + "lines": [ + { + "bbox": [ + 204, + 268, + 407, + 284 + ], + "spans": [ + { + "bbox": [ + 204, + 268, + 407, + 284 + ], + "score": 0.89, + "content": "T _ { \\mathbf { X } } \\mathcal { X } = \\{ Z \\in \\mathbb { R } ^ { C \\times C N } \\mid X C Z ^ { \\top } + Z C X = \\mathbf { 0 } \\}", + "type": "interline_equation", + "image_path": "d7cf9a875a3975d24a87b07d541e9c1df272683b87031ae62aa4f937b85409fe.jpg" + } + ] + } + ], + "index": 12, + "virtual_lines": [ + { + "bbox": [ + 204, + 268, + 407, + 284 + ], + "spans": [], + "index": 12 + } + ] + }, + { + "type": "text", + "bbox": [ + 103, + 286, + 451, + 299 + ], + "lines": [ + { + "bbox": [ + 106, + 286, + 454, + 300 + ], + "spans": [ + { + "bbox": [ + 106, + 286, + 454, + 300 + ], + "score": 1.0, + "content": "Proposition 4 (Projection Onto Tangent Space of Normalized Features Manifold).", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 302, + 397, + 326 + ], + "lines": [ + { + "bbox": [ + 213, + 302, + 397, + 326 + ], + "spans": [ + { + "bbox": [ + 213, + 302, + 397, + 326 + ], + "score": 0.93, + "content": "\\Pi _ { T \\bf { x } } \\chi ( Z ) = Z - \\frac { 1 } { 2 } ( X C Z ^ { \\top } + Z C X ^ { \\top } ) X", + "type": "interline_equation", + "image_path": "2164ee12732569a430d89804ebe1976ad73afb8f3fa81c42c0ba1eb414918543.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 213, + 302, + 397, + 326 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "title", + "bbox": [ + 106, + 337, + 342, + 349 + ], + "lines": [ + { + "bbox": [ + 105, + 336, + 342, + 350 + ], + "spans": [ + { + "bbox": [ + 105, + 336, + 342, + 350 + ], + "score": 1.0, + "content": "D.3 CONTINUALLY RENORMALIZED GRADIENT FLOW", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 106, + 357, + 507, + 415 + ], + "lines": [ + { + "bbox": [ + 105, + 356, + 506, + 370 + ], + "spans": [ + { + "bbox": [ + 105, + 356, + 506, + 370 + ], + "score": 1.0, + "content": "In fact, gradient flow on the normalized features manifold (Definition 6) is the continuous analogue", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 367, + 505, + 381 + ], + "spans": [ + { + "bbox": [ + 105, + 367, + 505, + 381 + ], + "score": 1.0, + "content": "of the intuitive, discrete algorithm in Subsection D.1. In particular, the intuitive algorithm consists", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 378, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 182, + 393 + ], + "score": 1.0, + "content": "of a gradient step,", + "type": "text" + }, + { + "bbox": [ + 182, + 379, + 258, + 391 + ], + "score": 0.92, + "content": "\\overline { { { \\pmb { H } } } } _ { 1 } = \\bar { \\pmb { X } } _ { 0 } + \\Delta { \\pmb { X } } _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 378, + 506, + 393 + ], + "score": 1.0, + "content": "followed by a mapping to the base space of the fiber bundle,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 107, + 389, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 107, + 390, + 191, + 404 + ], + "score": 0.92, + "content": "\\pmb { X } _ { 1 } \\overset { \\cdot } { = } \\pmb { \\Sigma } ( \\overline { { \\pmb { H } } } _ { 1 } ) ^ { - \\frac { 1 } { 2 } } \\overline { { \\pmb { H } } } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 389, + 235, + 406 + ], + "score": 1.0, + "content": ". 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Assuming", + "type": "text" + }, + { + "bbox": [ + 195, + 417, + 231, + 429 + ], + "score": 0.91, + "content": "\\boldsymbol { X } _ { 0 } \\in \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 415, + 355, + 432 + ], + "score": 1.0, + "content": ", a renormalized gradient step,", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21 + }, + { + "type": "interline_equation", + "bbox": [ + 183, + 432, + 426, + 451 + ], + "lines": [ + { + "bbox": [ + 183, + 432, + 426, + 451 + ], + "spans": [ + { + "bbox": [ + 183, + 432, + 426, + 451 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\pmb { X } _ { 1 } = \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } ( \\overline { { \\pmb { H } } } _ { 1 } ) \\overline { { \\pmb { H } } } _ { 1 } = \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } ( \\pmb { X } _ { 0 } + \\Delta \\pmb { X } _ { 0 } ) \\cdot ( \\pmb { X } _ { 0 } + \\Delta \\pmb { X } _ { 0 } ) , } \\end{array}", + "type": "interline_equation", + "image_path": "97d345ac9a317122973ac1b252bff6478ee6ec4d3cd4e2f7c3cce017cfacc3c4.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 183, + 432, + 426, + 451 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 455, + 434, + 473 + ], + "lines": [ + { + "bbox": [ + 104, + 453, + 438, + 475 + ], + "spans": [ + { + "bbox": [ + 104, + 453, + 198, + 474 + ], + "score": 1.0, + "content": "is equivalent, up to an", + "type": "text" + }, + { + "bbox": [ + 198, + 454, + 256, + 475 + ], + "score": 0.94, + "content": "O \\left( { \\left\\| \\Delta { { X } _ { 0 } } \\right\\| ^ { 2 } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 453, + 298, + 474 + ], + "score": 1.0, + "content": "term, to a", + "type": "text" + }, + { + "bbox": [ + 299, + 459, + 322, + 470 + ], + "score": 0.89, + "content": "T _ { X } \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 453, + 438, + 474 + ], + "score": 1.0, + "content": "-projected gradient step, i.e.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "interline_equation", + "bbox": [ + 214, + 477, + 397, + 499 + ], + "lines": [ + { + "bbox": [ + 214, + 477, + 397, + 499 + ], + "spans": [ + { + "bbox": [ + 214, + 477, + 397, + 499 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\pmb { X } _ { 1 } = \\pmb { X } _ { 0 } + \\Pi _ { T _ { \\pmb { X } } } \\pmb { \\chi } ( \\Delta \\pmb { X } _ { 0 } ) + O \\left( \\left. \\Delta \\pmb { X } _ { 0 } \\right. ^ { 2 } \\right) . } \\end{array}", + "type": "interline_equation", + "image_path": "58874b2cbd6e62d00681c6a07606dbd738c318ae66b603ee736938bb09da51a4.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 214, + 477, + 397, + 499 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 509, + 183, + 521 + ], + "lines": [ + { + "bbox": [ + 106, + 509, + 183, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 183, + 522 + ], + "score": 1.0, + "content": "Proof. Notice that", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "interline_equation", + "bbox": [ + 152, + 524, + 457, + 583 + ], + "lines": [ + { + "bbox": [ + 152, + 524, + 457, + 583 + ], + "spans": [ + { + "bbox": [ + 152, + 524, + 457, + 583 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { X _ { 1 } = \\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } ( \\overline { H } _ { 1 } ) \\overline { H } _ { 1 } } \\\\ & { \\quad = \\left( ( X _ { 0 } + \\Delta X _ { 0 } ) C ( X _ { 0 } + \\Delta X _ { 0 } ) ^ { \\top } \\right) ^ { - \\frac { 1 } { 2 } } \\left( X _ { 0 } + \\Delta X _ { 0 } \\right) } \\\\ & { \\quad = \\left( I + \\Delta X _ { 0 } C X _ { 0 } ^ { \\top } + X _ { 0 } C \\Delta X _ { 0 } ^ { \\top } + \\Delta X _ { 0 } C \\Delta X _ { 0 } ^ { T } \\right) ^ { - \\frac { 1 } { 2 } } ( X _ { 0 } + \\Delta X _ { 0 } ) , } \\end{array}", + "type": "interline_equation", + "image_path": "2d2ff765b7db9e795ac34bc00cdb815494691b794b095a3580765fbdbed3e0e1.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 152, + 524, + 457, + 543.6666666666666 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 152, + 543.6666666666666, + 457, + 563.3333333333333 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 152, + 563.3333333333333, + 457, + 582.9999999999999 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 585, + 504, + 606 + ], + "lines": [ + { + "bbox": [ + 105, + 584, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 322, + 598 + ], + "score": 1.0, + "content": "where in the last step we used our assumption that", + "type": "text" + }, + { + "bbox": [ + 322, + 585, + 362, + 596 + ], + "score": 0.92, + "content": "\\boldsymbol { X } _ { 0 } \\in \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 584, + 385, + 598 + ], + "score": 1.0, + "content": ", i.e.,", + "type": "text" + }, + { + "bbox": [ + 386, + 585, + 447, + 597 + ], + "score": 0.92, + "content": "X _ { 0 } C X _ { 0 } = I", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 584, + 506, + 598 + ], + "score": 1.0, + "content": ". 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In particular, the intuitive algorithm consists", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 378, + 506, + 393 + ], + "spans": [ + { + "bbox": [ + 105, + 378, + 182, + 393 + ], + "score": 1.0, + "content": "of a gradient step,", + "type": "text" + }, + { + "bbox": [ + 182, + 379, + 258, + 391 + ], + "score": 0.92, + "content": "\\overline { { { \\pmb { H } } } } _ { 1 } = \\bar { \\pmb { X } } _ { 0 } + \\Delta { \\pmb { X } } _ { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 259, + 378, + 506, + 393 + ], + "score": 1.0, + "content": "followed by a mapping to the base space of the fiber bundle,", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 107, + 389, + 506, + 406 + ], + "spans": [ + { + "bbox": [ + 107, + 390, + 191, + 404 + ], + "score": 0.92, + "content": "\\pmb { X } _ { 1 } \\overset { \\cdot } { = } \\pmb { \\Sigma } ( \\overline { { \\pmb { H } } } _ { 1 } ) ^ { - \\frac { 1 } { 2 } } \\overline { { \\pmb { H } } } _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 192, + 389, + 235, + 406 + ], + "score": 1.0, + "content": ". 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Assuming", + "type": "text" + }, + { + "bbox": [ + 195, + 417, + 231, + 429 + ], + "score": 0.91, + "content": "\\boldsymbol { X } _ { 0 } \\in \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 231, + 415, + 355, + 432 + ], + "score": 1.0, + "content": ", a renormalized gradient step,", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 21, + "bbox_fs": [ + 105, + 415, + 355, + 432 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 183, + 432, + 426, + 451 + ], + "lines": [ + { + "bbox": [ + 183, + 432, + 426, + 451 + ], + "spans": [ + { + "bbox": [ + 183, + 432, + 426, + 451 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\pmb { X } _ { 1 } = \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } ( \\overline { { \\pmb { H } } } _ { 1 } ) \\overline { { \\pmb { H } } } _ { 1 } = \\pmb { \\Sigma } _ { W } ^ { - \\frac { 1 } { 2 } } ( \\pmb { X } _ { 0 } + \\Delta \\pmb { X } _ { 0 } ) \\cdot ( \\pmb { X } _ { 0 } + \\Delta \\pmb { X } _ { 0 } ) , } \\end{array}", + "type": "interline_equation", + "image_path": "97d345ac9a317122973ac1b252bff6478ee6ec4d3cd4e2f7c3cce017cfacc3c4.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 183, + 432, + 426, + 451 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 455, + 434, + 473 + ], + "lines": [ + { + "bbox": [ + 104, + 453, + 438, + 475 + ], + "spans": [ + { + "bbox": [ + 104, + 453, + 198, + 474 + ], + "score": 1.0, + "content": "is equivalent, up to an", + "type": "text" + }, + { + "bbox": [ + 198, + 454, + 256, + 475 + ], + "score": 0.94, + "content": "O \\left( { \\left\\| \\Delta { { X } _ { 0 } } \\right\\| ^ { 2 } } \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 257, + 453, + 298, + 474 + ], + "score": 1.0, + "content": "term, to a", + "type": "text" + }, + { + "bbox": [ + 299, + 459, + 322, + 470 + ], + "score": 0.89, + "content": "T _ { X } \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 323, + 453, + 438, + 474 + ], + "score": 1.0, + "content": "-projected gradient step, i.e.", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 104, + 453, + 438, + 475 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 214, + 477, + 397, + 499 + ], + "lines": [ + { + "bbox": [ + 214, + 477, + 397, + 499 + ], + "spans": [ + { + "bbox": [ + 214, + 477, + 397, + 499 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\pmb { X } _ { 1 } = \\pmb { X } _ { 0 } + \\Pi _ { T _ { \\pmb { X } } } \\pmb { \\chi } ( \\Delta \\pmb { X } _ { 0 } ) + O \\left( \\left. \\Delta \\pmb { X } _ { 0 } \\right. ^ { 2 } \\right) . } \\end{array}", + "type": "interline_equation", + "image_path": "58874b2cbd6e62d00681c6a07606dbd738c318ae66b603ee736938bb09da51a4.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 214, + 477, + 397, + 499 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 509, + 183, + 521 + ], + "lines": [ + { + "bbox": [ + 106, + 509, + 183, + 522 + ], + "spans": [ + { + "bbox": [ + 106, + 509, + 183, + 522 + ], + "score": 1.0, + "content": "Proof. Notice that", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 106, + 509, + 183, + 522 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 152, + 524, + 457, + 583 + ], + "lines": [ + { + "bbox": [ + 152, + 524, + 457, + 583 + ], + "spans": [ + { + "bbox": [ + 152, + 524, + 457, + 583 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { X _ { 1 } = \\Sigma _ { W } ^ { - \\frac { 1 } { 2 } } ( \\overline { H } _ { 1 } ) \\overline { H } _ { 1 } } \\\\ & { \\quad = \\left( ( X _ { 0 } + \\Delta X _ { 0 } ) C ( X _ { 0 } + \\Delta X _ { 0 } ) ^ { \\top } \\right) ^ { - \\frac { 1 } { 2 } } \\left( X _ { 0 } + \\Delta X _ { 0 } \\right) } \\\\ & { \\quad = \\left( I + \\Delta X _ { 0 } C X _ { 0 } ^ { \\top } + X _ { 0 } C \\Delta X _ { 0 } ^ { \\top } + \\Delta X _ { 0 } C \\Delta X _ { 0 } ^ { T } \\right) ^ { - \\frac { 1 } { 2 } } ( X _ { 0 } + \\Delta X _ { 0 } ) , } \\end{array}", + "type": "interline_equation", + "image_path": "2d2ff765b7db9e795ac34bc00cdb815494691b794b095a3580765fbdbed3e0e1.jpg" + } + ] + } + ], + "index": 27, + "virtual_lines": [ + { + "bbox": [ + 152, + 524, + 457, + 543.6666666666666 + ], + "spans": [], + "index": 26 + }, + { + "bbox": [ + 152, + 543.6666666666666, + 457, + 563.3333333333333 + ], + "spans": [], + "index": 27 + }, + { + "bbox": [ + 152, + 563.3333333333333, + 457, + 582.9999999999999 + ], + "spans": [], + "index": 28 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 585, + 504, + 606 + ], + "lines": [ + { + "bbox": [ + 105, + 584, + 506, + 598 + ], + "spans": [ + { + "bbox": [ + 105, + 584, + 322, + 598 + ], + "score": 1.0, + "content": "where in the last step we used our assumption that", + "type": "text" + }, + { + "bbox": [ + 322, + 585, + 362, + 596 + ], + "score": 0.92, + "content": "\\boldsymbol { X } _ { 0 } \\in \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 584, + 385, + 598 + ], + "score": 1.0, + "content": ", i.e.,", + "type": "text" + }, + { + "bbox": [ + 386, + 585, + 447, + 597 + ], + "score": 0.92, + "content": "X _ { 0 } C X _ { 0 } = I", + "type": "inline_equation" + }, + { + "bbox": [ + 447, + 584, + 506, + 598 + ], + "score": 1.0, + "content": ". 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Next, Observation 3 implies", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23 + }, + { + "type": "interline_equation", + "bbox": [ + 222, + 497, + 390, + 521 + ], + "lines": [ + { + "bbox": [ + 222, + 497, + 390, + 521 + ], + "spans": [ + { + "bbox": [ + 222, + 497, + 390, + 521 + ], + "score": 0.94, + "content": "\\mathrm { d } \\Omega \\left( \\Pi _ { T _ { \\mathbf { X } } } \\chi ( \\mathrm { d } X ) \\right) = \\frac { 1 } { N } \\Pi _ { T _ { \\mathbf { X } } } \\chi ( \\mathrm { d } X ) \\mathbf { Y } ^ { \\top } .", + "type": "interline_equation", + "image_path": "1cc3cc1efb754efb69cb8119254a31037195ca7d722ddaef152b689368454849.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 222, + 497, + 390, + 521 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 526, + 403, + 539 + ], + "lines": [ + { + "bbox": [ + 105, + 524, + 404, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 404, + 542 + ], + "score": 1.0, + "content": "Using the projection onto the tangent space, given in Proposition 4 above,", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "interline_equation", + "bbox": [ + 196, + 543, + 415, + 568 + ], + "lines": [ + { + "bbox": [ + 196, + 543, + 415, + 568 + ], + "spans": [ + { + "bbox": [ + 196, + 543, + 415, + 568 + ], + "score": 0.93, + "content": "\\Pi _ { T \\mathbf { \\boldsymbol { x } } \\mathbf { \\boldsymbol { x } } } ( \\mathrm { d } \\mathbf { \\boldsymbol { X } } ) = \\mathrm { d } \\mathbf { \\boldsymbol { X } } - 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As a consequence, we will see", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 304, + 502, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 304, + 299, + 320 + ], + "score": 1.0, + "content": "in the following lemma that, for any differential", + "type": "text" + }, + { + "bbox": [ + 299, + 306, + 316, + 316 + ], + "score": 0.81, + "content": "\\mathrm { d } X", + "type": "inline_equation" + }, + { + "bbox": [ + 316, + 304, + 394, + 320 + ], + "score": 1.0, + "content": ", the corresponding", + "type": "text" + }, + { + "bbox": [ + 394, + 306, + 411, + 318 + ], + "score": 0.92, + "content": "\\mathrm { d } \\omega _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 412, + 304, + 480, + 320 + ], + "score": 1.0, + "content": "only depends on", + "type": "text" + }, + { + "bbox": [ + 480, + 306, + 497, + 318 + ], + "score": 0.9, + "content": "\\mathrm { d } \\pmb { x } _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 498, + 304, + 502, + 320 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 282, + 506, + 320 + ] + }, + { + "type": "text", + "bbox": [ + 104, + 320, + 504, + 343 + ], + "lines": [ + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "spans": [ + { + "bbox": [ + 105, + 320, + 506, + 333 + ], + "score": 1.0, + "content": "Lemma 3 (Derivative of Singular Values With Respect to SNR Coordinates). Given the differen-", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 330, + 421, + 344 + ], + "spans": [ + { + "bbox": [ + 104, + 330, + 122, + 344 + ], + "score": 1.0, + "content": "tial", + "type": "text" + }, + { + "bbox": [ + 123, + 332, + 128, + 342 + ], + "score": 0.52, + "content": "I", + "type": "inline_equation" + }, + { + "bbox": [ + 128, + 330, + 152, + 344 + ], + "score": 1.0, + "content": "-form", + "type": "text" + }, + { + "bbox": [ + 152, + 331, + 236, + 344 + ], + "score": 0.92, + "content": "\\mathrm { d } \\omega _ { j } ( \\cdot ) : T _ { X } \\mathcal { X } \\mathbb { R } ,", + "type": "inline_equation" + }, + { + "bbox": [ + 236, + 330, + 352, + 344 + ], + "score": 1.0, + "content": ", the following holds for all19", + "type": "text" + }, + { + "bbox": [ + 353, + 331, + 414, + 342 + ], + "score": 0.9, + "content": "\\mathrm { d } X \\in \\mathbb { R } ^ { C \\times C N }", + "type": "inline_equation" + }, + { + "bbox": [ + 415, + 330, + 421, + 344 + ], + "score": 1.0, + "content": ":", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 104, + 320, + 506, + 344 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 171, + 349, + 440, + 377 + ], + "lines": [ + { + "bbox": [ + 171, + 349, + 440, + 377 + ], + "spans": [ + { + "bbox": [ + 171, + 349, + 440, + 377 + ], + "score": 0.93, + "content": "\\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { X } \\mathcal { X } } ( \\mathrm { d } X ) \\right) = \\left( \\frac { 1 } { N } \\pmb { y } _ { j } ^ { \\top } - \\omega _ { j } \\pmb { x } _ { j } ^ { \\top } C \\right) \\mathrm { d } \\pmb { x } _ { j } , \\quad \\forall j = 1 , \\ldots , C .", + "type": "interline_equation", + "image_path": "bb3bc355c25c6a00347fb70f4a12e8a1a8c5b49d0657f80d6a6becf3422bcbd3.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 171, + 349, + 440, + 377 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 382, + 503, + 405 + ], + "lines": [ + { + "bbox": [ + 105, + 381, + 505, + 396 + ], + "spans": [ + { + "bbox": [ + 105, + 381, + 363, + 396 + ], + "score": 1.0, + "content": "where (consistent with Definition 2) we adopt the convention that", + "type": "text" + }, + { + "bbox": [ + 364, + 383, + 391, + 393 + ], + "score": 0.9, + "content": "\\omega _ { C } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 381, + 415, + 396 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 415, + 383, + 424, + 392 + ], + "score": 0.81, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 381, + 505, + 396 + ], + "score": 1.0, + "content": "-th singular value of", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 106, + 392, + 172, + 405 + ], + "spans": [ + { + "bbox": [ + 106, + 392, + 172, + 405 + ], + "score": 1.0, + "content": "the SNR matrix.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17.5, + "bbox_fs": [ + 105, + 381, + 505, + 405 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 419, + 503, + 453 + ], + "lines": [ + { + "bbox": [ + 106, + 419, + 505, + 432 + ], + "spans": [ + { + "bbox": [ + 106, + 419, + 290, + 432 + ], + "score": 1.0, + "content": "Proof. Without loss of generality, assume that", + "type": "text" + }, + { + "bbox": [ + 291, + 420, + 302, + 429 + ], + "score": 0.84, + "content": "\\boldsymbol { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 302, + 419, + 505, + 432 + ], + "score": 1.0, + "content": "is represented in aligned SNR coordinates (Section", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "score": 1.0, + "content": "D.2). Using Observation 1 and the differential of the singular value decomposition (see Equation 17", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 441, + 195, + 454 + ], + "spans": [ + { + "bbox": [ + 105, + 441, + 195, + 454 + ], + "score": 1.0, + "content": "of Townsend (2016)):", + "type": "text" + } + ], + "index": 21 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 419, + 505, + 454 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 211, + 457, + 401, + 474 + ], + "lines": [ + { + "bbox": [ + 211, + 457, + 401, + 474 + ], + "spans": [ + { + "bbox": [ + 211, + 457, + 401, + 474 + ], + "score": 0.92, + "content": "\\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { \\mathbf { X } } \\mathcal { X } } ( \\mathrm { d } X ) \\right) = e _ { j } ^ { \\top } \\mathrm { d } \\Omega \\left( \\Pi _ { T _ { \\mathbf { X } } \\mathcal { X } } ( \\mathrm { d } X ) \\right) e _ { j } ,", + "type": "interline_equation", + "image_path": "6eca31d7490c1608a0ce828deefec6b4894ad0c6b49b1c74eabcc935d33354ef.jpg" + } + ] + } + ], + "index": 22, + "virtual_lines": [ + { + "bbox": [ + 211, + 457, + 401, + 474 + ], + "spans": [], + "index": 22 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 479, + 399, + 492 + ], + "lines": [ + { + "bbox": [ + 106, + 478, + 400, + 494 + ], + "spans": [ + { + "bbox": [ + 106, + 478, + 133, + 494 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 133, + 480, + 160, + 492 + ], + "score": 0.9, + "content": "\\mathrm { d } \\Omega \\left( \\cdot \\right)", + "type": "inline_equation" + }, + { + "bbox": [ + 160, + 478, + 400, + 494 + ], + "score": 1.0, + "content": "is defined as in Observation 3. Next, Observation 3 implies", + "type": "text" + } + ], + "index": 23 + } + ], + "index": 23, + "bbox_fs": [ + 106, + 478, + 400, + 494 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 222, + 497, + 390, + 521 + ], + "lines": [ + { + "bbox": [ + 222, + 497, + 390, + 521 + ], + "spans": [ + { + "bbox": [ + 222, + 497, + 390, + 521 + ], + "score": 0.94, + "content": "\\mathrm { d } \\Omega \\left( \\Pi _ { T _ { \\mathbf { X } } } \\chi ( \\mathrm { d } X ) \\right) = \\frac { 1 } { N } \\Pi _ { T _ { \\mathbf { X } } } \\chi ( \\mathrm { d } X ) \\mathbf { Y } ^ { \\top } .", + "type": "interline_equation", + "image_path": "1cc3cc1efb754efb69cb8119254a31037195ca7d722ddaef152b689368454849.jpg" + } + ] + } + ], + "index": 24, + "virtual_lines": [ + { + "bbox": [ + 222, + 497, + 390, + 521 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 526, + 403, + 539 + ], + "lines": [ + { + "bbox": [ + 105, + 524, + 404, + 542 + ], + "spans": [ + { + "bbox": [ + 105, + 524, + 404, + 542 + ], + "score": 1.0, + "content": "Using the projection onto the tangent space, given in Proposition 4 above,", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 524, + 404, + 542 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 196, + 543, + 415, + 568 + ], + "lines": [ + { + "bbox": [ + 196, + 543, + 415, + 568 + ], + "spans": [ + { + "bbox": [ + 196, + 543, + 415, + 568 + ], + "score": 0.93, + "content": "\\Pi _ { T \\mathbf { \\boldsymbol { x } } \\mathbf { \\boldsymbol { x } } } ( \\mathrm { d } \\mathbf { \\boldsymbol { X } } ) = \\mathrm { d } \\mathbf { \\boldsymbol { X } } - \\frac { 1 } { 2 } ( \\mathrm { d } \\mathbf { \\boldsymbol { X } } \\mathbf { \\boldsymbol { C } } \\mathbf { \\boldsymbol { X } } ^ { \\top } + \\mathbf { \\boldsymbol { X } } \\mathbf { \\boldsymbol { C } } \\mathrm { d } \\mathbf { \\boldsymbol { X } } ^ { \\top } ) \\mathbf { \\boldsymbol { X } } .", + "type": "interline_equation", + "image_path": "9db9ce303caf44fc9342fd9b03403e66d243f5d028124cfd2c9de0d2f9e2c394.jpg" + } + ] + } + ], + "index": 26, + "virtual_lines": [ + { + "bbox": [ + 196, + 543, + 415, + 568 + ], + "spans": [], + "index": 26 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 572, + 375, + 585 + ], + "lines": [ + { + "bbox": [ + 106, + 571, + 375, + 587 + ], + "spans": [ + { + "bbox": [ + 106, + 571, + 375, + 587 + ], + "score": 1.0, + "content": "Combining Equation 23, Equation 24, and Equation 25, we obtain:", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27, + "bbox_fs": [ + 106, + 571, + 375, + 587 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 146, + 589, + 465, + 659 + ], + "lines": [ + { + "bbox": [ + 146, + 589, + 465, + 659 + ], + "spans": [ + { + "bbox": [ + 146, + 589, + 465, + 659 + ], + "score": 0.93, + "content": "\\begin{array} { r l } & { \\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { X } \\mathcal { X } } ( \\mathrm { d } X ) \\right) = e _ { j } ^ { \\top } \\mathrm { d } \\Omega \\left( \\Pi _ { T _ { X } \\mathcal { X } } ( \\mathrm { d } X ) \\right) e _ { j } } \\\\ & { \\quad \\quad \\quad \\quad = \\cfrac { 1 } { N } e _ { j } ^ { \\top } \\Pi _ { T _ { X } \\mathcal { X } } ( \\mathrm { d } X ) Y ^ { \\top } e _ { j } } \\\\ & { \\quad \\quad \\quad \\quad = \\cfrac { 1 } { N } e _ { j } ^ { \\top } \\left( \\mathrm { d } X - \\cfrac { 1 } { 2 } \\left( \\mathrm { d } X C X ^ { \\top } + X C \\mathrm { d } X ^ { \\top } \\right) X \\right) Y ^ { \\top } e _ { j } . } \\end{array}", + "type": "interline_equation", + "image_path": "10c9a9a2982cadfc173e0ec0b1f986052958acb150a71dd0e3ffae4520143635.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 146, + 589, + 465, + 612.3333333333334 + ], + "spans": [], + "index": 28 + }, + { + "bbox": [ + 146, + 612.3333333333334, + 465, + 635.6666666666667 + ], + "spans": [], + "index": 29 + }, + { + "bbox": [ + 146, + 635.6666666666667, + 465, + 659.0000000000001 + ], + "spans": [], + "index": 30 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 81, + 415, + 95 + ], + "lines": [ + { + "bbox": [ + 105, + 80, + 416, + 97 + ], + "spans": [ + { + "bbox": [ + 105, + 80, + 416, + 97 + ], + "score": 1.0, + "content": "Moreover, using Observation 1 and 3, we can simplify these expressions into", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "interline_equation", + "bbox": [ + 174, + 98, + 437, + 172 + ], + "lines": [ + { + "bbox": [ + 174, + 98, + 437, + 172 + ], + "spans": [ + { + "bbox": [ + 174, + 98, + 437, + 172 + ], + "score": 0.94, + "content": "\\begin{array} { r l } & { \\qquad \\displaystyle \\frac { 1 } { N } e _ { j } ^ { \\top } \\mathrm { d } X Y ^ { \\top } e _ { j } = \\frac { 1 } { N } { \\pmb y } _ { j } ^ { \\top } \\mathrm { d } { \\pmb x } _ { j } } \\\\ & { \\qquad \\displaystyle \\frac { 1 } { N } e _ { j } ^ { \\top } \\mathrm { d } X C X ^ { \\top } X { \\pmb Y } ^ { \\top } e _ { j } = \\omega _ { j } e _ { j } ^ { \\top } \\mathrm { d } X C X ^ { \\top } e _ { j } = \\omega _ { j } { \\pmb x } _ { j } ^ { \\top } C \\mathrm { d } { \\pmb x } _ { j } } \\\\ & { \\qquad \\displaystyle \\frac { 1 } { N } e _ { j } ^ { \\top } X C \\mathrm { d } X ^ { \\top } X { \\pmb Y } ^ { \\top } e _ { j } = \\omega _ { j } e _ { j } ^ { \\top } X C \\mathrm { d } X ^ { \\top } e _ { j } = \\omega _ { j } { \\pmb x } _ { j } ^ { \\top } C \\mathrm { d } { \\pmb x } _ { j } . } \\end{array}", + "type": "interline_equation", + "image_path": "b51bf7040406e655a7b2eb61eec23bf4cefafffe90c0d7862419fac1958946fc.jpg" + } + ] + } + ], + "index": 2, + "virtual_lines": [ + { + "bbox": [ + 174, + 98, + 437, + 122.66666666666667 + ], + "spans": [], + "index": 1 + }, + { + "bbox": [ + 174, + 122.66666666666667, + 437, + 147.33333333333334 + ], + "spans": [], + "index": 2 + }, + { + "bbox": [ + 174, + 147.33333333333334, + 437, + 172.0 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 175, + 402, + 187 + ], + "lines": [ + { + "bbox": [ + 105, + 173, + 403, + 190 + ], + "spans": [ + { + "bbox": [ + 105, + 173, + 403, + 190 + ], + "score": 1.0, + "content": "Finally, substituting the above three expressions into Equation 26, we get:", + "type": "text" + } + ], + "index": 4 + } + ], + "index": 4 + }, + { + "type": "interline_equation", + "bbox": [ + 207, + 191, + 402, + 219 + ], + "lines": [ + { + "bbox": [ + 207, + 191, + 402, + 219 + ], + "spans": [ + { + "bbox": [ + 207, + 191, + 402, + 219 + ], + "score": 0.94, + "content": "\\mathrm { d } \\omega _ { j } \\left( \\Pi _ { T _ { \\mathbf { X } } } \\chi ( \\mathrm { d } X ) \\right) = \\left( \\frac { 1 } { N } \\pmb { y } _ { j } ^ { \\top } - \\omega _ { j } \\pmb { x } _ { j } ^ { \\top } \\pmb { C } \\right) \\mathrm { d } \\pmb { x } _ { j } ,", + "type": "interline_equation", + "image_path": "c5681a44bc8076158801203ef04acc8b43b5522361d56829836cb40633bf22b7.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 207, + 191, + 402, + 219 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 223, + 202, + 236 + ], + "lines": [ + { + "bbox": [ + 106, + 224, + 203, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 224, + 203, + 236 + ], + "score": 1.0, + "content": "which proves the claim.", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "text", + "bbox": [ + 106, + 247, + 415, + 260 + ], + "lines": [ + { + "bbox": [ + 106, + 246, + 415, + 261 + ], + "spans": [ + { + "bbox": [ + 106, + 246, + 319, + 261 + ], + "score": 1.0, + "content": "Using Lemma 3, we can now obtain the dynamics of", + "type": "text" + }, + { + "bbox": [ + 319, + 250, + 331, + 260 + ], + "score": 0.87, + "content": "\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 246, + 415, + 261 + ], + "score": 1.0, + "content": "under gradient flow:", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 7 + }, + { + "type": "text", + "bbox": [ + 106, + 263, + 396, + 275 + ], + "lines": [ + { + "bbox": [ + 105, + 261, + 395, + 276 + ], + "spans": [ + { + "bbox": [ + 105, + 261, + 395, + 276 + ], + "score": 1.0, + "content": "Lemma 4. Under continually renormalized gradient flow (Equation 5),", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 185, + 279, + 425, + 308 + ], + "lines": [ + { + "bbox": [ + 185, + 279, + 425, + 308 + ], + "spans": [ + { + "bbox": [ + 185, + 279, + 425, + 308 + ], + "score": 0.92, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } { \\pmb x } _ { j } = \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\left( \\frac { 1 } { N } { \\pmb y } _ { j } - \\omega _ { j } C { \\pmb x } _ { j } \\right) , \\quad \\forall j = 1 , \\ldots , C ,", + "type": "interline_equation", + "image_path": "93bfa924a276f3c37fbdf79c47a966ebdf3a9c85e64d0d5d4aacfa80039cd65e.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 185, + 279, + 425, + 308 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 312, + 504, + 335 + ], + "lines": [ + { + "bbox": [ + 105, + 311, + 506, + 326 + ], + "spans": [ + { + "bbox": [ + 105, + 311, + 363, + 326 + ], + "score": 1.0, + "content": "where (consistent with Definition 2) we adopt the convention that", + "type": "text" + }, + { + "bbox": [ + 364, + 313, + 391, + 324 + ], + "score": 0.91, + "content": "\\omega _ { C } = 0", + "type": "inline_equation" + }, + { + "bbox": [ + 391, + 311, + 415, + 326 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 415, + 313, + 424, + 323 + ], + "score": 0.8, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 311, + 506, + 326 + ], + "score": 1.0, + "content": "-th singular value of", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 323, + 172, + 336 + ], + "spans": [ + { + "bbox": [ + 106, + 323, + 172, + 336 + ], + "score": 1.0, + "content": "the SNR matrix.", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 10.5 + }, + { + "type": "text", + "bbox": [ + 106, + 346, + 505, + 382 + ], + "lines": [ + { + "bbox": [ + 104, + 344, + 506, + 361 + ], + "spans": [ + { + "bbox": [ + 104, + 344, + 164, + 361 + ], + "score": 1.0, + "content": "Proof. Recall", + "type": "text" + }, + { + "bbox": [ + 165, + 347, + 209, + 360 + ], + "score": 0.95, + "content": "\\pmb { x } _ { j } \\in \\mathbb { R } ^ { C N }", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 344, + 235, + 361 + ], + "score": 1.0, + "content": "is the", + "type": "text" + }, + { + "bbox": [ + 235, + 349, + 241, + 360 + ], + "score": 0.83, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 344, + 283, + 361 + ], + "score": 1.0, + "content": "-th row of", + "type": "text" + }, + { + "bbox": [ + 283, + 347, + 339, + 358 + ], + "score": 0.91, + "content": "\\pmb { X } \\in \\mathbb { R } ^ { C \\times C N }", + "type": "inline_equation" + }, + { + "bbox": [ + 340, + 344, + 506, + 361 + ], + "score": 1.0, + "content": ", which we assume to be in aligned SNR", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 106, + 358, + 505, + 371 + ], + "spans": [ + { + "bbox": [ + 106, + 358, + 505, + 371 + ], + "score": 1.0, + "content": "coordinates without loss of generality (Section D.2). 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Under continually renormalized gradient flow", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 213, + 447, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 245, + 226 + ], + "score": 1.0, + "content": "(Equation 5), the dynamics for the", + "type": "text" + }, + { + "bbox": [ + 245, + 214, + 251, + 225 + ], + "score": 0.77, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 213, + 447, + 226 + ], + "score": 1.0, + "content": "-th non-zero SNR singular value (Definition 2) is", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5 + }, + { + "type": "interline_equation", + "bbox": [ + 211, + 230, + 399, + 258 + ], + "lines": [ + { + "bbox": [ + 211, + 230, + 399, + 258 + ], + "spans": [ + { + "bbox": [ + 211, + 230, + 399, + 258 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } , \\quad \\forall j = 1 , \\dots , C - 1 .", + "type": "interline_equation", + "image_path": "967a95c16bb83eb352b1b2a69236d6977cb14f8ef9a9e503e1860f466d80334e.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 211, + 230, + 399, + 258 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 271, + 505, + 306 + ], + "lines": [ + { + "bbox": [ + 105, + 271, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 272, + 285 + ], + "score": 1.0, + "content": "Proof. Without loss of generality, assume", + "type": "text" + }, + { + "bbox": [ + 272, + 272, + 283, + 282 + ], + "score": 0.84, + "content": "\\boldsymbol { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 271, + 506, + 285 + ], + "score": 1.0, + "content": "is represented in aligned SNR coordinates (Section D.2).", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "Observation 1, the differential of the singular value decomposition (see Equation 17 of Townsend", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 293, + 402, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 343, + 307 + ], + "score": 1.0, + "content": "(2016)), and Observation 3 collectively imply that for any2", + "type": "text" + }, + { + "bbox": [ + 344, + 293, + 398, + 305 + ], + "score": 0.87, + "content": "\\mathbf { \\bar { \\Psi } } \\mathrm { d } \\mathbf { X } \\in T _ { X } \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 293, + 402, + 307 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "interline_equation", + "bbox": [ + 174, + 311, + 438, + 335 + ], + "lines": [ + { + "bbox": [ + 174, + 311, + 438, + 335 + ], + "spans": [ + { + "bbox": [ + 174, + 311, + 438, + 335 + ], + "score": 0.93, + "content": "\\mathrm { d } \\omega _ { j } \\left( \\mathrm { d } \\boldsymbol { X } \\right) = e _ { j } ^ { \\top } \\mathrm { d } \\Omega \\left( \\mathrm { d } \\boldsymbol { X } \\right) e _ { j } = \\frac { 1 } { N } e _ { j } ^ { \\top } \\mathrm { d } \\boldsymbol { X } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = \\frac { 1 } { N } \\boldsymbol { y } _ { j } ^ { \\top } \\mathrm { d } \\boldsymbol { x } _ { j } .", + "type": "interline_equation", + "image_path": "ed31e6116ac37409336af2e3be4c9fce583f28fd70ffc9a64b654e0054874fce.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 174, + 311, + 438, + 335 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 340, + 504, + 363 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 222, + 354 + ], + "score": 1.0, + "content": "Recall that the differential of", + "type": "text" + }, + { + "bbox": [ + 222, + 342, + 233, + 352 + ], + "score": 0.87, + "content": "\\omega _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 338, + 372, + 354 + ], + "score": 1.0, + "content": "only depends on the differential of", + "type": "text" + }, + { + "bbox": [ + 372, + 342, + 384, + 352 + ], + "score": 0.88, + "content": "\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 338, + 505, + 354 + ], + "score": 1.0, + "content": "(see Lemma 3). Then, we can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 351, + 191, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 191, + 363 + ], + "score": 1.0, + "content": "apply the chain rule:", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5 + }, + { + "type": "interline_equation", + "bbox": [ + 184, + 368, + 426, + 397 + ], + "lines": [ + { + "bbox": [ + 184, + 368, + 426, + 397 + ], + "spans": [ + { + "bbox": [ + 184, + 368, + 426, + 397 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { \\mathrm { d } \\omega _ { j } } { \\mathrm { d } x _ { j } } \\frac { \\mathrm { d } { \\pmb x } _ { j } } { \\mathrm { d } t } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } { \\pmb y } _ { j } ^ { \\top } \\left( \\frac { 1 } { N } { \\pmb y } _ { j } - \\omega _ { j } C { \\pmb x } _ { j } \\right) ,", + "type": "interline_equation", + "image_path": "6bcf44bee5ae1432c7848f2476c23025da0b6a671fb66bd703911ca55c79074a.jpg" + } + ] + } + ], + "index": 16.5, + "virtual_lines": [ + { + "bbox": [ + 184, + 368, + 426, + 382.5 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 184, + 382.5, + 426, + 397.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 404, + 481, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 403, + 478, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 423, + 418 + ], + "score": 1.0, + "content": "where the last equality results substituting-in Lemma 4 and Equation 28. Since", + "type": "text" + }, + { + "bbox": [ + 423, + 403, + 478, + 415 + ], + "score": 0.89, + "content": "\\boldsymbol { Y } \\boldsymbol { Y } ^ { \\intercal } = N \\boldsymbol { I }", + "type": "inline_equation" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "interline_equation", + "bbox": [ + 271, + 421, + 340, + 446 + ], + "lines": [ + { + "bbox": [ + 271, + 421, + 340, + 446 + ], + "spans": [ + { + "bbox": [ + 271, + 421, + 340, + 446 + ], + "score": 0.93, + "content": "{ \\frac { 1 } { N ^ { 2 } } } { \\pmb y } _ { j } ^ { \\top } { \\pmb y } _ { j } = { \\frac { 1 } { N } } .", + "type": "interline_equation", + "image_path": "c8d80e4da41e85bccd681c6f51214d53f648045d34601c25f88f57bec1b82acb.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 271, + 421, + 340, + 446 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 451, + 287, + 463 + ], + "lines": [ + { + "bbox": [ + 105, + 450, + 288, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 288, + 464 + ], + "score": 1.0, + "content": "Applying the same relation and Equation 21:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20 + }, + { + "type": "interline_equation", + "bbox": [ + 165, + 468, + 445, + 496 + ], + "lines": [ + { + "bbox": [ + 165, + 468, + 445, + 496 + ], + "spans": [ + { + "bbox": [ + 165, + 468, + 445, + 496 + ], + "score": 0.93, + "content": "\\boldsymbol { x } _ { j } ^ { \\top } \\boldsymbol { C } \\boldsymbol { y } _ { j } = e _ { j } ^ { \\top } \\boldsymbol { X } \\boldsymbol { C } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = \\frac { 1 } { \\boldsymbol { C } N } e _ { j } ^ { \\top } \\boldsymbol { X } \\left( \\boldsymbol { I } - \\frac { 1 } { N } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { Y } \\right) \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = 0 .", + "type": "interline_equation", + "image_path": "0f6d49172a20c17b3bec567d5f048795f7ce8ddf8889b075b1e2b29e6dc43e67.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 165, + 468, + 445, + 496 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 291, + 513 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 292, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 292, + 515 + ], + "score": 1.0, + "content": "Combining all the above equations, we obtain", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22 + }, + { + "type": "interline_equation", + "bbox": [ + 256, + 518, + 354, + 547 + ], + "lines": [ + { + "bbox": [ + 256, + 518, + 354, + 547 + ], + "spans": [ + { + "bbox": [ + 256, + 518, + 354, + 547 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } .", + "type": "interline_equation", + "image_path": "a6a9a313980ee42d3fdf1e5a0808cb2700d0ffe12375c24951d40245b638ed5e.jpg" + } + ] + } + ], + "index": 23.5, + "virtual_lines": [ + { + "bbox": [ + 256, + 518, + 354, + 532.5 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 256, + 532.5, + 354, + 547.0 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 578, + 351, + 591 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 352, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 352, + 593 + ], + "score": 1.0, + "content": "The closed-form given in Proposition 2 now directly follows.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25 + }, + { + "type": "text", + "bbox": [ + 106, + 594, + 506, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "score": 1.0, + "content": "Proposition 2 (Dynamics of Singular Values of SNR Matrix). Continually renormalized gradient", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 104, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "flow on the central path (Equation 5) induces the following closed-form dynamics on the SNR singular", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 616, + 194, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 194, + 629 + ], + "score": 1.0, + "content": "values (Definition 2):", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27 + }, + { + "type": "interline_equation", + "bbox": [ + 138, + 632, + 472, + 649 + ], + "lines": [ + { + "bbox": [ + 138, + 632, + 472, + 649 + ], + "spans": [ + { + "bbox": [ + 138, + 632, + 472, + 649 + ], + "score": 0.9, + "content": "c _ { 1 } \\log ( \\omega _ { j } ( t ) ) + c _ { 2 } \\omega _ { j } ^ { 2 } ( t ) + c _ { 3 } \\omega _ { j } ^ { 4 } ( t ) = a _ { j } + t , \\quad t \\geq 0 , \\quad f o r a l l j = 1 , \\ldots , C - 1 .", + "type": "interline_equation", + "image_path": "568aa2007ffbb8065fe7c46b670f61b2e92abfcae931961001b9ffc85b3760c8.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 138, + 632, + 472, + 649 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 654, + 489, + 667 + ], + "lines": [ + { + "bbox": [ + 107, + 654, + 490, + 669 + ], + "spans": [ + { + "bbox": [ + 107, + 657, + 130, + 666 + ], + "score": 0.55, + "content": "c _ { 1 } , \\ : c _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 654, + 151, + 669 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 151, + 657, + 161, + 666 + ], + "score": 0.82, + "content": "c _ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 654, + 313, + 669 + ], + "score": 1.0, + "content": "are positive constants independent of", + "type": "text" + }, + { + "bbox": [ + 313, + 656, + 319, + 667 + ], + "score": 0.76, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 654, + 340, + 669 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 340, + 656, + 351, + 667 + ], + "score": 0.87, + "content": "a _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 654, + 461, + 669 + ], + "score": 1.0, + "content": "is a constant depending on", + "type": "text" + }, + { + "bbox": [ + 462, + 655, + 485, + 667 + ], + "score": 0.91, + "content": "\\omega _ { j } ( 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 654, + 490, + 669 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 107, + 680, + 501, + 705 + ], + "lines": [ + { + "bbox": [ + 106, + 680, + 504, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 504, + 694 + ], + "score": 1.0, + "content": "Proof. 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Under continually renormalized gradient flow", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 213, + 447, + 226 + ], + "spans": [ + { + "bbox": [ + 105, + 213, + 245, + 226 + ], + "score": 1.0, + "content": "(Equation 5), the dynamics for the", + "type": "text" + }, + { + "bbox": [ + 245, + 214, + 251, + 225 + ], + "score": 0.77, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 251, + 213, + 447, + 226 + ], + "score": 1.0, + "content": "-th non-zero SNR singular value (Definition 2) is", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 7.5, + "bbox_fs": [ + 105, + 201, + 505, + 226 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 211, + 230, + 399, + 258 + ], + "lines": [ + { + "bbox": [ + 211, + 230, + 399, + 258 + ], + "spans": [ + { + "bbox": [ + 211, + 230, + 399, + 258 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } , \\quad \\forall j = 1 , \\dots , C - 1 .", + "type": "interline_equation", + "image_path": "967a95c16bb83eb352b1b2a69236d6977cb14f8ef9a9e503e1860f466d80334e.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 211, + 230, + 399, + 258 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 271, + 505, + 306 + ], + "lines": [ + { + "bbox": [ + 105, + 271, + 506, + 285 + ], + "spans": [ + { + "bbox": [ + 105, + 271, + 272, + 285 + ], + "score": 1.0, + "content": "Proof. Without loss of generality, assume", + "type": "text" + }, + { + "bbox": [ + 272, + 272, + 283, + 282 + ], + "score": 0.84, + "content": "\\boldsymbol { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 283, + 271, + 506, + 285 + ], + "score": 1.0, + "content": "is represented in aligned SNR coordinates (Section D.2).", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "spans": [ + { + "bbox": [ + 105, + 282, + 505, + 295 + ], + "score": 1.0, + "content": "Observation 1, the differential of the singular value decomposition (see Equation 17 of Townsend", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 293, + 402, + 307 + ], + "spans": [ + { + "bbox": [ + 105, + 293, + 343, + 307 + ], + "score": 1.0, + "content": "(2016)), and Observation 3 collectively imply that for any2", + "type": "text" + }, + { + "bbox": [ + 344, + 293, + 398, + 305 + ], + "score": 0.87, + "content": "\\mathbf { \\bar { \\Psi } } \\mathrm { d } \\mathbf { X } \\in T _ { X } \\mathcal { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 398, + 293, + 402, + 307 + ], + "score": 1.0, + "content": ",", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 271, + 506, + 307 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 174, + 311, + 438, + 335 + ], + "lines": [ + { + "bbox": [ + 174, + 311, + 438, + 335 + ], + "spans": [ + { + "bbox": [ + 174, + 311, + 438, + 335 + ], + "score": 0.93, + "content": "\\mathrm { d } \\omega _ { j } \\left( \\mathrm { d } \\boldsymbol { X } \\right) = e _ { j } ^ { \\top } \\mathrm { d } \\Omega \\left( \\mathrm { d } \\boldsymbol { X } \\right) e _ { j } = \\frac { 1 } { N } e _ { j } ^ { \\top } \\mathrm { d } \\boldsymbol { X } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = \\frac { 1 } { N } \\boldsymbol { y } _ { j } ^ { \\top } \\mathrm { d } \\boldsymbol { x } _ { j } .", + "type": "interline_equation", + "image_path": "ed31e6116ac37409336af2e3be4c9fce583f28fd70ffc9a64b654e0054874fce.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 174, + 311, + 438, + 335 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 340, + 504, + 363 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 505, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 222, + 354 + ], + "score": 1.0, + "content": "Recall that the differential of", + "type": "text" + }, + { + "bbox": [ + 222, + 342, + 233, + 352 + ], + "score": 0.87, + "content": "\\omega _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 234, + 338, + 372, + 354 + ], + "score": 1.0, + "content": "only depends on the differential of", + "type": "text" + }, + { + "bbox": [ + 372, + 342, + 384, + 352 + ], + "score": 0.88, + "content": "\\mathbf { \\Delta } _ { \\mathbf { \\mathcal { X } } _ { j } }", + "type": "inline_equation" + }, + { + "bbox": [ + 384, + 338, + 505, + 354 + ], + "score": 1.0, + "content": "(see Lemma 3). Then, we can", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 105, + 351, + 191, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 191, + 363 + ], + "score": 1.0, + "content": "apply the chain rule:", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 14.5, + "bbox_fs": [ + 105, + 338, + 505, + 363 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 184, + 368, + 426, + 397 + ], + "lines": [ + { + "bbox": [ + 184, + 368, + 426, + 397 + ], + "spans": [ + { + "bbox": [ + 184, + 368, + 426, + 397 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { \\mathrm { d } \\omega _ { j } } { \\mathrm { d } x _ { j } } \\frac { \\mathrm { d } { \\pmb x } _ { j } } { \\mathrm { d } t } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } { \\pmb y } _ { j } ^ { \\top } \\left( \\frac { 1 } { N } { \\pmb y } _ { j } - \\omega _ { j } C { \\pmb x } _ { j } \\right) ,", + "type": "interline_equation", + "image_path": "6bcf44bee5ae1432c7848f2476c23025da0b6a671fb66bd703911ca55c79074a.jpg" + } + ] + } + ], + "index": 16.5, + "virtual_lines": [ + { + "bbox": [ + 184, + 368, + 426, + 382.5 + ], + "spans": [], + "index": 16 + }, + { + "bbox": [ + 184, + 382.5, + 426, + 397.0 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 105, + 404, + 481, + 416 + ], + "lines": [ + { + "bbox": [ + 105, + 403, + 478, + 418 + ], + "spans": [ + { + "bbox": [ + 105, + 403, + 423, + 418 + ], + "score": 1.0, + "content": "where the last equality results substituting-in Lemma 4 and Equation 28. Since", + "type": "text" + }, + { + "bbox": [ + 423, + 403, + 478, + 415 + ], + "score": 0.89, + "content": "\\boldsymbol { Y } \\boldsymbol { Y } ^ { \\intercal } = N \\boldsymbol { I }", + "type": "inline_equation" + } + ], + "index": 18 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 403, + 478, + 418 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 271, + 421, + 340, + 446 + ], + "lines": [ + { + "bbox": [ + 271, + 421, + 340, + 446 + ], + "spans": [ + { + "bbox": [ + 271, + 421, + 340, + 446 + ], + "score": 0.93, + "content": "{ \\frac { 1 } { N ^ { 2 } } } { \\pmb y } _ { j } ^ { \\top } { \\pmb y } _ { j } = { \\frac { 1 } { N } } .", + "type": "interline_equation", + "image_path": "c8d80e4da41e85bccd681c6f51214d53f648045d34601c25f88f57bec1b82acb.jpg" + } + ] + } + ], + "index": 19, + "virtual_lines": [ + { + "bbox": [ + 271, + 421, + 340, + 446 + ], + "spans": [], + "index": 19 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 451, + 287, + 463 + ], + "lines": [ + { + "bbox": [ + 105, + 450, + 288, + 464 + ], + "spans": [ + { + "bbox": [ + 105, + 450, + 288, + 464 + ], + "score": 1.0, + "content": "Applying the same relation and Equation 21:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 20, + "bbox_fs": [ + 105, + 450, + 288, + 464 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 165, + 468, + 445, + 496 + ], + "lines": [ + { + "bbox": [ + 165, + 468, + 445, + 496 + ], + "spans": [ + { + "bbox": [ + 165, + 468, + 445, + 496 + ], + "score": 0.93, + "content": "\\boldsymbol { x } _ { j } ^ { \\top } \\boldsymbol { C } \\boldsymbol { y } _ { j } = e _ { j } ^ { \\top } \\boldsymbol { X } \\boldsymbol { C } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = \\frac { 1 } { \\boldsymbol { C } N } e _ { j } ^ { \\top } \\boldsymbol { X } \\left( \\boldsymbol { I } - \\frac { 1 } { N } \\boldsymbol { Y } ^ { \\top } \\boldsymbol { Y } \\right) \\boldsymbol { Y } ^ { \\top } \\boldsymbol { e } _ { j } = 0 .", + "type": "interline_equation", + "image_path": "0f6d49172a20c17b3bec567d5f048795f7ce8ddf8889b075b1e2b29e6dc43e67.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 165, + 468, + 445, + 496 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 501, + 291, + 513 + ], + "lines": [ + { + "bbox": [ + 105, + 500, + 292, + 515 + ], + "spans": [ + { + "bbox": [ + 105, + 500, + 292, + 515 + ], + "score": 1.0, + "content": "Combining all the above equations, we obtain", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 22, + "bbox_fs": [ + 105, + 500, + 292, + 515 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 256, + 518, + 354, + 547 + ], + "lines": [ + { + "bbox": [ + 256, + 518, + 354, + 547 + ], + "spans": [ + { + "bbox": [ + 256, + 518, + 354, + 547 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } \\omega _ { j } = \\frac { 1 } { N } \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } .", + "type": "interline_equation", + "image_path": "a6a9a313980ee42d3fdf1e5a0808cb2700d0ffe12375c24951d40245b638ed5e.jpg" + } + ] + } + ], + "index": 23.5, + "virtual_lines": [ + { + "bbox": [ + 256, + 518, + 354, + 532.5 + ], + "spans": [], + "index": 23 + }, + { + "bbox": [ + 256, + 532.5, + 354, + 547.0 + ], + "spans": [], + "index": 24 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 578, + 351, + 591 + ], + "lines": [ + { + "bbox": [ + 105, + 577, + 352, + 593 + ], + "spans": [ + { + "bbox": [ + 105, + 577, + 352, + 593 + ], + "score": 1.0, + "content": "The closed-form given in Proposition 2 now directly follows.", + "type": "text" + } + ], + "index": 25 + } + ], + "index": 25, + "bbox_fs": [ + 105, + 577, + 352, + 593 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 594, + 506, + 627 + ], + "lines": [ + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "spans": [ + { + "bbox": [ + 105, + 593, + 505, + 607 + ], + "score": 1.0, + "content": "Proposition 2 (Dynamics of Singular Values of SNR Matrix). Continually renormalized gradient", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 604, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 104, + 604, + 505, + 618 + ], + "score": 1.0, + "content": "flow on the central path (Equation 5) induces the following closed-form dynamics on the SNR singular", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 616, + 194, + 629 + ], + "spans": [ + { + "bbox": [ + 106, + 616, + 194, + 629 + ], + "score": 1.0, + "content": "values (Definition 2):", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 27, + "bbox_fs": [ + 104, + 593, + 505, + 629 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 138, + 632, + 472, + 649 + ], + "lines": [ + { + "bbox": [ + 138, + 632, + 472, + 649 + ], + "spans": [ + { + "bbox": [ + 138, + 632, + 472, + 649 + ], + "score": 0.9, + "content": "c _ { 1 } \\log ( \\omega _ { j } ( t ) ) + c _ { 2 } \\omega _ { j } ^ { 2 } ( t ) + c _ { 3 } \\omega _ { j } ^ { 4 } ( t ) = a _ { j } + t , \\quad t \\geq 0 , \\quad f o r a l l j = 1 , \\ldots , C - 1 .", + "type": "interline_equation", + "image_path": "568aa2007ffbb8065fe7c46b670f61b2e92abfcae931961001b9ffc85b3760c8.jpg" + } + ] + } + ], + "index": 29, + "virtual_lines": [ + { + "bbox": [ + 138, + 632, + 472, + 649 + ], + "spans": [], + "index": 29 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 654, + 489, + 667 + ], + "lines": [ + { + "bbox": [ + 107, + 654, + 490, + 669 + ], + "spans": [ + { + "bbox": [ + 107, + 657, + 130, + 666 + ], + "score": 0.55, + "content": "c _ { 1 } , \\ : c _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 130, + 654, + 151, + 669 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 151, + 657, + 161, + 666 + ], + "score": 0.82, + "content": "c _ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 162, + 654, + 313, + 669 + ], + "score": 1.0, + "content": "are positive constants independent of", + "type": "text" + }, + { + "bbox": [ + 313, + 656, + 319, + 667 + ], + "score": 0.76, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 319, + 654, + 340, + 669 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 340, + 656, + 351, + 667 + ], + "score": 0.87, + "content": "a _ { j }", + "type": "inline_equation" + }, + { + "bbox": [ + 351, + 654, + 461, + 669 + ], + "score": 1.0, + "content": "is a constant depending on", + "type": "text" + }, + { + "bbox": [ + 462, + 655, + 485, + 667 + ], + "score": 0.91, + "content": "\\omega _ { j } ( 0 )", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 654, + 490, + 669 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30, + "bbox_fs": [ + 107, + 654, + 490, + 669 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 680, + 501, + 705 + ], + "lines": [ + { + "bbox": [ + 106, + 680, + 504, + 694 + ], + "spans": [ + { + "bbox": [ + 106, + 680, + 504, + 694 + ], + "score": 1.0, + "content": "Proof. Follows from symbolically solving the ODE in Lemma 5 with routine methods. The constants", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 104, + 686, + 503, + 710 + ], + "spans": [ + { + "bbox": [ + 104, + 686, + 121, + 710 + ], + "score": 1.0, + "content": "are", + "type": "text" + }, + { + "bbox": [ + 121, + 692, + 165, + 703 + ], + "score": 0.89, + "content": "{ \\dot { c } } _ { 1 } = C ^ { 2 } N", + "type": "inline_equation" + }, + { + "bbox": [ + 166, + 686, + 169, + 710 + ], + "score": 1.0, + "content": ",", + "type": "text" + }, + { + "bbox": [ + 170, + 692, + 210, + 704 + ], + "score": 0.86, + "content": "c _ { 2 } = C N", + "type": "inline_equation" + }, + { + "bbox": [ + 210, + 686, + 230, + 710 + ], + "score": 1.0, + "content": ", and", + "type": "text" + }, + { + "bbox": [ + 231, + 691, + 263, + 705 + ], + "score": 0.93, + "content": "\\begin{array} { r } { c _ { 3 } = \\frac { N } { 4 } } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 686, + 269, + 710 + ], + "score": 1.0, + "content": ".", + "type": "text" + }, + { + "bbox": [ + 495, + 693, + 503, + 703 + ], + "score": 0.971, + "content": "□", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5, + "bbox_fs": [ + 104, + 680, + 504, + 710 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 107, + 82, + 240, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 241, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 241, + 95 + ], + "score": 1.0, + "content": "D.5 PROOF OF COROLLARY 1", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 104, + 102, + 504, + 126 + ], + "lines": [ + { + "bbox": [ + 106, + 102, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 505, + 116 + ], + "score": 1.0, + "content": "Corollary 1 (Properties of SNR Singular Values). SNR singular values (Definition 2) following the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 114, + 354, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 354, + 127 + ], + "score": 1.0, + "content": "Equation 9 dynamics satisfy the following limiting behaviors:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5 + }, + { + "type": "interline_equation", + "bbox": [ + 129, + 131, + 467, + 181 + ], + "lines": [ + { + "bbox": [ + 129, + 131, + 467, + 181 + ], + "spans": [ + { + "bbox": [ + 129, + 131, + 467, + 181 + ], + "score": 0.26, + "content": "\\begin{array} { r l } & { 1 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\omega _ { j } ( t ) = \\infty \\quad a n d \\quad \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { t / c _ { 3 } } } = 1 , \\quad f o r a l l \\ j = 1 , \\ldots , C - 1 . } \\\\ & { } \\\\ & { 2 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 . } \\end{array}", + "type": "interline_equation", + "image_path": "95a1b3f8146eda9c3b411b9c18502de536e9ea344aab9368e3c1cf38a7fecdd6.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 129, + 131, + 467, + 147.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 129, + 147.66666666666666, + 467, + 164.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 129, + 164.33333333333331, + 467, + 180.99999999999997 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 188, + 506, + 275 + ], + "lines": [ + { + "bbox": [ + 106, + 189, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 150, + 201 + ], + "score": 1.0, + "content": "Proof. As", + "type": "text" + }, + { + "bbox": [ + 151, + 190, + 156, + 199 + ], + "score": 0.75, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 189, + 505, + 201 + ], + "score": 1.0, + "content": "tends to infinity, the right-hand side of Equation 9 diverges to infinity and therefore", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 199, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 505, + 213 + ], + "score": 1.0, + "content": "so does the left-hand side (LHS). As the LHS approaches infinity, the logarithmic terms become", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 210, + 506, + 224 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 360, + 224 + ], + "score": 1.0, + "content": "negligible compared to the dominant quartic term, implying", + "type": "text" + }, + { + "bbox": [ + 361, + 210, + 414, + 224 + ], + "score": 0.92, + "content": "\\omega _ { j } ^ { 4 } ( t ) \\bar { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 211, + 447, + 224 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 447, + 211, + 470, + 223 + ], + "score": 0.93, + "content": "\\omega _ { j } ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 211, + 506, + 224 + ], + "score": 1.0, + "content": "are sin-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 223, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 322, + 236 + ], + "score": 1.0, + "content": "gular values, they must be non-negative—implying", + "type": "text" + }, + { + "bbox": [ + 322, + 223, + 374, + 236 + ], + "score": 0.92, + "content": "\\omega _ { j } ( t ) \\to { \\dot { \\infty } }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 223, + 506, + 236 + ], + "score": 1.0, + "content": ". Based on the same argument,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 234, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 195, + 252 + ], + "score": 1.0, + "content": "observe that limt→∞", + "type": "text" + }, + { + "bbox": [ + 159, + 234, + 235, + 258 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\operatorname* { l i m } _ { t \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { \\frac { t } { c _ { 3 } } } } = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 234, + 263, + 252 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 263, + 237, + 269, + 249 + ], + "score": 0.76, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 234, + 351, + 252 + ], + "score": 1.0, + "content": ". Since the constant", + "type": "text" + }, + { + "bbox": [ + 352, + 239, + 362, + 249 + ], + "score": 0.86, + "content": "c _ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 234, + 435, + 252 + ], + "score": 1.0, + "content": "is independent of", + "type": "text" + }, + { + "bbox": [ + 436, + 238, + 442, + 249 + ], + "score": 0.83, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 234, + 506, + 252 + ], + "score": 1.0, + "content": ", it follows that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 256, + 207, + 275 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 201, + 275 + ], + "score": 0.7, + "content": "\\begin{array} { r } { \\operatorname* { l i m } _ { t \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 256, + 207, + 272 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5 + }, + { + "type": "title", + "bbox": [ + 107, + 285, + 241, + 298 + ], + "lines": [ + { + "bbox": [ + 105, + 285, + 242, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 242, + 299 + ], + "score": 1.0, + "content": "D.6 PROOF OF COROLLARY 2", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 306, + 504, + 329 + ], + "lines": [ + { + "bbox": [ + 105, + 305, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 505, + 320 + ], + "score": 1.0, + "content": "Lemma 6. Under continually renormalized gradient flow (Equation 5), the left and right singular", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 318, + 397, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 397, + 330 + ], + "score": 1.0, + "content": "vectors of the SNR matrix remain constant i.e. they are independent of t.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5 + }, + { + "type": "text", + "bbox": [ + 107, + 340, + 505, + 375 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 276, + 354 + ], + "score": 1.0, + "content": "Proof. Without loss of generality, assume", + "type": "text" + }, + { + "bbox": [ + 276, + 342, + 287, + 351 + ], + "score": 0.79, + "content": "\\boldsymbol { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 340, + 506, + 354 + ], + "score": 1.0, + "content": "is in represented in aligned SNR coordinates (Section", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 351, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 422, + 365 + ], + "score": 1.0, + "content": "D.2). Recall that, in this coordinate system, the corresponding SNR matrix", + "type": "text" + }, + { + "bbox": [ + 423, + 351, + 493, + 362 + ], + "score": 0.92, + "content": "\\Omega = N ^ { - 1 } \\dot { X } Y ^ { \\top }", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 351, + 506, + 365 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 362, + 442, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 442, + 376 + ], + "score": 1.0, + "content": "diagonal, and the left and right singular vectors are simply partial identity matrices.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16 + }, + { + "type": "text", + "bbox": [ + 105, + 379, + 504, + 404 + ], + "lines": [ + { + "bbox": [ + 104, + 378, + 504, + 394 + ], + "spans": [ + { + "bbox": [ + 104, + 378, + 458, + 394 + ], + "score": 1.0, + "content": "To show that the singular values of the SNR remain constant, it then suffices to show that", + "type": "text" + }, + { + "bbox": [ + 458, + 378, + 504, + 393 + ], + "score": 0.93, + "content": "\\scriptstyle { \\frac { \\mathrm { d } \\Omega } { \\mathrm { d } t } } = { \\frac { \\mathrm { d } X } { \\mathrm { d } t } } Y", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 391, + 293, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 293, + 406 + ], + "score": 1.0, + "content": "is a diagonal matrix as well21. Lemma 4 gives", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5 + }, + { + "type": "interline_equation", + "bbox": [ + 246, + 406, + 364, + 430 + ], + "lines": [ + { + "bbox": [ + 246, + 406, + 364, + 430 + ], + "spans": [ + { + "bbox": [ + 246, + 406, + 364, + 430 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } X = \\frac { 1 } { N } D _ { 1 } Y - D _ { 2 } X C", + "type": "interline_equation", + "image_path": "42339514130359a86ab5f3526ed19871ebc372a9dbcd16f65e14fec53b1cb49c.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 246, + 406, + 364, + 430 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 433, + 506, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 135, + 452 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 438, + 150, + 449 + ], + "score": 0.89, + "content": "D _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 435, + 172, + 452 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 172, + 438, + 187, + 449 + ], + "score": 0.9, + "content": "D _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 435, + 207, + 452 + ], + "score": 1.0, + "content": "are", + "type": "text" + }, + { + "bbox": [ + 207, + 438, + 232, + 449 + ], + "score": 0.9, + "content": "C { \\times } C", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 435, + 422, + 452 + ], + "score": 1.0, + "content": "diagonal matrices with the diagonal entries", + "type": "text" + }, + { + "bbox": [ + 423, + 432, + 485, + 456 + ], + "score": 0.92, + "content": "\\left\\{ \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\right\\} _ { c = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 435, + 506, + 457 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 453, + 252, + 479 + ], + "spans": [ + { + "bbox": [ + 107, + 453, + 169, + 479 + ], + "score": 0.79, + "content": "\\left\\{ \\frac { \\omega _ { j } ^ { 2 } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\right\\} _ { c = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 460, + 252, + 479 + ], + "score": 1.0, + "content": ", respectively. Then,", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5 + }, + { + "type": "interline_equation", + "bbox": [ + 183, + 479, + 427, + 507 + ], + "lines": [ + { + "bbox": [ + 183, + 479, + 427, + 507 + ], + "spans": [ + { + "bbox": [ + 183, + 479, + 427, + 507 + ], + "score": 0.92, + "content": "{ \\frac { \\mathrm { d } } { \\mathrm { d } t } } \\Omega = \\left( { \\frac { \\mathrm { d } } { \\mathrm { d } t } } X \\right) Y ^ { \\top } = { \\frac { 1 } { N } } D _ { 1 } Y Y ^ { \\top } - D _ { 2 } X C Y ^ { \\top } = D _ { 1 } ,", + "type": "interline_equation", + "image_path": "3b8a6bcefbfe5dea641c2ca9658bc2db1cf096be0b1c203a336e30fea31428bf.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 183, + 479, + 427, + 507 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 509, + 506, + 565 + ], + "lines": [ + { + "bbox": [ + 105, + 509, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 383, + 522 + ], + "score": 1.0, + "content": "where, in the last equality, we used the easy-to-check identities that", + "type": "text" + }, + { + "bbox": [ + 383, + 509, + 438, + 521 + ], + "score": 0.93, + "content": "\\boldsymbol { Y } \\boldsymbol { Y } ^ { \\intercal } = \\boldsymbol { N } \\boldsymbol { I } _ { \\boldsymbol { C } }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 509, + 456, + 522 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 457, + 510, + 489, + 520 + ], + "score": 0.88, + "content": "C Y { = } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 509, + 506, + 522 + ], + "score": 1.0, + "content": ". In", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 334, + 533 + ], + "score": 1.0, + "content": "more detail, the first identity follows from the fact that", + "type": "text" + }, + { + "bbox": [ + 335, + 521, + 345, + 531 + ], + "score": 0.82, + "content": "\\mathbf { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "is the one-hot label vectors stacked as", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 339, + 544 + ], + "score": 1.0, + "content": "columns; the second identity follows from the facts that", + "type": "text" + }, + { + "bbox": [ + 339, + 532, + 349, + 542 + ], + "score": 0.83, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "is the class-centering matrix, and the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 538, + 507, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 442, + 555 + ], + "score": 1.0, + "content": "one-hot label is the same for examples from the same class. Thus, we have shown", + "type": "text" + }, + { + "bbox": [ + 439, + 538, + 507, + 557 + ], + "score": 1.0, + "content": "dΩdt is diagonal,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 554, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 217, + 566 + ], + "score": 1.0, + "content": "which concludes our proof.", + "type": "text" + }, + { + "bbox": [ + 494, + 554, + 506, + 565 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26 + }, + { + "type": "text", + "bbox": [ + 106, + 569, + 366, + 583 + ], + "lines": [ + { + "bbox": [ + 104, + 566, + 367, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 566, + 191, + 587 + ], + "score": 1.0, + "content": "Lemma 7. A matrix", + "type": "text" + }, + { + "bbox": [ + 191, + 570, + 239, + 582 + ], + "score": 0.91, + "content": "\\pmb { { \\cal E } } \\in \\mathbb { R } ^ { P \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 566, + 367, + 587 + ], + "score": 1.0, + "content": "is a Simplex ETF if and only if", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29 + }, + { + "type": "text", + "bbox": [ + 129, + 590, + 407, + 603 + ], + "lines": [ + { + "bbox": [ + 129, + 590, + 408, + 604 + ], + "spans": [ + { + "bbox": [ + 129, + 590, + 142, + 604 + ], + "score": 1.0, + "content": "1.", + "type": "text" + }, + { + "bbox": [ + 142, + 591, + 152, + 601 + ], + "score": 0.45, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 590, + 200, + 604 + ], + "score": 1.0, + "content": "has exactly", + "type": "text" + }, + { + "bbox": [ + 200, + 591, + 222, + 601 + ], + "score": 0.85, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 590, + 408, + 604 + ], + "score": 1.0, + "content": "non-zero singular values, which are all equal.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 128, + 608, + 504, + 632 + ], + "lines": [ + { + "bbox": [ + 128, + 608, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 128, + 608, + 142, + 622 + ], + "score": 1.0, + "content": "2.", + "type": "text" + }, + { + "bbox": [ + 142, + 609, + 152, + 619 + ], + "score": 0.52, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 608, + 374, + 622 + ], + "score": 1.0, + "content": "has a rank-1 nullspace spanned by the ones vector, i.e.,", + "type": "text" + }, + { + "bbox": [ + 375, + 610, + 411, + 620 + ], + "score": 0.89, + "content": "\\mathbf { \\delta E 1 } _ { C } { = } \\mathbf { 0 } .", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 608, + 478, + 622 + ], + "score": 1.0, + "content": ". In other words,", + "type": "text" + }, + { + "bbox": [ + 478, + 610, + 488, + 619 + ], + "score": 0.74, + "content": "\\pmb { { \\cal E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 608, + 506, + 622 + ], + "score": 1.0, + "content": "has", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 621, + 224, + 632 + ], + "spans": [ + { + "bbox": [ + 141, + 621, + 224, + 632 + ], + "score": 1.0, + "content": "zero-mean columns.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5 + }, + { + "type": "text", + "bbox": [ + 106, + 643, + 503, + 666 + ], + "lines": [ + { + "bbox": [ + 106, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 429, + 656 + ], + "score": 1.0, + "content": "Proof. First, recall from Papyan, Han, and Donoho (2020, Definition 1) that a", + "type": "text" + }, + { + "bbox": [ + 429, + 644, + 453, + 654 + ], + "score": 0.89, + "content": "P { \\times } C", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 643, + 484, + 656 + ], + "score": 1.0, + "content": "matrix", + "type": "text" + }, + { + "bbox": [ + 485, + 644, + 494, + 654 + ], + "score": 0.83, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 655, + 246, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 246, + 667 + ], + "score": 1.0, + "content": "called a Simplex ETF if it satisfies", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5 + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 668, + 386, + 695 + ], + "lines": [ + { + "bbox": [ + 225, + 668, + 386, + 695 + ], + "spans": [ + { + "bbox": [ + 225, + 668, + 386, + 695 + ], + "score": 0.95, + "content": "\\pmb { E } ^ { \\top } \\pmb { E } = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathrm { 1 } } _ { C } \\pmb { \\mathrm { 1 } } _ { C } ^ { \\top } \\right)", + "type": "interline_equation", + "image_path": "c174e24f3fe6f85365b5737be23abb1aeac002ad5b6a8183d8bb3351453c6a5a.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 225, + 668, + 386, + 695 + ], + "spans": [], + "index": 35 + } + ] + } + ], + "page_idx": 30, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 106, + 701, + 504, + 732 + ], + "lines": [ + { + "bbox": [ + 116, + 698, + 506, + 716 + ], + "spans": [ + { + "bbox": [ + 116, + 698, + 506, + 716 + ], + "score": 1.0, + "content": "21Intuitively, changing the diagonal SNR matrix by a diagonal matrix increment implies the updated SNR", + "type": "text" + } + ] + }, + { + "bbox": [ + 106, + 711, + 506, + 723 + ], + "spans": [ + { + "bbox": [ + 106, + 711, + 506, + 723 + ], + "score": 1.0, + "content": "matrix is still diagonal. This, in turn, implies the left and right singular vectors of the updated SNR matrix are", + "type": "text" + } + ] + }, + { + "bbox": [ + 105, + 721, + 321, + 733 + ], + "spans": [ + { + "bbox": [ + 105, + 721, + 321, + 733 + ], + "score": 1.0, + "content": "still the left and right partial identity matrices, respectively.", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 107, + 26, + 294, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 39 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 494, + 260, + 504, + 270 + ], + "lines": [ + { + "bbox": [ + 495, + 261, + 505, + 270 + ], + "spans": [ + { + "bbox": [ + 495, + 261, + 505, + 270 + ], + "score": 0.999, + "content": "□", + "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, + 82, + 240, + 93 + ], + "lines": [ + { + "bbox": [ + 106, + 82, + 241, + 95 + ], + "spans": [ + { + "bbox": [ + 106, + 82, + 241, + 95 + ], + "score": 1.0, + "content": "D.5 PROOF OF COROLLARY 1", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 104, + 102, + 504, + 126 + ], + "lines": [ + { + "bbox": [ + 106, + 102, + 505, + 116 + ], + "spans": [ + { + "bbox": [ + 106, + 102, + 505, + 116 + ], + "score": 1.0, + "content": "Corollary 1 (Properties of SNR Singular Values). SNR singular values (Definition 2) following the", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 105, + 114, + 354, + 127 + ], + "spans": [ + { + "bbox": [ + 105, + 114, + 354, + 127 + ], + "score": 1.0, + "content": "Equation 9 dynamics satisfy the following limiting behaviors:", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 1.5, + "bbox_fs": [ + 105, + 102, + 505, + 127 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 129, + 131, + 467, + 181 + ], + "lines": [ + { + "bbox": [ + 129, + 131, + 467, + 181 + ], + "spans": [ + { + "bbox": [ + 129, + 131, + 467, + 181 + ], + "score": 0.26, + "content": "\\begin{array} { r l } & { 1 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\omega _ { j } ( t ) = \\infty \\quad a n d \\quad \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { t / c _ { 3 } } } = 1 , \\quad f o r a l l \\ j = 1 , \\ldots , C - 1 . } \\\\ & { } \\\\ & { 2 . \\ \\operatorname* { l i m } _ { t \\to \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 . } \\end{array}", + "type": "interline_equation", + "image_path": "95a1b3f8146eda9c3b411b9c18502de536e9ea344aab9368e3c1cf38a7fecdd6.jpg" + } + ] + } + ], + "index": 4, + "virtual_lines": [ + { + "bbox": [ + 129, + 131, + 467, + 147.66666666666666 + ], + "spans": [], + "index": 3 + }, + { + "bbox": [ + 129, + 147.66666666666666, + 467, + 164.33333333333331 + ], + "spans": [], + "index": 4 + }, + { + "bbox": [ + 129, + 164.33333333333331, + 467, + 180.99999999999997 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 188, + 506, + 275 + ], + "lines": [ + { + "bbox": [ + 106, + 189, + 505, + 201 + ], + "spans": [ + { + "bbox": [ + 106, + 189, + 150, + 201 + ], + "score": 1.0, + "content": "Proof. As", + "type": "text" + }, + { + "bbox": [ + 151, + 190, + 156, + 199 + ], + "score": 0.75, + "content": "t", + "type": "inline_equation" + }, + { + "bbox": [ + 156, + 189, + 505, + 201 + ], + "score": 1.0, + "content": "tends to infinity, the right-hand side of Equation 9 diverges to infinity and therefore", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 199, + 505, + 213 + ], + "spans": [ + { + "bbox": [ + 105, + 199, + 505, + 213 + ], + "score": 1.0, + "content": "so does the left-hand side (LHS). As the LHS approaches infinity, the logarithmic terms become", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 105, + 210, + 506, + 224 + ], + "spans": [ + { + "bbox": [ + 105, + 211, + 360, + 224 + ], + "score": 1.0, + "content": "negligible compared to the dominant quartic term, implying", + "type": "text" + }, + { + "bbox": [ + 361, + 210, + 414, + 224 + ], + "score": 0.92, + "content": "\\omega _ { j } ^ { 4 } ( t ) \\bar { \\infty }", + "type": "inline_equation" + }, + { + "bbox": [ + 414, + 211, + 447, + 224 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 447, + 211, + 470, + 223 + ], + "score": 0.93, + "content": "\\omega _ { j } ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 211, + 506, + 224 + ], + "score": 1.0, + "content": "are sin-", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 106, + 223, + 506, + 236 + ], + "spans": [ + { + "bbox": [ + 106, + 223, + 322, + 236 + ], + "score": 1.0, + "content": "gular values, they must be non-negative—implying", + "type": "text" + }, + { + "bbox": [ + 322, + 223, + 374, + 236 + ], + "score": 0.92, + "content": "\\omega _ { j } ( t ) \\to { \\dot { \\infty } }", + "type": "inline_equation" + }, + { + "bbox": [ + 375, + 223, + 506, + 236 + ], + "score": 1.0, + "content": ". Based on the same argument,", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 234, + 506, + 258 + ], + "spans": [ + { + "bbox": [ + 105, + 235, + 195, + 252 + ], + "score": 1.0, + "content": "observe that limt→∞", + "type": "text" + }, + { + "bbox": [ + 159, + 234, + 235, + 258 + ], + "score": 0.94, + "content": "\\begin{array} { r } { \\operatorname* { l i m } _ { t \\infty } \\frac { \\omega _ { j } ( t ) } { \\sqrt [ 4 ] { \\frac { t } { c _ { 3 } } } } = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 235, + 234, + 263, + 252 + ], + "score": 1.0, + "content": "for all", + "type": "text" + }, + { + "bbox": [ + 263, + 237, + 269, + 249 + ], + "score": 0.76, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 270, + 234, + 351, + 252 + ], + "score": 1.0, + "content": ". Since the constant", + "type": "text" + }, + { + "bbox": [ + 352, + 239, + 362, + 249 + ], + "score": 0.86, + "content": "c _ { 3 }", + "type": "inline_equation" + }, + { + "bbox": [ + 362, + 234, + 435, + 252 + ], + "score": 1.0, + "content": "is independent of", + "type": "text" + }, + { + "bbox": [ + 436, + 238, + 442, + 249 + ], + "score": 0.83, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 442, + 234, + 506, + 252 + ], + "score": 1.0, + "content": ", it follows that", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 106, + 256, + 207, + 275 + ], + "spans": [ + { + "bbox": [ + 106, + 257, + 201, + 275 + ], + "score": 0.7, + "content": "\\begin{array} { r } { \\operatorname* { l i m } _ { t \\infty } \\frac { \\operatorname* { m a x } _ { j } \\omega _ { j } ( t ) } { \\operatorname* { m i n } _ { j } \\omega _ { j } ( t ) } = 1 } \\end{array}", + "type": "inline_equation" + }, + { + "bbox": [ + 202, + 256, + 207, + 272 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 11 + } + ], + "index": 8.5, + "bbox_fs": [ + 105, + 189, + 506, + 275 + ] + }, + { + "type": "title", + "bbox": [ + 107, + 285, + 241, + 298 + ], + "lines": [ + { + "bbox": [ + 105, + 285, + 242, + 299 + ], + "spans": [ + { + "bbox": [ + 105, + 285, + 242, + 299 + ], + "score": 1.0, + "content": "D.6 PROOF OF COROLLARY 2", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "text", + "bbox": [ + 106, + 306, + 504, + 329 + ], + "lines": [ + { + "bbox": [ + 105, + 305, + 505, + 320 + ], + "spans": [ + { + "bbox": [ + 105, + 305, + 505, + 320 + ], + "score": 1.0, + "content": "Lemma 6. Under continually renormalized gradient flow (Equation 5), the left and right singular", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 105, + 318, + 397, + 330 + ], + "spans": [ + { + "bbox": [ + 105, + 318, + 397, + 330 + ], + "score": 1.0, + "content": "vectors of the SNR matrix remain constant i.e. they are independent of t.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 13.5, + "bbox_fs": [ + 105, + 305, + 505, + 330 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 340, + 505, + 375 + ], + "lines": [ + { + "bbox": [ + 105, + 340, + 506, + 354 + ], + "spans": [ + { + "bbox": [ + 105, + 340, + 276, + 354 + ], + "score": 1.0, + "content": "Proof. Without loss of generality, assume", + "type": "text" + }, + { + "bbox": [ + 276, + 342, + 287, + 351 + ], + "score": 0.79, + "content": "\\boldsymbol { X }", + "type": "inline_equation" + }, + { + "bbox": [ + 288, + 340, + 506, + 354 + ], + "score": 1.0, + "content": "is in represented in aligned SNR coordinates (Section", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 105, + 351, + 506, + 365 + ], + "spans": [ + { + "bbox": [ + 105, + 351, + 422, + 365 + ], + "score": 1.0, + "content": "D.2). Recall that, in this coordinate system, the corresponding SNR matrix", + "type": "text" + }, + { + "bbox": [ + 423, + 351, + 493, + 362 + ], + "score": 0.92, + "content": "\\Omega = N ^ { - 1 } \\dot { X } Y ^ { \\top }", + "type": "inline_equation" + }, + { + "bbox": [ + 494, + 351, + 506, + 365 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 362, + 442, + 376 + ], + "spans": [ + { + "bbox": [ + 105, + 362, + 442, + 376 + ], + "score": 1.0, + "content": "diagonal, and the left and right singular vectors are simply partial identity matrices.", + "type": "text" + } + ], + "index": 17 + } + ], + "index": 16, + "bbox_fs": [ + 105, + 340, + 506, + 376 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 379, + 504, + 404 + ], + "lines": [ + { + "bbox": [ + 104, + 378, + 504, + 394 + ], + "spans": [ + { + "bbox": [ + 104, + 378, + 458, + 394 + ], + "score": 1.0, + "content": "To show that the singular values of the SNR remain constant, it then suffices to show that", + "type": "text" + }, + { + "bbox": [ + 458, + 378, + 504, + 393 + ], + "score": 0.93, + "content": "\\scriptstyle { \\frac { \\mathrm { d } \\Omega } { \\mathrm { d } t } } = { \\frac { \\mathrm { d } X } { \\mathrm { d } t } } Y", + "type": "inline_equation" + } + ], + "index": 18 + }, + { + "bbox": [ + 105, + 391, + 293, + 406 + ], + "spans": [ + { + "bbox": [ + 105, + 391, + 293, + 406 + ], + "score": 1.0, + "content": "is a diagonal matrix as well21. Lemma 4 gives", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18.5, + "bbox_fs": [ + 104, + 378, + 504, + 406 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 246, + 406, + 364, + 430 + ], + "lines": [ + { + "bbox": [ + 246, + 406, + 364, + 430 + ], + "spans": [ + { + "bbox": [ + 246, + 406, + 364, + 430 + ], + "score": 0.94, + "content": "\\frac { \\mathrm { d } } { \\mathrm { d } t } X = \\frac { 1 } { N } D _ { 1 } Y - D _ { 2 } X C", + "type": "interline_equation", + "image_path": "42339514130359a86ab5f3526ed19871ebc372a9dbcd16f65e14fec53b1cb49c.jpg" + } + ] + } + ], + "index": 20, + "virtual_lines": [ + { + "bbox": [ + 246, + 406, + 364, + 430 + ], + "spans": [], + "index": 20 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 433, + 506, + 479 + ], + "lines": [ + { + "bbox": [ + 105, + 432, + 506, + 457 + ], + "spans": [ + { + "bbox": [ + 105, + 435, + 135, + 452 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 135, + 438, + 150, + 449 + ], + "score": 0.89, + "content": "D _ { 1 }", + "type": "inline_equation" + }, + { + "bbox": [ + 151, + 435, + 172, + 452 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 172, + 438, + 187, + 449 + ], + "score": 0.9, + "content": "D _ { 2 }", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 435, + 207, + 452 + ], + "score": 1.0, + "content": "are", + "type": "text" + }, + { + "bbox": [ + 207, + 438, + 232, + 449 + ], + "score": 0.9, + "content": "C { \\times } C", + "type": "inline_equation" + }, + { + "bbox": [ + 232, + 435, + 422, + 452 + ], + "score": 1.0, + "content": "diagonal matrices with the diagonal entries", + "type": "text" + }, + { + "bbox": [ + 423, + 432, + 485, + 456 + ], + "score": 0.92, + "content": "\\left\\{ \\frac { \\omega _ { j } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\right\\} _ { c = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 485, + 435, + 506, + 457 + ], + "score": 1.0, + "content": "and", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 107, + 453, + 252, + 479 + ], + "spans": [ + { + "bbox": [ + 107, + 453, + 169, + 479 + ], + "score": 0.79, + "content": "\\left\\{ \\frac { \\omega _ { j } ^ { 2 } } { ( C + \\omega _ { j } ^ { 2 } ) ^ { 2 } } \\right\\} _ { c = 1 } ^ { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 169, + 460, + 252, + 479 + ], + "score": 1.0, + "content": ", respectively. Then,", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 21.5, + "bbox_fs": [ + 105, + 432, + 506, + 479 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 183, + 479, + 427, + 507 + ], + "lines": [ + { + "bbox": [ + 183, + 479, + 427, + 507 + ], + "spans": [ + { + "bbox": [ + 183, + 479, + 427, + 507 + ], + "score": 0.92, + "content": "{ \\frac { \\mathrm { d } } { \\mathrm { d } t } } \\Omega = \\left( { \\frac { \\mathrm { d } } { \\mathrm { d } t } } X \\right) Y ^ { \\top } = { \\frac { 1 } { N } } D _ { 1 } Y Y ^ { \\top } - D _ { 2 } X C Y ^ { \\top } = D _ { 1 } ,", + "type": "interline_equation", + "image_path": "3b8a6bcefbfe5dea641c2ca9658bc2db1cf096be0b1c203a336e30fea31428bf.jpg" + } + ] + } + ], + "index": 23, + "virtual_lines": [ + { + "bbox": [ + 183, + 479, + 427, + 507 + ], + "spans": [], + "index": 23 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 509, + 506, + 565 + ], + "lines": [ + { + "bbox": [ + 105, + 509, + 506, + 522 + ], + "spans": [ + { + "bbox": [ + 105, + 509, + 383, + 522 + ], + "score": 1.0, + "content": "where, in the last equality, we used the easy-to-check identities that", + "type": "text" + }, + { + "bbox": [ + 383, + 509, + 438, + 521 + ], + "score": 0.93, + "content": "\\boldsymbol { Y } \\boldsymbol { Y } ^ { \\intercal } = \\boldsymbol { N } \\boldsymbol { I } _ { \\boldsymbol { C } }", + "type": "inline_equation" + }, + { + "bbox": [ + 438, + 509, + 456, + 522 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 457, + 510, + 489, + 520 + ], + "score": 0.88, + "content": "C Y { = } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 490, + 509, + 506, + 522 + ], + "score": 1.0, + "content": ". In", + "type": "text" + } + ], + "index": 24 + }, + { + "bbox": [ + 106, + 521, + 505, + 533 + ], + "spans": [ + { + "bbox": [ + 106, + 521, + 334, + 533 + ], + "score": 1.0, + "content": "more detail, the first identity follows from the fact that", + "type": "text" + }, + { + "bbox": [ + 335, + 521, + 345, + 531 + ], + "score": 0.82, + "content": "\\mathbf { Y }", + "type": "inline_equation" + }, + { + "bbox": [ + 345, + 521, + 505, + 533 + ], + "score": 1.0, + "content": "is the one-hot label vectors stacked as", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 532, + 505, + 544 + ], + "spans": [ + { + "bbox": [ + 106, + 532, + 339, + 544 + ], + "score": 1.0, + "content": "columns; the second identity follows from the facts that", + "type": "text" + }, + { + "bbox": [ + 339, + 532, + 349, + 542 + ], + "score": 0.83, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 350, + 532, + 505, + 544 + ], + "score": 1.0, + "content": "is the class-centering matrix, and the", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 106, + 538, + 507, + 557 + ], + "spans": [ + { + "bbox": [ + 106, + 543, + 442, + 555 + ], + "score": 1.0, + "content": "one-hot label is the same for examples from the same class. Thus, we have shown", + "type": "text" + }, + { + "bbox": [ + 439, + 538, + 507, + 557 + ], + "score": 1.0, + "content": "dΩdt is diagonal,", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 106, + 554, + 506, + 566 + ], + "spans": [ + { + "bbox": [ + 106, + 554, + 217, + 566 + ], + "score": 1.0, + "content": "which concludes our proof.", + "type": "text" + }, + { + "bbox": [ + 494, + 554, + 506, + 565 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ], + "index": 28 + } + ], + "index": 26, + "bbox_fs": [ + 105, + 509, + 507, + 566 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 569, + 366, + 583 + ], + "lines": [ + { + "bbox": [ + 104, + 566, + 367, + 587 + ], + "spans": [ + { + "bbox": [ + 104, + 566, + 191, + 587 + ], + "score": 1.0, + "content": "Lemma 7. A matrix", + "type": "text" + }, + { + "bbox": [ + 191, + 570, + 239, + 582 + ], + "score": 0.91, + "content": "\\pmb { { \\cal E } } \\in \\mathbb { R } ^ { P \\times C }", + "type": "inline_equation" + }, + { + "bbox": [ + 240, + 566, + 367, + 587 + ], + "score": 1.0, + "content": "is a Simplex ETF if and only if", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 29, + "bbox_fs": [ + 104, + 566, + 367, + 587 + ] + }, + { + "type": "text", + "bbox": [ + 129, + 590, + 407, + 603 + ], + "lines": [ + { + "bbox": [ + 129, + 590, + 408, + 604 + ], + "spans": [ + { + "bbox": [ + 129, + 590, + 142, + 604 + ], + "score": 1.0, + "content": "1.", + "type": "text" + }, + { + "bbox": [ + 142, + 591, + 152, + 601 + ], + "score": 0.45, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 590, + 200, + 604 + ], + "score": 1.0, + "content": "has exactly", + "type": "text" + }, + { + "bbox": [ + 200, + 591, + 222, + 601 + ], + "score": 0.85, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 223, + 590, + 408, + 604 + ], + "score": 1.0, + "content": "non-zero singular values, which are all equal.", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30, + "bbox_fs": [ + 129, + 590, + 408, + 604 + ] + }, + { + "type": "text", + "bbox": [ + 128, + 608, + 504, + 632 + ], + "lines": [ + { + "bbox": [ + 128, + 608, + 506, + 622 + ], + "spans": [ + { + "bbox": [ + 128, + 608, + 142, + 622 + ], + "score": 1.0, + "content": "2.", + "type": "text" + }, + { + "bbox": [ + 142, + 609, + 152, + 619 + ], + "score": 0.52, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 608, + 374, + 622 + ], + "score": 1.0, + "content": "has a rank-1 nullspace spanned by the ones vector, i.e.,", + "type": "text" + }, + { + "bbox": [ + 375, + 610, + 411, + 620 + ], + "score": 0.89, + "content": "\\mathbf { \\delta E 1 } _ { C } { = } \\mathbf { 0 } .", + "type": "inline_equation" + }, + { + "bbox": [ + 411, + 608, + 478, + 622 + ], + "score": 1.0, + "content": ". In other words,", + "type": "text" + }, + { + "bbox": [ + 478, + 610, + 488, + 619 + ], + "score": 0.74, + "content": "\\pmb { { \\cal E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 488, + 608, + 506, + 622 + ], + "score": 1.0, + "content": "has", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 141, + 621, + 224, + 632 + ], + "spans": [ + { + "bbox": [ + 141, + 621, + 224, + 632 + ], + "score": 1.0, + "content": "zero-mean columns.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 31.5, + "bbox_fs": [ + 128, + 608, + 506, + 632 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 643, + 503, + 666 + ], + "lines": [ + { + "bbox": [ + 106, + 643, + 505, + 656 + ], + "spans": [ + { + "bbox": [ + 106, + 643, + 429, + 656 + ], + "score": 1.0, + "content": "Proof. First, recall from Papyan, Han, and Donoho (2020, Definition 1) that a", + "type": "text" + }, + { + "bbox": [ + 429, + 644, + 453, + 654 + ], + "score": 0.89, + "content": "P { \\times } C", + "type": "inline_equation" + }, + { + "bbox": [ + 454, + 643, + 484, + 656 + ], + "score": 1.0, + "content": "matrix", + "type": "text" + }, + { + "bbox": [ + 485, + 644, + 494, + 654 + ], + "score": 0.83, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 495, + 643, + 505, + 656 + ], + "score": 1.0, + "content": "is", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 106, + 655, + 246, + 667 + ], + "spans": [ + { + "bbox": [ + 106, + 655, + 246, + 667 + ], + "score": 1.0, + "content": "called a Simplex ETF if it satisfies", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5, + "bbox_fs": [ + 106, + 643, + 505, + 667 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 225, + 668, + 386, + 695 + ], + "lines": [ + { + "bbox": [ + 225, + 668, + 386, + 695 + ], + "spans": [ + { + "bbox": [ + 225, + 668, + 386, + 695 + ], + "score": 0.95, + "content": "\\pmb { E } ^ { \\top } \\pmb { E } = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathrm { 1 } } _ { C } \\pmb { \\mathrm { 1 } } _ { C } ^ { \\top } \\right)", + "type": "interline_equation", + "image_path": "c174e24f3fe6f85365b5737be23abb1aeac002ad5b6a8183d8bb3351453c6a5a.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 225, + 668, + 386, + 695 + ], + "spans": [], + "index": 35 + } + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 325, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 327, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 174, + 96 + ], + "score": 1.0, + "content": "for some scaling", + "type": "text" + }, + { + "bbox": [ + 175, + 83, + 195, + 93 + ], + "score": 0.86, + "content": "\\alpha { > } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 81, + 327, + 96 + ], + "score": 1.0, + "content": ". We now prove the equivalence.", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 98, + 506, + 148 + ], + "lines": [ + { + "bbox": [ + 105, + 98, + 507, + 113 + ], + "spans": [ + { + "bbox": [ + 105, + 98, + 367, + 113 + ], + "score": 1.0, + "content": "Simplex ETF implies 1-2: Consider the SVD decomposition", + "type": "text" + }, + { + "bbox": [ + 367, + 98, + 429, + 112 + ], + "score": 0.93, + "content": "\\scriptstyle { E = U _ { E } S _ { E } V _ { E } ^ { \\intercal } }", + "type": "inline_equation" + }, + { + "bbox": [ + 430, + 98, + 466, + 113 + ], + "score": 1.0, + "content": ", where", + "type": "text" + }, + { + "bbox": [ + 466, + 100, + 483, + 111 + ], + "score": 0.88, + "content": "U _ { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 483, + 98, + 507, + 113 + ], + "score": 1.0, + "content": "is a", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 107, + 112, + 505, + 126 + ], + "spans": [ + { + "bbox": [ + 107, + 112, + 151, + 125 + ], + "score": 0.91, + "content": "\\overline { { P \\times ( C - 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1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathrm { 1 } } _ { C } \\pmb { \\mathrm { 1 } } _ { C } ^ { \\top } \\right) ,", + "type": "interline_equation", + "image_path": "baeadfeb005f33c592a6d8f1b80bf2306477262dd74526514d666298e5a1868f.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 222, + 151, + 388, + 179 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 182, + 273, + 194 + ], + "lines": [ + { + "bbox": [ + 106, + 181, + 273, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 273, + 195 + ], + "score": 1.0, + "content": "and according to the SVD decomposition", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6 + }, + { + "type": "interline_equation", + "bbox": [ + 210, + 197, + 399, + 213 + ], + "lines": [ + { + "bbox": [ + 210, + 197, + 399, + 213 + ], + "spans": [ + { + "bbox": [ + 210, + 197, + 399, + 213 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\pmb { E } ^ { \\top } \\pmb { E } = V _ { E } S _ { E } \\pmb { U } _ { E } ^ { \\top } \\pmb { U } _ { E } S _ { E } \\pmb { V } _ { E } ^ { \\top } = V _ { E } S _ { E } ^ { 2 } \\pmb { V } _ { E } ^ { \\top } . } \\end{array}", + "type": "interline_equation", + "image_path": "7b7357d3d0fa203689056cbd3596ab51c118adb614de42f5d84a4a6609f3bdb9.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 210, + 197, + 399, + 213 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 216, + 150, + 228 + ], + "lines": [ + { + "bbox": [ + 105, + 215, + 151, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 151, + 230 + ], + "score": 1.0, + "content": "Therefore,", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 226, + 398, + 253 + ], + "lines": [ + { + "bbox": [ + 213, + 226, + 398, + 253 + ], + "spans": [ + { + "bbox": [ + 213, + 226, + 398, + 253 + ], + "score": 0.94, + "content": "V _ { E } S _ { E } ^ { 2 } V _ { E } ^ { \\top } = \\alpha \\left( \\frac { C } { C - 1 } { \\cal I } - \\frac { 1 } { C - 1 } \\mathbb { 1 } _ { C } \\mathbb { 1 } _ { C } ^ { \\top } \\right) .", + "type": "interline_equation", + "image_path": "52c9794d62b301a34a97a39b9ef4b36488075bc2f442d7ce6134c2af187c9a9b.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 213, + 226, + 398, + 253 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 254, + 506, + 288 + ], + "lines": [ + { + "bbox": [ + 105, + 253, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 249, + 267 + ], + "score": 1.0, + "content": "Notice that the right-hand-side has", + "type": "text" + }, + { + "bbox": [ + 249, + 255, + 272, + 265 + ], + "score": 0.89, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 253, + 417, + 267 + ], + "score": 1.0, + "content": "equal singular values. This implies", + "type": "text" + }, + { + "bbox": [ + 417, + 255, + 432, + 265 + ], + "score": 0.89, + "content": "S _ { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 253, + 483, + 267 + ], + "score": 1.0, + "content": "—and, thus,", + "type": "text" + }, + { + "bbox": [ + 483, + 255, + 493, + 264 + ], + "score": 0.82, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 253, + 506, + 267 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 264, + 506, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 148, + 278 + ], + "score": 1.0, + "content": "well—has", + "type": "text" + }, + { + "bbox": [ + 148, + 265, + 170, + 275 + ], + "score": 0.87, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 264, + 319, + 278 + ], + "score": 1.0, + "content": "equal singular values. In other words,", + "type": "text" + }, + { + "bbox": [ + 320, + 265, + 335, + 276 + ], + "score": 0.9, + "content": "S _ { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 264, + 352, + 278 + ], + "score": 1.0, + "content": "is a", + "type": "text" + }, + { + "bbox": [ + 352, + 265, + 416, + 277 + ], + "score": 0.92, + "content": "( C - 1 ) \\times ( \\bar { C } - 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 264, + 506, + 278 + ], + "score": 1.0, + "content": "diagonal matrix equal", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 276, + 261, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 276, + 117, + 289 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 276, + 174, + 288 + ], + "score": 0.91, + "content": "\\mathrm { d i a g } ( s , \\ldots , s )", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 276, + 239, + 289 + ], + "score": 1.0, + "content": "for some scalar", + "type": "text" + }, + { + "bbox": [ + 239, + 277, + 258, + 286 + ], + "score": 0.89, + "content": "s { > } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 276, + 261, + 289 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11 + }, + { + "type": "text", + "bbox": [ + 107, + 293, + 241, + 304 + ], + "lines": [ + { + "bbox": [ + 106, + 291, + 241, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 241, + 306 + ], + "score": 1.0, + "content": "Next, notice that on the one hand", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13 + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 307, + 411, + 335 + ], + "lines": [ + { + "bbox": [ + 200, + 307, + 411, + 335 + ], + "spans": [ + { + "bbox": [ + 200, + 307, + 411, + 335 + ], + "score": 0.91, + "content": "\\pmb { { E } } ^ { \\top } \\pmb { { E } } \\pmb { 1 } _ { C } = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { 1 } _ { C } \\pmb { 1 } _ { C } ^ { \\top } \\right) \\pmb { 1 } _ { C } = \\mathbf { 0 } .", + "type": "interline_equation", + "image_path": "45b27af3d9d96e5925244e5bbc055782c0ef69759edd7e6591a3733359bee701.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 200, + 307, + 411, + 335 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 182, + 350 + ], + "lines": [ + { + "bbox": [ + 106, + 338, + 183, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 183, + 351 + ], + "score": 1.0, + "content": "On the other hand,", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "interline_equation", + "bbox": [ + 159, + 352, + 451, + 367 + ], + "lines": [ + { + "bbox": [ + 159, + 352, + 451, + 367 + ], + "spans": [ + { + "bbox": [ + 159, + 352, + 451, + 367 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\pmb { E } ^ { \\top } \\pmb { E } \\mathbb { 1 } _ { C } = V _ { E } \\pmb { S } _ { E } \\pmb { U } _ { E } ^ { \\top } U _ { E } \\pmb { S } _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = V _ { E } \\pmb { S } _ { E } ^ { 2 } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = s ^ { 2 } V _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } . } \\end{array}", + "type": "interline_equation", + "image_path": "e5320536eea43801d03a43997be5294185970d4494cdfba4a44e01ea71b3596f.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 159, + 352, + 451, + 367 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 370, + 507, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 369, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 232, + 386 + ], + "score": 1.0, + "content": "Combining the above, we get", + "type": "text" + }, + { + "bbox": [ + 233, + 371, + 290, + 384 + ], + "score": 0.91, + "content": "V _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } { = } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 369, + 322, + 386 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 323, + 370, + 353, + 384 + ], + "score": 0.93, + "content": "V _ { E } V _ { E } ^ { \\top }", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 369, + 374, + 386 + ], + "score": 1.0, + "content": "is a", + "type": "text" + }, + { + "bbox": [ + 374, + 372, + 399, + 382 + ], + "score": 0.9, + "content": "C { \\times } C", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 369, + 464, + 386 + ], + "score": 1.0, + "content": "matrix of rank", + "type": "text" + }, + { + "bbox": [ + 464, + 372, + 486, + 382 + ], + "score": 0.88, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 369, + 506, + 386 + ], + "score": 1.0, + "content": ", we", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 246, + 397 + ], + "score": 1.0, + "content": "deduce that the rank-1 nullspace of", + "type": "text" + }, + { + "bbox": [ + 246, + 384, + 262, + 396 + ], + "score": 0.91, + "content": "V _ { E } ^ { \\top }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 383, + 334, + 397 + ], + "score": 1.0, + "content": "is spanned by the", + "type": "text" + }, + { + "bbox": [ + 334, + 385, + 343, + 394 + ], + "score": 0.84, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 383, + 460, + 397 + ], + "score": 1.0, + "content": "-dimensional ones vector, i.e.", + "type": "text" + }, + { + "bbox": [ + 460, + 383, + 503, + 396 + ], + "score": 0.92, + "content": "V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } { = } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 504, + 383, + 506, + 397 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 107, + 395, + 402, + 408 + ], + "spans": [ + { + "bbox": [ + 107, + 396, + 165, + 408 + ], + "score": 1.0, + "content": "Consequently,", + "type": "text" + }, + { + "bbox": [ + 166, + 396, + 176, + 406 + ], + "score": 0.82, + "content": "\\pmb { { \\cal E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 396, + 296, + 408 + ], + "score": 1.0, + "content": "has zero-mean columns since", + "type": "text" + }, + { + "bbox": [ + 297, + 395, + 398, + 408 + ], + "score": 0.9, + "content": "\\scriptstyle { E \\mathbb { 1 } _ { C } = U _ { E } S _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = \\mathbf { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 396, + 402, + 408 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 105, + 412, + 507, + 439 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 248, + 426 + ], + "score": 1.0, + "content": "1-2 implies Simplex ETF: Assume", + "type": "text" + }, + { + "bbox": [ + 248, + 414, + 257, + 423 + ], + "score": 0.81, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 412, + 306, + 426 + ], + "score": 1.0, + "content": "has exactly", + "type": "text" + }, + { + "bbox": [ + 306, + 413, + 327, + 424 + ], + "score": 0.88, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 412, + 506, + 426 + ], + "score": 1.0, + "content": "non-zero, equal singular values as well as a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 425, + 462, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 305, + 440 + ], + "score": 1.0, + "content": "rank-1 nullspace spanned by the ones-vector, i.e.,", + "type": "text" + }, + { + "bbox": [ + 306, + 426, + 342, + 438 + ], + "score": 0.9, + "content": "\\mathbf { \\delta E 1 } _ { C } { = } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 425, + 371, + 440 + ], + "score": 1.0, + "content": ". 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Thus, we conclude", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "interline_equation", + "bbox": [ + 176, + 600, + 434, + 628 + ], + "lines": [ + { + "bbox": [ + 176, + 600, + 434, + 628 + ], + "spans": [ + { + "bbox": [ + 176, + 600, + 434, + 628 + ], + "score": 0.93, + "content": "\\pmb { E } ^ { \\top } \\pmb { E } = s ^ { 2 } \\left( \\pmb { I } - \\frac { 1 } { C } \\pmb { \\mathbb { 1 } } _ { C } \\pmb { \\mathbb { 1 } } _ { C } ^ { \\top } \\right) = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathbb { 1 } } _ { C } \\pmb { \\mathbb { 1 } } _ { C } ^ { \\top } \\right) ,", + "type": "interline_equation", + "image_path": "20d5271bf54958846bbc8c5f7c565828de2de64488e972fecb26367d0263ea3c.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 176, + 600, + 434, + 628 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 632, + 356, + 646 + ], + "lines": [ + { + "bbox": [ + 133, + 627, + 360, + 653 + ], + "spans": [ + { + "bbox": [ + 133, + 632, + 182, + 646 + ], + "score": 0.95, + "content": "\\alpha = s ^ { 2 } \\frac { C - 1 } { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 627, + 272, + 653 + ], + "score": 1.0, + "content": ". Hence, by definition,", + "type": "text" + }, + { + "bbox": [ + 272, + 633, + 282, + 643 + ], + "score": 0.83, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 627, + 360, + 653 + ], + "score": 1.0, + "content": "is a Simplex ETF.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32 + }, + { + "type": "text", + "bbox": [ + 106, + 650, + 506, + 674 + ], + "lines": [ + { + "bbox": [ + 106, + 650, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 505, + 664 + ], + "score": 1.0, + "content": "Corollary 2 (Neural Collapse Under MSE Loss). Under continually renormalized gradient flow", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 662, + 331, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 331, + 675 + ], + "score": 1.0, + "content": "(Equation 5), the SNR matrix (Equation 8) converges to", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5 + }, + { + "type": "interline_equation", + "bbox": [ + 242, + 677, + 370, + 703 + ], + "lines": [ + { + "bbox": [ + 242, + 677, + 370, + 703 + ], + "spans": [ + { + "bbox": [ + 242, + 677, + 370, + 703 + ], + "score": 0.94, + "content": "\\operatorname* { l i m } _ { t \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\mathrm { S N R } _ { t } = \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ,", + "type": "interline_equation", + "image_path": "01a35d215a63616cab4c7d3525d2da97c298fd01e481212c5dbbbed22e88a14c.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 242, + 677, + 370, + 703 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 707, + 505, + 733 + ], + "lines": [ + { + "bbox": [ + 105, + 705, + 507, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 705, + 134, + 723 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 707, + 205, + 721 + ], + "score": 0.92, + "content": "\\widehat { U } _ { 0 } \\in \\mathbb { R } ^ { P \\times ( C - 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 705, + 226, + 723 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 227, + 707, + 296, + 721 + ], + "score": 0.92, + "content": "\\widehat { V } _ { 0 } \\in \\mathbb { R } ^ { C \\times ( C - 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 705, + 507, + 723 + ], + "score": 1.0, + "content": "are the left and right singular vectors of the SNR", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 718, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 718, + 206, + 734 + ], + "score": 1.0, + "content": "matrix (Definition 2) at", + "type": "text" + }, + { + "bbox": [ + 207, + 721, + 225, + 731 + ], + "score": 0.84, + "content": "t { = } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 718, + 444, + 734 + ], + "score": 1.0, + "content": "corresponding to the non-zero singular values; and", + "type": "text" + }, + { + "bbox": [ + 444, + 721, + 478, + 732 + ], + "score": 0.94, + "content": "\\omega _ { \\mathrm { m a x } } ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 718, + 506, + 734 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5 + } + ], + "page_idx": 31, + "page_size": [ + 612, + 792 + ], + "discarded_blocks": [ + { + "type": "discarded", + "bbox": [ + 107, + 26, + 293, + 38 + ], + "lines": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "spans": [ + { + "bbox": [ + 106, + 25, + 294, + 38 + ], + "score": 1.0, + "content": "Published as a conference paper at ICLR 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 749, + 313, + 765 + ], + "spans": [ + { + "bbox": [ + 298, + 749, + 313, + 765 + ], + "score": 1.0, + "content": "", + "type": "text", + "height": 16, + "width": 15 + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 495, + 633, + 505, + 644 + ], + "lines": [ + { + "bbox": [ + 496, + 635, + 505, + 644 + ], + "spans": [ + { + "bbox": [ + 496, + 635, + 505, + 644 + ], + "score": 0.999, + "content": "□", + "type": "text" + } + ] + } + ] + } + ], + "para_blocks": [ + { + "type": "text", + "bbox": [ + 106, + 82, + 325, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 327, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 174, + 96 + ], + "score": 1.0, + "content": "for some scaling", + "type": "text" + }, + { + "bbox": [ + 175, + 83, + 195, + 93 + ], + "score": 0.86, + "content": "\\alpha { > } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 196, + 81, + 327, + 96 + ], + "score": 1.0, + "content": ". 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1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathrm { 1 } } _ { C } \\pmb { \\mathrm { 1 } } _ { C } ^ { \\top } \\right) ,", + "type": "interline_equation", + "image_path": "baeadfeb005f33c592a6d8f1b80bf2306477262dd74526514d666298e5a1868f.jpg" + } + ] + } + ], + "index": 5, + "virtual_lines": [ + { + "bbox": [ + 222, + 151, + 388, + 179 + ], + "spans": [], + "index": 5 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 182, + 273, + 194 + ], + "lines": [ + { + "bbox": [ + 106, + 181, + 273, + 195 + ], + "spans": [ + { + "bbox": [ + 106, + 181, + 273, + 195 + ], + "score": 1.0, + "content": "and according to the SVD decomposition", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 6, + "bbox_fs": [ + 106, + 181, + 273, + 195 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 210, + 197, + 399, + 213 + ], + "lines": [ + { + "bbox": [ + 210, + 197, + 399, + 213 + ], + "spans": [ + { + "bbox": [ + 210, + 197, + 399, + 213 + ], + "score": 0.91, + "content": "\\begin{array} { r } { \\pmb { E } ^ { \\top } \\pmb { E } = V _ { E } S _ { E } \\pmb { U } _ { E } ^ { \\top } \\pmb { U } _ { E } S _ { E } \\pmb { V } _ { E } ^ { \\top } = V _ { E } S _ { E } ^ { 2 } \\pmb { V } _ { E } ^ { \\top } . } \\end{array}", + "type": "interline_equation", + "image_path": "7b7357d3d0fa203689056cbd3596ab51c118adb614de42f5d84a4a6609f3bdb9.jpg" + } + ] + } + ], + "index": 7, + "virtual_lines": [ + { + "bbox": [ + 210, + 197, + 399, + 213 + ], + "spans": [], + "index": 7 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 216, + 150, + 228 + ], + "lines": [ + { + "bbox": [ + 105, + 215, + 151, + 230 + ], + "spans": [ + { + "bbox": [ + 105, + 215, + 151, + 230 + ], + "score": 1.0, + "content": "Therefore,", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 105, + 215, + 151, + 230 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 213, + 226, + 398, + 253 + ], + "lines": [ + { + "bbox": [ + 213, + 226, + 398, + 253 + ], + "spans": [ + { + "bbox": [ + 213, + 226, + 398, + 253 + ], + "score": 0.94, + "content": "V _ { E } S _ { E } ^ { 2 } V _ { E } ^ { \\top } = \\alpha \\left( \\frac { C } { C - 1 } { \\cal I } - \\frac { 1 } { C - 1 } \\mathbb { 1 } _ { C } \\mathbb { 1 } _ { C } ^ { \\top } \\right) .", + "type": "interline_equation", + "image_path": "52c9794d62b301a34a97a39b9ef4b36488075bc2f442d7ce6134c2af187c9a9b.jpg" + } + ] + } + ], + "index": 9, + "virtual_lines": [ + { + "bbox": [ + 213, + 226, + 398, + 253 + ], + "spans": [], + "index": 9 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 254, + 506, + 288 + ], + "lines": [ + { + "bbox": [ + 105, + 253, + 506, + 267 + ], + "spans": [ + { + "bbox": [ + 105, + 253, + 249, + 267 + ], + "score": 1.0, + "content": "Notice that the right-hand-side has", + "type": "text" + }, + { + "bbox": [ + 249, + 255, + 272, + 265 + ], + "score": 0.89, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 272, + 253, + 417, + 267 + ], + "score": 1.0, + "content": "equal singular values. This implies", + "type": "text" + }, + { + "bbox": [ + 417, + 255, + 432, + 265 + ], + "score": 0.89, + "content": "S _ { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 432, + 253, + 483, + 267 + ], + "score": 1.0, + "content": "—and, thus,", + "type": "text" + }, + { + "bbox": [ + 483, + 255, + 493, + 264 + ], + "score": 0.82, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 493, + 253, + 506, + 267 + ], + "score": 1.0, + "content": "as", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 105, + 264, + 506, + 278 + ], + "spans": [ + { + "bbox": [ + 105, + 264, + 148, + 278 + ], + "score": 1.0, + "content": "well—has", + "type": "text" + }, + { + "bbox": [ + 148, + 265, + 170, + 275 + ], + "score": 0.87, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 170, + 264, + 319, + 278 + ], + "score": 1.0, + "content": "equal singular values. In other words,", + "type": "text" + }, + { + "bbox": [ + 320, + 265, + 335, + 276 + ], + "score": 0.9, + "content": "S _ { E }", + "type": "inline_equation" + }, + { + "bbox": [ + 335, + 264, + 352, + 278 + ], + "score": 1.0, + "content": "is a", + "type": "text" + }, + { + "bbox": [ + 352, + 265, + 416, + 277 + ], + "score": 0.92, + "content": "( C - 1 ) \\times ( \\bar { C } - 1 )", + "type": "inline_equation" + }, + { + "bbox": [ + 417, + 264, + 506, + 278 + ], + "score": 1.0, + "content": "diagonal matrix equal", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 106, + 276, + 261, + 289 + ], + "spans": [ + { + "bbox": [ + 106, + 276, + 117, + 289 + ], + "score": 1.0, + "content": "to", + "type": "text" + }, + { + "bbox": [ + 117, + 276, + 174, + 288 + ], + "score": 0.91, + "content": "\\mathrm { d i a g } ( s , \\ldots , s )", + "type": "inline_equation" + }, + { + "bbox": [ + 174, + 276, + 239, + 289 + ], + "score": 1.0, + "content": "for some scalar", + "type": "text" + }, + { + "bbox": [ + 239, + 277, + 258, + 286 + ], + "score": 0.89, + "content": "s { > } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 276, + 261, + 289 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 11, + "bbox_fs": [ + 105, + 253, + 506, + 289 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 293, + 241, + 304 + ], + "lines": [ + { + "bbox": [ + 106, + 291, + 241, + 306 + ], + "spans": [ + { + "bbox": [ + 106, + 291, + 241, + 306 + ], + "score": 1.0, + "content": "Next, notice that on the one hand", + "type": "text" + } + ], + "index": 13 + } + ], + "index": 13, + "bbox_fs": [ + 106, + 291, + 241, + 306 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 200, + 307, + 411, + 335 + ], + "lines": [ + { + "bbox": [ + 200, + 307, + 411, + 335 + ], + "spans": [ + { + "bbox": [ + 200, + 307, + 411, + 335 + ], + "score": 0.91, + "content": "\\pmb { { E } } ^ { \\top } \\pmb { { E } } \\pmb { 1 } _ { C } = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { 1 } _ { C } \\pmb { 1 } _ { C } ^ { \\top } \\right) \\pmb { 1 } _ { C } = \\mathbf { 0 } .", + "type": "interline_equation", + "image_path": "45b27af3d9d96e5925244e5bbc055782c0ef69759edd7e6591a3733359bee701.jpg" + } + ] + } + ], + "index": 14, + "virtual_lines": [ + { + "bbox": [ + 200, + 307, + 411, + 335 + ], + "spans": [], + "index": 14 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 182, + 350 + ], + "lines": [ + { + "bbox": [ + 106, + 338, + 183, + 351 + ], + "spans": [ + { + "bbox": [ + 106, + 338, + 183, + 351 + ], + "score": 1.0, + "content": "On the other hand,", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15, + "bbox_fs": [ + 106, + 338, + 183, + 351 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 159, + 352, + 451, + 367 + ], + "lines": [ + { + "bbox": [ + 159, + 352, + 451, + 367 + ], + "spans": [ + { + "bbox": [ + 159, + 352, + 451, + 367 + ], + "score": 0.9, + "content": "\\begin{array} { r } { \\pmb { E } ^ { \\top } \\pmb { E } \\mathbb { 1 } _ { C } = V _ { E } \\pmb { S } _ { E } \\pmb { U } _ { E } ^ { \\top } U _ { E } \\pmb { S } _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = V _ { E } \\pmb { S } _ { E } ^ { 2 } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = s ^ { 2 } V _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } . } \\end{array}", + "type": "interline_equation", + "image_path": "e5320536eea43801d03a43997be5294185970d4494cdfba4a44e01ea71b3596f.jpg" + } + ] + } + ], + "index": 16, + "virtual_lines": [ + { + "bbox": [ + 159, + 352, + 451, + 367 + ], + "spans": [], + "index": 16 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 370, + 507, + 408 + ], + "lines": [ + { + "bbox": [ + 105, + 369, + 506, + 386 + ], + "spans": [ + { + "bbox": [ + 105, + 369, + 232, + 386 + ], + "score": 1.0, + "content": "Combining the above, we get", + "type": "text" + }, + { + "bbox": [ + 233, + 371, + 290, + 384 + ], + "score": 0.91, + "content": "V _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } { = } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 290, + 369, + 322, + 386 + ], + "score": 1.0, + "content": ". Since", + "type": "text" + }, + { + "bbox": [ + 323, + 370, + 353, + 384 + ], + "score": 0.93, + "content": "V _ { E } V _ { E } ^ { \\top }", + "type": "inline_equation" + }, + { + "bbox": [ + 354, + 369, + 374, + 386 + ], + "score": 1.0, + "content": "is a", + "type": "text" + }, + { + "bbox": [ + 374, + 372, + 399, + 382 + ], + "score": 0.9, + "content": "C { \\times } C", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 369, + 464, + 386 + ], + "score": 1.0, + "content": "matrix of rank", + "type": "text" + }, + { + "bbox": [ + 464, + 372, + 486, + 382 + ], + "score": 0.88, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 369, + 506, + 386 + ], + "score": 1.0, + "content": ", we", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 383, + 506, + 397 + ], + "spans": [ + { + "bbox": [ + 105, + 383, + 246, + 397 + ], + "score": 1.0, + "content": "deduce that the rank-1 nullspace of", + "type": "text" + }, + { + "bbox": [ + 246, + 384, + 262, + 396 + ], + "score": 0.91, + "content": "V _ { E } ^ { \\top }", + "type": "inline_equation" + }, + { + "bbox": [ + 263, + 383, + 334, + 397 + ], + "score": 1.0, + "content": "is spanned by the", + "type": "text" + }, + { + "bbox": [ + 334, + 385, + 343, + 394 + ], + "score": 0.84, + "content": "C", + "type": "inline_equation" + }, + { + "bbox": [ + 343, + 383, + 460, + 397 + ], + "score": 1.0, + "content": "-dimensional ones vector, i.e.", + "type": "text" + }, + { + "bbox": [ + 460, + 383, + 503, + 396 + ], + "score": 0.92, + "content": "V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } { = } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 504, + 383, + 506, + 397 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 18 + }, + { + "bbox": [ + 107, + 395, + 402, + 408 + ], + "spans": [ + { + "bbox": [ + 107, + 396, + 165, + 408 + ], + "score": 1.0, + "content": "Consequently,", + "type": "text" + }, + { + "bbox": [ + 166, + 396, + 176, + 406 + ], + "score": 0.82, + "content": "\\pmb { { \\cal E } }", + "type": "inline_equation" + }, + { + "bbox": [ + 176, + 396, + 296, + 408 + ], + "score": 1.0, + "content": "has zero-mean columns since", + "type": "text" + }, + { + "bbox": [ + 297, + 395, + 398, + 408 + ], + "score": 0.9, + "content": "\\scriptstyle { E \\mathbb { 1 } _ { C } = U _ { E } S _ { E } V _ { E } ^ { \\top } \\mathbb { 1 } _ { C } = \\mathbf { 0 } }", + "type": "inline_equation" + }, + { + "bbox": [ + 399, + 396, + 402, + 408 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 19 + } + ], + "index": 18, + "bbox_fs": [ + 105, + 369, + 506, + 408 + ] + }, + { + "type": "text", + "bbox": [ + 105, + 412, + 507, + 439 + ], + "lines": [ + { + "bbox": [ + 106, + 412, + 506, + 426 + ], + "spans": [ + { + "bbox": [ + 106, + 412, + 248, + 426 + ], + "score": 1.0, + "content": "1-2 implies Simplex ETF: Assume", + "type": "text" + }, + { + "bbox": [ + 248, + 414, + 257, + 423 + ], + "score": 0.81, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 258, + 412, + 306, + 426 + ], + "score": 1.0, + "content": "has exactly", + "type": "text" + }, + { + "bbox": [ + 306, + 413, + 327, + 424 + ], + "score": 0.88, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 328, + 412, + 506, + 426 + ], + "score": 1.0, + "content": "non-zero, equal singular values as well as a", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 425, + 462, + 440 + ], + "spans": [ + { + "bbox": [ + 105, + 425, + 305, + 440 + ], + "score": 1.0, + "content": "rank-1 nullspace spanned by the ones-vector, i.e.,", + "type": "text" + }, + { + "bbox": [ + 306, + 426, + 342, + 438 + ], + "score": 0.9, + "content": "\\mathbf { \\delta E 1 } _ { C } { = } \\mathbf { 0 }", + "type": "inline_equation" + }, + { + "bbox": [ + 342, + 425, + 371, + 440 + ], + "score": 1.0, + "content": ". 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Thus, we conclude", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 583, + 473, + 598 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 176, + 600, + 434, + 628 + ], + "lines": [ + { + "bbox": [ + 176, + 600, + 434, + 628 + ], + "spans": [ + { + "bbox": [ + 176, + 600, + 434, + 628 + ], + "score": 0.93, + "content": "\\pmb { E } ^ { \\top } \\pmb { E } = s ^ { 2 } \\left( \\pmb { I } - \\frac { 1 } { C } \\pmb { \\mathbb { 1 } } _ { C } \\pmb { \\mathbb { 1 } } _ { C } ^ { \\top } \\right) = \\alpha \\left( \\frac { C } { C - 1 } \\pmb { I } - \\frac { 1 } { C - 1 } \\pmb { \\mathbb { 1 } } _ { C } \\pmb { \\mathbb { 1 } } _ { C } ^ { \\top } \\right) ,", + "type": "interline_equation", + "image_path": "20d5271bf54958846bbc8c5f7c565828de2de64488e972fecb26367d0263ea3c.jpg" + } + ] + } + ], + "index": 31, + "virtual_lines": [ + { + "bbox": [ + 176, + 600, + 434, + 628 + ], + "spans": [], + "index": 31 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 632, + 356, + 646 + ], + "lines": [ + { + "bbox": [ + 133, + 627, + 360, + 653 + ], + "spans": [ + { + "bbox": [ + 133, + 632, + 182, + 646 + ], + "score": 0.95, + "content": "\\alpha = s ^ { 2 } \\frac { C - 1 } { C }", + "type": "inline_equation" + }, + { + "bbox": [ + 182, + 627, + 272, + 653 + ], + "score": 1.0, + "content": ". Hence, by definition,", + "type": "text" + }, + { + "bbox": [ + 272, + 633, + 282, + 643 + ], + "score": 0.83, + "content": "\\pmb { \\cal E }", + "type": "inline_equation" + }, + { + "bbox": [ + 282, + 627, + 360, + 653 + ], + "score": 1.0, + "content": "is a Simplex ETF.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 32, + "bbox_fs": [ + 133, + 627, + 360, + 653 + ] + }, + { + "type": "text", + "bbox": [ + 106, + 650, + 506, + 674 + ], + "lines": [ + { + "bbox": [ + 106, + 650, + 505, + 664 + ], + "spans": [ + { + "bbox": [ + 106, + 650, + 505, + 664 + ], + "score": 1.0, + "content": "Corollary 2 (Neural Collapse Under MSE Loss). Under continually renormalized gradient flow", + "type": "text" + } + ], + "index": 33 + }, + { + "bbox": [ + 105, + 662, + 331, + 675 + ], + "spans": [ + { + "bbox": [ + 105, + 662, + 331, + 675 + ], + "score": 1.0, + "content": "(Equation 5), the SNR matrix (Equation 8) converges to", + "type": "text" + } + ], + "index": 34 + } + ], + "index": 33.5, + "bbox_fs": [ + 105, + 650, + 505, + 675 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 242, + 677, + 370, + 703 + ], + "lines": [ + { + "bbox": [ + 242, + 677, + 370, + 703 + ], + "spans": [ + { + "bbox": [ + 242, + 677, + 370, + 703 + ], + "score": 0.94, + "content": "\\operatorname* { l i m } _ { t \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\mathrm { S N R } _ { t } = \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ,", + "type": "interline_equation", + "image_path": "01a35d215a63616cab4c7d3525d2da97c298fd01e481212c5dbbbed22e88a14c.jpg" + } + ] + } + ], + "index": 35, + "virtual_lines": [ + { + "bbox": [ + 242, + 677, + 370, + 703 + ], + "spans": [], + "index": 35 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 707, + 505, + 733 + ], + "lines": [ + { + "bbox": [ + 105, + 705, + 507, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 705, + 134, + 723 + ], + "score": 1.0, + "content": "where", + "type": "text" + }, + { + "bbox": [ + 134, + 707, + 205, + 721 + ], + "score": 0.92, + "content": "\\widehat { U } _ { 0 } \\in \\mathbb { R } ^ { P \\times ( C - 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 205, + 705, + 226, + 723 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 227, + 707, + 296, + 721 + ], + "score": 0.92, + "content": "\\widehat { V } _ { 0 } \\in \\mathbb { R } ^ { C \\times ( C - 1 ) }", + "type": "inline_equation" + }, + { + "bbox": [ + 296, + 705, + 507, + 723 + ], + "score": 1.0, + "content": "are the left and right singular vectors of the SNR", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 105, + 718, + 506, + 734 + ], + "spans": [ + { + "bbox": [ + 105, + 718, + 206, + 734 + ], + "score": 1.0, + "content": "matrix (Definition 2) at", + "type": "text" + }, + { + "bbox": [ + 207, + 721, + 225, + 731 + ], + "score": 0.84, + "content": "t { = } 0", + "type": "inline_equation" + }, + { + "bbox": [ + 225, + 718, + 444, + 734 + ], + "score": 1.0, + "content": "corresponding to the non-zero singular values; and", + "type": "text" + }, + { + "bbox": [ + 444, + 721, + 478, + 732 + ], + "score": 0.94, + "content": "\\omega _ { \\mathrm { m a x } } ( t )", + "type": "inline_equation" + }, + { + "bbox": [ + 478, + 718, + 506, + 734 + ], + "score": 1.0, + "content": "is the", + "type": "text" + } + ], + "index": 37 + } + ], + "index": 36.5, + "bbox_fs": [ + 105, + 705, + 507, + 734 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "text", + "bbox": [ + 105, + 82, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "score": 1.0, + "content": "largest singular value at time t. Furthermore, Corollary 1 implies the occurrence of (NC1)-(NC4) i.e.", + "type": "text" + } + ], + "index": 0 + }, + { + "bbox": [ + 106, + 93, + 399, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 399, + 106 + ], + "score": 1.0, + "content": "renormalized gradient flow on the central path leads to Neural Collapse.", + "type": "text" + } + ], + "index": 1 + } + ], + "index": 0.5 + }, + { + "type": "text", + "bbox": [ + 108, + 110, + 494, + 122 + ], + "lines": [ + { + "bbox": [ + 106, + 109, + 495, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 109, + 297, + 123 + ], + "score": 1.0, + "content": "Moreover, denoting the Kronecker product with", + "type": "text" + }, + { + "bbox": [ + 297, + 112, + 306, + 121 + ], + "score": 0.8, + "content": "\\otimes", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 109, + 495, + 123 + ], + "score": 1.0, + "content": ", the renormalized features matrix converges to", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2 + }, + { + "type": "interline_equation", + "bbox": [ + 220, + 123, + 392, + 149 + ], + "lines": [ + { + "bbox": [ + 220, + 123, + 392, + 149 + ], + "spans": [ + { + "bbox": [ + 220, + 123, + 392, + 149 + ], + "score": 0.94, + "content": "\\operatorname* { l i m } _ { t \\to \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\Sigma _ { W , t } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } _ { t } = ( \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ) \\otimes \\mathbf { 1 } _ { N } ^ { \\top } .", + "type": "interline_equation", + "image_path": "7d69f595d9bab32f21ae43fbc937515e4800b19306add95f7c8fbce6bd150f5a.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 220, + 123, + 392, + 149 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 159, + 505, + 204 + ], + "lines": [ + { + "bbox": [ + 105, + 159, + 504, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 396, + 172 + ], + "score": 1.0, + "content": "Proof. Derivation of Equation 10: Corollary 1 proves the singular values", + "type": "text" + }, + { + "bbox": [ + 396, + 160, + 467, + 171 + ], + "score": 0.92, + "content": "j = 1 , \\ldots , C - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 159, + 479, + 172 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 479, + 159, + 504, + 171 + ], + "score": 0.89, + "content": "\\mathrm { S N R } _ { t }", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 171, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 171, + 505, + 182 + ], + "score": 1.0, + "content": "diverge to infinity and that their ratio tends to one. By Lemma 6, the renormalized gradient flow will", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 182, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 505, + 194 + ], + "score": 1.0, + "content": "not change the singular vectors of the SNR matrix, and—combined with the fact that the singular", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 192, + 466, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 466, + 205 + ], + "score": 1.0, + "content": "values converge to equality (second fact of Corollary 1)—we get the limit in Equation 10.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5.5 + }, + { + "type": "text", + "bbox": [ + 111, + 209, + 492, + 221 + ], + "lines": [ + { + "bbox": [ + 109, + 208, + 493, + 222 + ], + "spans": [ + { + "bbox": [ + 109, + 208, + 209, + 222 + ], + "score": 1.0, + "content": "Derivation of (NC1): Let", + "type": "text" + }, + { + "bbox": [ + 209, + 209, + 229, + 222 + ], + "score": 0.91, + "content": "s _ { j } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 208, + 274, + 222 + ], + "score": 1.0, + "content": "denote the", + "type": "text" + }, + { + "bbox": [ + 275, + 210, + 280, + 221 + ], + "score": 0.83, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 208, + 493, + 222 + ], + "score": 1.0, + "content": "-th singular value of its argument. Then, observe that", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8 + }, + { + "type": "interline_equation", + "bbox": [ + 119, + 223, + 494, + 414 + ], + "lines": [ + { + "bbox": [ + 119, + 223, + 494, + 414 + ], + "spans": [ + { + "bbox": [ + 119, + 223, + 494, + 414 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } { \\operatorname { t r } ( \\sum _ { \\stackrel { k , l } { n , k } } ^ { 1 } \\sum _ { W , k } ) = C \\operatorname { t r } ( ( M , M _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ) } & { \\qquad } & { \\mathrm { ( D e f . ~ o f ~ \\Sigma _ { B } , \\phi ~ ) } } \\\\ & { = C \\operatorname { t r } ( \\Sigma _ { W , k } ^ { \\uparrow } ( \\overline { { M } } _ { t } \\overline { { M } } _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ^ { \\frac { \\eta } { \\eta } } ) } & { \\mathrm { ( C y c l e c ~ \\eta ~ o p o r t y ~ o f ~ t r a c e ) } } \\\\ & { = C \\frac { - 1 } { \\gamma _ { 2 } } s _ { j } ( \\Sigma _ { W , k } ^ { \\uparrow } ( M _ { t } M _ { t } ^ { \\prime } ) ^ { \\top } ) \\Sigma _ { W , l } ^ { \\frac { 1 } { \\eta } } ) } & { \\mathrm { ( f r a c t ~ s u s ~ m o f ~ s i n g u l a r ~ v a l u e s ) } } \\\\ & { = C \\frac { - 1 } { \\gamma _ { 2 } } s _ { j } ^ { - 1 } ( \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } ( \\overline { { M } } _ { t } \\overline { { M } } _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } ) } & { \\mathrm { ( f r a c t ~ s u p ~ \\eta ~ o f ~ \\eta ~ s u p i o t i o n v e r s e ) } } \\\\ & { = C \\displaystyle \\sum _ { \\stackrel { k , l } { n = 1 } } ^ { \\infty } s _ { j } ^ { - 1 } ( \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } \\overline { { M } } _ { t } ) \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } } & { \\mathrm { ( D e f . ~ o f ~ p e s u l o n v e r s e ) } } \\\\ & { = C \\displaystyle \\sum _ { j = 1 } ^ { \\infty } s _ { j } ^ { - 2 } ( \\Sigma _ { W , j } ^ { - \\frac { 1 } { \\eta } } \\overline { { M } } _ { j } ) } & \\\\ & { = \\displaystyle \\sum _ { j = 1 } ^ { \\infty } \\frac { 1 } { \\gamma _ { 2 } ( j ) } \\frac { 1 } { \\alpha ^ { j } ( k ) } \\exp ( \\mathrm { ~ C o v i l l a r ~ \\eta ~ } ) } & \\mathrm ( C o v e r \\end{array}", + "type": "interline_equation", + "image_path": "0da9cda1cef3940851e69dc212456548bd5ee36c71bf15b5f7f615fb8ce4f1f2.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 119, + 223, + 494, + 286.6666666666667 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 119, + 286.6666666666667, + 494, + 350.33333333333337 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 119, + 350.33333333333337, + 494, + 414.00000000000006 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 413, + 288, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 412, + 289, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 289, + 428 + ], + "score": 1.0, + "content": "By Horn & Johnson (2012, Theorem 1.3.22),", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12 + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 427, + 393, + 443 + ], + "lines": [ + { + "bbox": [ + 217, + 427, + 393, + 443 + ], + "spans": [ + { + "bbox": [ + 217, + 427, + 393, + 443 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\lambda _ { j } ( \\Sigma _ { B , t } ^ { \\dag } \\Sigma _ { W , t } ) = \\lambda _ { j } ( \\Sigma _ { W , t } ^ { 0 . 5 } \\Sigma _ { B , t } ^ { \\dag } \\Sigma _ { W , t } ^ { 0 . 5 } ) \\geq 0 , } \\end{array}", + "type": "interline_equation", + "image_path": "252ee87a4052855955d25f01bccb6b0da25f1ce1fb643390274176d826bcc290.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 217, + 427, + 393, + 443 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 445, + 505, + 498 + ], + "lines": [ + { + "bbox": [ + 100, + 449, + 510, + 482 + ], + "spans": [ + { + "bbox": [ + 100, + 449, + 510, + 482 + ], + "score": 1.0, + "content": "positive-semidefiniteness of Σ0.5W,tΣ†B,tΣ0.5W,t. Since the trace is the sum of eigenvalues, the only way†", + "type": "text" + } + ], + "index": 14 + }, + { + "bbox": [ + 104, + 469, + 508, + 491 + ], + "spans": [ + { + "bbox": [ + 104, + 469, + 172, + 491 + ], + "score": 1.0, + "content": "for the trace of", + "type": "text" + }, + { + "bbox": [ + 215, + 469, + 508, + 491 + ], + "score": 1.0, + "content": "to tend to zero is if all eigenvalues also tend to zero. All eigenvalues", + "type": "text" + } + ], + "index": 15 + }, + { + "bbox": [ + 106, + 486, + 337, + 498 + ], + "spans": [ + { + "bbox": [ + 106, + 486, + 337, + 498 + ], + "score": 1.0, + "content": "tending to zero implies the matrix itself tends to zero, i.e.", + "type": "text" + } + ], + "index": 16 + } + ], + "index": 15 + }, + { + "type": "interline_equation", + "bbox": [ + 262, + 499, + 348, + 519 + ], + "lines": [ + { + "bbox": [ + 262, + 499, + 348, + 519 + ], + "spans": [ + { + "bbox": [ + 262, + 499, + 348, + 519 + ], + "score": 0.93, + "content": "\\operatorname* { l i m } _ { t \\infty } \\Sigma _ { B , t } ^ { \\dagger } \\Sigma _ { W , t } = \\mathbf { 0 } ,", + "type": "interline_equation", + "image_path": "06d799117c71ead88ed69ef64d7aba4efc7fe9343dfc8998f61d3e2324390d0a.jpg" + } + ] + } + ], + "index": 17, + "virtual_lines": [ + { + "bbox": [ + 262, + 499, + 348, + 519 + ], + "spans": [], + "index": 17 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 519, + 295, + 531 + ], + "lines": [ + { + "bbox": [ + 106, + 519, + 297, + 532 + ], + "spans": [ + { + "bbox": [ + 106, + 519, + 297, + 532 + ], + "score": 1.0, + "content": "which is the definition of (NC1) in Section 1.1.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 18 + }, + { + "type": "text", + "bbox": [ + 106, + 536, + 506, + 581 + ], + "lines": [ + { + "bbox": [ + 105, + 536, + 505, + 549 + ], + "spans": [ + { + "bbox": [ + 105, + 536, + 464, + 549 + ], + "score": 1.0, + "content": "Derivation of (NC2)-(NC4): Recall that the SNR matrix has zero-mean columns and rank", + "type": "text" + }, + { + "bbox": [ + 464, + 537, + 486, + 547 + ], + "score": 0.86, + "content": "C { - } 1", + "type": "inline_equation" + }, + { + "bbox": [ + 486, + 536, + 505, + 549 + ], + "score": 1.0, + "content": "(see", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 547, + 506, + 560 + ], + "spans": [ + { + "bbox": [ + 105, + 547, + 506, + 560 + ], + "score": 1.0, + "content": "Definition 2). This, combined with the fact that the singular values converge to equality (second fact", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 558, + 507, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 507, + 572 + ], + "score": 1.0, + "content": "of Corollary 1) imply, by Lemma 7, that the renormalized class-means converge to a Simplex ETF i.e.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 569, + 142, + 582 + ], + "spans": [ + { + "bbox": [ + 104, + 569, + 142, + 582 + ], + "score": 1.0, + "content": "(NC2) .", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5 + }, + { + "type": "text", + "bbox": [ + 107, + 586, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 106, + 586, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 505, + 599 + ], + "score": 1.0, + "content": "From Theorem 1 of Papyan, Han, and Donoho (2020), we then know that (NC3) and (NC4) follow", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 598, + 280, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 598, + 280, + 609 + ], + "score": 1.0, + "content": "from (NC1) and (NC2) on the central path.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5 + }, + { + "type": "text", + "bbox": [ + 107, + 614, + 504, + 637 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 506, + 627 + ], + "score": 1.0, + "content": "Derivation of Equation 11: Combining the limit in Equation 10 with (NC1) proves the limit in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 624, + 502, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 160, + 638 + ], + "score": 1.0, + "content": "Equation 11.", + "type": "text" + }, + { + "bbox": [ + 498, + 628, + 502, + 634 + ], + "score": 0.0, + "content": "", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5 + }, + { + "type": "title", + "bbox": [ + 108, + 652, + 385, + 666 + ], + "lines": [ + { + "bbox": [ + 105, + 652, + 386, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 386, + 667 + ], + "score": 1.0, + "content": "E RELATED WORKS EXAMINING NEURAL COLLAPSE", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "In this section, we discuss the contributions and limitations of seven recent works that propose and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "analyze theoretical abstractions of Neural Collapse. These works are only available in preprint, and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "may not yet be peer-reviewed. Thus, they might ultimately appear with very different claims or", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "results. Additionally, works such as Poggio & Liao (2020a;b); Ergen & Pilanci (2020) also analyze", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 721, + 462, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 462, + 733 + ], + "score": 1.0, + "content": "behaviors other than NC; we will only discuss the parts relevant to Neural Collapse here.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30 + } + ], + "page_idx": 32, + "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 2022", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 300, + 751, + 311, + 760 + ], + "lines": [ + { + "bbox": [ + 298, + 750, + 312, + 763 + ], + "spans": [ + { + "bbox": [ + 298, + 750, + 312, + 763 + ], + "score": 1.0, + "content": "33", + "type": "text" + } + ] + } + ] + }, + { + "type": "discarded", + "bbox": [ + 436, + 388, + 489, + 401 + ], + "lines": [] + } + ], + "para_blocks": [ + { + "type": "list", + "bbox": [ + 105, + 82, + 505, + 105 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 506, + 96 + ], + "score": 1.0, + "content": "largest singular value at time t. Furthermore, Corollary 1 implies the occurrence of (NC1)-(NC4) i.e.", + "type": "text" + } + ], + "index": 0, + "is_list_end_line": true + }, + { + "bbox": [ + 106, + 93, + 399, + 106 + ], + "spans": [ + { + "bbox": [ + 106, + 93, + 399, + 106 + ], + "score": 1.0, + "content": "renormalized gradient flow on the central path leads to Neural Collapse.", + "type": "text" + } + ], + "index": 1, + "is_list_start_line": true, + "is_list_end_line": true + } + ], + "index": 0.5, + "bbox_fs": [ + 105, + 81, + 506, + 106 + ] + }, + { + "type": "text", + "bbox": [ + 108, + 110, + 494, + 122 + ], + "lines": [ + { + "bbox": [ + 106, + 109, + 495, + 123 + ], + "spans": [ + { + "bbox": [ + 106, + 109, + 297, + 123 + ], + "score": 1.0, + "content": "Moreover, denoting the Kronecker product with", + "type": "text" + }, + { + "bbox": [ + 297, + 112, + 306, + 121 + ], + "score": 0.8, + "content": "\\otimes", + "type": "inline_equation" + }, + { + "bbox": [ + 307, + 109, + 495, + 123 + ], + "score": 1.0, + "content": ", the renormalized features matrix converges to", + "type": "text" + } + ], + "index": 2 + } + ], + "index": 2, + "bbox_fs": [ + 106, + 109, + 495, + 123 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 220, + 123, + 392, + 149 + ], + "lines": [ + { + "bbox": [ + 220, + 123, + 392, + 149 + ], + "spans": [ + { + "bbox": [ + 220, + 123, + 392, + 149 + ], + "score": 0.94, + "content": "\\operatorname* { l i m } _ { t \\to \\infty } \\frac { 1 } { \\omega _ { \\mathrm { m a x } } ( t ) } \\Sigma _ { W , t } ^ { - \\frac { 1 } { 2 } } \\overline { { H } } _ { t } = ( \\widehat { U } _ { 0 } \\widehat { V } _ { 0 } ^ { \\top } ) \\otimes \\mathbf { 1 } _ { N } ^ { \\top } .", + "type": "interline_equation", + "image_path": "7d69f595d9bab32f21ae43fbc937515e4800b19306add95f7c8fbce6bd150f5a.jpg" + } + ] + } + ], + "index": 3, + "virtual_lines": [ + { + "bbox": [ + 220, + 123, + 392, + 149 + ], + "spans": [], + "index": 3 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 159, + 505, + 204 + ], + "lines": [ + { + "bbox": [ + 105, + 159, + 504, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 159, + 396, + 172 + ], + "score": 1.0, + "content": "Proof. Derivation of Equation 10: Corollary 1 proves the singular values", + "type": "text" + }, + { + "bbox": [ + 396, + 160, + 467, + 171 + ], + "score": 0.92, + "content": "j = 1 , \\ldots , C - 1", + "type": "inline_equation" + }, + { + "bbox": [ + 467, + 159, + 479, + 172 + ], + "score": 1.0, + "content": "of", + "type": "text" + }, + { + "bbox": [ + 479, + 159, + 504, + 171 + ], + "score": 0.89, + "content": "\\mathrm { S N R } _ { t }", + "type": "inline_equation" + } + ], + "index": 4 + }, + { + "bbox": [ + 106, + 171, + 505, + 182 + ], + "spans": [ + { + "bbox": [ + 106, + 171, + 505, + 182 + ], + "score": 1.0, + "content": "diverge to infinity and that their ratio tends to one. By Lemma 6, the renormalized gradient flow will", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 106, + 182, + 505, + 194 + ], + "spans": [ + { + "bbox": [ + 106, + 182, + 505, + 194 + ], + "score": 1.0, + "content": "not change the singular vectors of the SNR matrix, and—combined with the fact that the singular", + "type": "text" + } + ], + "index": 6 + }, + { + "bbox": [ + 105, + 192, + 466, + 205 + ], + "spans": [ + { + "bbox": [ + 105, + 192, + 466, + 205 + ], + "score": 1.0, + "content": "values converge to equality (second fact of Corollary 1)—we get the limit in Equation 10.", + "type": "text" + } + ], + "index": 7 + } + ], + "index": 5.5, + "bbox_fs": [ + 105, + 159, + 505, + 205 + ] + }, + { + "type": "text", + "bbox": [ + 111, + 209, + 492, + 221 + ], + "lines": [ + { + "bbox": [ + 109, + 208, + 493, + 222 + ], + "spans": [ + { + "bbox": [ + 109, + 208, + 209, + 222 + ], + "score": 1.0, + "content": "Derivation of (NC1): Let", + "type": "text" + }, + { + "bbox": [ + 209, + 209, + 229, + 222 + ], + "score": 0.91, + "content": "s _ { j } ( \\cdot )", + "type": "inline_equation" + }, + { + "bbox": [ + 230, + 208, + 274, + 222 + ], + "score": 1.0, + "content": "denote the", + "type": "text" + }, + { + "bbox": [ + 275, + 210, + 280, + 221 + ], + "score": 0.83, + "content": "j", + "type": "inline_equation" + }, + { + "bbox": [ + 281, + 208, + 493, + 222 + ], + "score": 1.0, + "content": "-th singular value of its argument. Then, observe that", + "type": "text" + } + ], + "index": 8 + } + ], + "index": 8, + "bbox_fs": [ + 109, + 208, + 493, + 222 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 119, + 223, + 494, + 414 + ], + "lines": [ + { + "bbox": [ + 119, + 223, + 494, + 414 + ], + "spans": [ + { + "bbox": [ + 119, + 223, + 494, + 414 + ], + "score": 0.92, + "content": "\\begin{array} { r l r } { \\operatorname { t r } ( \\sum _ { \\stackrel { k , l } { n , k } } ^ { 1 } \\sum _ { W , k } ) = C \\operatorname { t r } ( ( M , M _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ) } & { \\qquad } & { \\mathrm { ( D e f . ~ o f ~ \\Sigma _ { B } , \\phi ~ ) } } \\\\ & { = C \\operatorname { t r } ( \\Sigma _ { W , k } ^ { \\uparrow } ( \\overline { { M } } _ { t } \\overline { { M } } _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ^ { \\frac { \\eta } { \\eta } } ) } & { \\mathrm { ( C y c l e c ~ \\eta ~ o p o r t y ~ o f ~ t r a c e ) } } \\\\ & { = C \\frac { - 1 } { \\gamma _ { 2 } } s _ { j } ( \\Sigma _ { W , k } ^ { \\uparrow } ( M _ { t } M _ { t } ^ { \\prime } ) ^ { \\top } ) \\Sigma _ { W , l } ^ { \\frac { 1 } { \\eta } } ) } & { \\mathrm { ( f r a c t ~ s u s ~ m o f ~ s i n g u l a r ~ v a l u e s ) } } \\\\ & { = C \\frac { - 1 } { \\gamma _ { 2 } } s _ { j } ^ { - 1 } ( \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } ( \\overline { { M } } _ { t } \\overline { { M } } _ { t } ^ { \\prime } ) ^ { \\top } \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } ) } & { \\mathrm { ( f r a c t ~ s u p ~ \\eta ~ o f ~ \\eta ~ s u p i o t i o n v e r s e ) } } \\\\ & { = C \\displaystyle \\sum _ { \\stackrel { k , l } { n = 1 } } ^ { \\infty } s _ { j } ^ { - 1 } ( \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } \\overline { { M } } _ { t } ) \\Sigma _ { W , k } ^ { - \\frac { 1 } { \\eta } } } & { \\mathrm { ( D e f . ~ o f ~ p e s u l o n v e r s e ) } } \\\\ & { = C \\displaystyle \\sum _ { j = 1 } ^ { \\infty } s _ { j } ^ { - 2 } ( \\Sigma _ { W , j } ^ { - \\frac { 1 } { \\eta } } \\overline { { M } } _ { j } ) } & \\\\ & { = \\displaystyle \\sum _ { j = 1 } ^ { \\infty } \\frac { 1 } { \\gamma _ { 2 } ( j ) } \\frac { 1 } { \\alpha ^ { j } ( k ) } \\exp ( \\mathrm { ~ C o v i l l a r ~ \\eta ~ } ) } & \\mathrm ( C o v e r \\end{array}", + "type": "interline_equation", + "image_path": "0da9cda1cef3940851e69dc212456548bd5ee36c71bf15b5f7f615fb8ce4f1f2.jpg" + } + ] + } + ], + "index": 10, + "virtual_lines": [ + { + "bbox": [ + 119, + 223, + 494, + 286.6666666666667 + ], + "spans": [], + "index": 9 + }, + { + "bbox": [ + 119, + 286.6666666666667, + 494, + 350.33333333333337 + ], + "spans": [], + "index": 10 + }, + { + "bbox": [ + 119, + 350.33333333333337, + 494, + 414.00000000000006 + ], + "spans": [], + "index": 11 + } + ] + }, + { + "type": "text", + "bbox": [ + 107, + 413, + 288, + 425 + ], + "lines": [ + { + "bbox": [ + 105, + 412, + 289, + 428 + ], + "spans": [ + { + "bbox": [ + 105, + 412, + 289, + 428 + ], + "score": 1.0, + "content": "By Horn & Johnson (2012, Theorem 1.3.22),", + "type": "text" + } + ], + "index": 12 + } + ], + "index": 12, + "bbox_fs": [ + 105, + 412, + 289, + 428 + ] + }, + { + "type": "interline_equation", + "bbox": [ + 217, + 427, + 393, + 443 + ], + "lines": [ + { + "bbox": [ + 217, + 427, + 393, + 443 + ], + "spans": [ + { + "bbox": [ + 217, + 427, + 393, + 443 + ], + "score": 0.92, + "content": "\\begin{array} { r } { \\lambda _ { j } ( \\Sigma _ { B , t } ^ { \\dag } \\Sigma _ { W , t } ) = \\lambda _ { j } ( \\Sigma _ { W , t } ^ { 0 . 5 } \\Sigma _ { B , t } ^ { \\dag } \\Sigma _ { W , t } ^ { 0 . 5 } ) \\geq 0 , } \\end{array}", + "type": "interline_equation", + "image_path": "252ee87a4052855955d25f01bccb6b0da25f1ce1fb643390274176d826bcc290.jpg" + } + ] + } + ], + "index": 13, + "virtual_lines": [ + { + "bbox": [ + 217, + 427, + 393, + 443 + ], + "spans": [], + "index": 13 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 445, + 505, + 498 + ], + "lines": [ + { + "bbox": [ + 100, + 449, + 510, + 482 + ], + "spans": [ + { + "bbox": [ + 100, + 449, + 510, + 482 + ], + "score": 1.0, + "content": "positive-semidefiniteness of Σ0.5W,tΣ†B,tΣ0.5W,t. 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This, combined with the fact that the singular values converge to equality (second fact", + "type": "text" + } + ], + "index": 20 + }, + { + "bbox": [ + 105, + 558, + 507, + 572 + ], + "spans": [ + { + "bbox": [ + 105, + 558, + 507, + 572 + ], + "score": 1.0, + "content": "of Corollary 1) imply, by Lemma 7, that the renormalized class-means converge to a Simplex ETF i.e.", + "type": "text" + } + ], + "index": 21 + }, + { + "bbox": [ + 104, + 569, + 142, + 582 + ], + "spans": [ + { + "bbox": [ + 104, + 569, + 142, + 582 + ], + "score": 1.0, + "content": "(NC2) .", + "type": "text" + } + ], + "index": 22 + } + ], + "index": 20.5, + "bbox_fs": [ + 104, + 536, + 507, + 582 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 586, + 505, + 610 + ], + "lines": [ + { + "bbox": [ + 106, + 586, + 505, + 599 + ], + "spans": [ + { + "bbox": [ + 106, + 586, + 505, + 599 + ], + "score": 1.0, + "content": "From Theorem 1 of Papyan, Han, and Donoho (2020), we then know that (NC3) and (NC4) follow", + "type": "text" + } + ], + "index": 23 + }, + { + "bbox": [ + 106, + 598, + 280, + 609 + ], + "spans": [ + { + "bbox": [ + 106, + 598, + 280, + 609 + ], + "score": 1.0, + "content": "from (NC1) and (NC2) on the central path.", + "type": "text" + } + ], + "index": 24 + } + ], + "index": 23.5, + "bbox_fs": [ + 106, + 586, + 505, + 609 + ] + }, + { + "type": "text", + "bbox": [ + 107, + 614, + 504, + 637 + ], + "lines": [ + { + "bbox": [ + 106, + 613, + 506, + 627 + ], + "spans": [ + { + "bbox": [ + 106, + 613, + 506, + 627 + ], + "score": 1.0, + "content": "Derivation of Equation 11: Combining the limit in Equation 10 with (NC1) proves the limit in", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 106, + 624, + 502, + 638 + ], + "spans": [ + { + "bbox": [ + 106, + 624, + 160, + 638 + ], + "score": 1.0, + "content": "Equation 11.", + "type": "text" + }, + { + "bbox": [ + 498, + 628, + 502, + 634 + ], + "score": 0.0, + "content": "", + "type": "text" + } + ], + "index": 26 + } + ], + "index": 25.5, + "bbox_fs": [ + 106, + 613, + 506, + 638 + ] + }, + { + "type": "title", + "bbox": [ + 108, + 652, + 385, + 666 + ], + "lines": [ + { + "bbox": [ + 105, + 652, + 386, + 667 + ], + "spans": [ + { + "bbox": [ + 105, + 652, + 386, + 667 + ], + "score": 1.0, + "content": "E RELATED WORKS EXAMINING NEURAL COLLAPSE", + "type": "text" + } + ], + "index": 27 + } + ], + "index": 27 + }, + { + "type": "text", + "bbox": [ + 107, + 676, + 505, + 732 + ], + "lines": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "spans": [ + { + "bbox": [ + 106, + 677, + 505, + 689 + ], + "score": 1.0, + "content": "In this section, we discuss the contributions and limitations of seven recent works that propose and", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "spans": [ + { + "bbox": [ + 105, + 687, + 506, + 701 + ], + "score": 1.0, + "content": "analyze theoretical abstractions of Neural Collapse. These works are only available in preprint, and", + "type": "text" + } + ], + "index": 29 + }, + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "spans": [ + { + "bbox": [ + 105, + 699, + 506, + 712 + ], + "score": 1.0, + "content": "may not yet be peer-reviewed. Thus, they might ultimately appear with very different claims or", + "type": "text" + } + ], + "index": 30 + }, + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "spans": [ + { + "bbox": [ + 105, + 709, + 505, + 723 + ], + "score": 1.0, + "content": "results. Additionally, works such as Poggio & Liao (2020a;b); Ergen & Pilanci (2020) also analyze", + "type": "text" + } + ], + "index": 31 + }, + { + "bbox": [ + 106, + 721, + 462, + 733 + ], + "spans": [ + { + "bbox": [ + 106, + 721, + 462, + 733 + ], + "score": 1.0, + "content": "behaviors other than NC; we will only discuss the parts relevant to Neural Collapse here.", + "type": "text" + } + ], + "index": 32 + } + ], + "index": 30, + "bbox_fs": [ + 105, + 677, + 506, + 733 + ] + } + ] + }, + { + "preproc_blocks": [ + { + "type": "title", + "bbox": [ + 108, + 82, + 283, + 94 + ], + "lines": [ + { + "bbox": [ + 105, + 81, + 284, + 96 + ], + "spans": [ + { + "bbox": [ + 105, + 81, + 284, + 96 + ], + "score": 1.0, + "content": "E.1 MIXON, PARSHALL, AND PI (2020)", + "type": "text" + } + ], + "index": 0 + } + ], + "index": 0 + }, + { + "type": "text", + "bbox": [ + 106, + 103, + 505, + 170 + ], + "lines": [ + { + "bbox": [ + 105, + 102, + 506, + 117 + ], + "spans": [ + { + "bbox": [ + 105, + 102, + 506, + 117 + ], + "score": 1.0, + "content": "Mixon et al. (2020) considered the unconstrained features model in Equation 2 (without weight decay)", + "type": "text" + } + ], + "index": 1 + }, + { + "bbox": [ + 106, + 115, + 506, + 128 + ], + "spans": [ + { + "bbox": [ + 106, + 115, + 219, + 128 + ], + "score": 1.0, + "content": "where, under gradient flow,", + "type": "text" + }, + { + "bbox": [ + 219, + 115, + 254, + 127 + ], + "score": 0.91, + "content": "( W , H )", + "type": "inline_equation" + }, + { + "bbox": [ + 255, + 115, + 506, + 128 + ], + "score": 1.0, + "content": "evolve according to a nonlinear ordinary differential equation", + "type": "text" + } + ], + "index": 2 + }, + { + "bbox": [ + 105, + 125, + 506, + 139 + ], + "spans": [ + { + "bbox": [ + 105, + 125, + 506, + 139 + ], + "score": 1.0, + "content": "(ODE). They followed a two-step strategy for studying Neural Collapse. First, they linearized the", + "type": "text" + } + ], + "index": 3 + }, + { + "bbox": [ + 105, + 136, + 506, + 150 + ], + "spans": [ + { + "bbox": [ + 105, + 136, + 506, + 150 + ], + "score": 1.0, + "content": "ODE—claiming nonlinear terms are negligible for models initialized near the origin—and proved", + "type": "text" + } + ], + "index": 4 + }, + { + "bbox": [ + 105, + 146, + 506, + 162 + ], + "spans": [ + { + "bbox": [ + 105, + 146, + 294, + 162 + ], + "score": 1.0, + "content": "the simplified ODE converges to a subspace of", + "type": "text" + }, + { + "bbox": [ + 295, + 148, + 330, + 160 + ], + "score": 0.92, + "content": "( W , H )", + "type": "inline_equation" + }, + { + "bbox": [ + 330, + 146, + 506, + 162 + ], + "score": 1.0, + "content": "satisfying (NC1) and (NC3) . Second, they", + "type": "text" + } + ], + "index": 5 + }, + { + "bbox": [ + 105, + 158, + 405, + 172 + ], + "spans": [ + { + "bbox": [ + 105, + 158, + 405, + 172 + ], + "score": 1.0, + "content": "proved that gradient flow, restricted to that subspace, converges to (NC2) .", + "type": "text" + } + ], + "index": 6 + } + ], + "index": 3.5 + }, + { + "type": "text", + "bbox": [ + 106, + 174, + 505, + 264 + ], + "lines": [ + { + "bbox": [ + 105, + 175, + 505, + 188 + ], + "spans": [ + { + "bbox": [ + 105, + 175, + 505, + 188 + ], + "score": 1.0, + "content": "The assumption of small weights and classifiers leading to the linearized ODE is not aligned with", + "type": "text" + } + ], + "index": 7 + }, + { + "bbox": [ + 106, + 187, + 506, + 199 + ], + "spans": [ + { + "bbox": [ + 106, + 187, + 506, + 199 + ], + "score": 1.0, + "content": "today’s paradigm. Specifically, the most commonly used He initialization (He et al., 2015) is designed:", + "type": "text" + } + ], + "index": 8 + }, + { + "bbox": [ + 105, + 197, + 506, + 210 + ], + "spans": [ + { + "bbox": [ + 105, + 197, + 506, + 210 + ], + "score": 1.0, + "content": "(i) to create weights with non-negligible magnitude; and (ii) to preserve the magnitude of features, as", + "type": "text" + } + ], + "index": 9 + }, + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "spans": [ + { + "bbox": [ + 105, + 208, + 506, + 222 + ], + "score": 1.0, + "content": "they propagate throughout the layers of the network, exactly so that last-layer features would have", + "type": "text" + } + ], + "index": 10 + }, + { + "bbox": [ + 104, + 219, + 506, + 231 + ], + "spans": [ + { + "bbox": [ + 104, + 219, + 506, + 231 + ], + "score": 1.0, + "content": "non-negligible magnitude. Moreover, the analysis of Mixon et al. essentially assumes that (NC1) and", + "type": "text" + } + ], + "index": 11 + }, + { + "bbox": [ + 105, + 230, + 506, + 243 + ], + "spans": [ + { + "bbox": [ + 105, + 230, + 506, + 243 + ], + "score": 1.0, + "content": "(NC3) occur much sooner than (NC2) . However, from the experiments in both Papyan, Han, and", + "type": "text" + } + ], + "index": 12 + }, + { + "bbox": [ + 105, + 240, + 506, + 254 + ], + "spans": [ + { + "bbox": [ + 105, + 240, + 506, + 254 + ], + "score": 1.0, + "content": "Donoho (2020) and this paper, there is no empirical evidence that (NC2) happens slower than (NC1)", + "type": "text" + } + ], + "index": 13 + }, + { + "bbox": [ + 106, + 253, + 199, + 265 + ], + "spans": [ + { + "bbox": [ + 106, + 253, + 199, + 265 + ], + "score": 1.0, + "content": "and (NC3) in practice.", + "type": "text" + } + ], + "index": 14 + } + ], + "index": 10.5 + }, + { + "type": "title", + "bbox": [ + 108, + 279, + 273, + 290 + ], + "lines": [ + { + "bbox": [ + 105, + 277, + 275, + 292 + ], + "spans": [ + { + "bbox": [ + 105, + 277, + 275, + 292 + ], + "score": 1.0, + "content": "E.2 LU AND STEINERBERGER (2020)", + "type": "text" + } + ], + "index": 15 + } + ], + "index": 15 + }, + { + "type": "text", + "bbox": [ + 108, + 300, + 504, + 333 + ], + "lines": [ + { + "bbox": [ + 105, + 299, + 505, + 313 + ], + "spans": [ + { + "bbox": [ + 105, + 299, + 505, + 313 + ], + "score": 1.0, + "content": "While the MSE loss provides a mathematically natural setting for analysis, the modern paradigm in", + "type": "text" + } + ], + "index": 16 + }, + { + "bbox": [ + 105, + 309, + 506, + 325 + ], + "spans": [ + { + "bbox": [ + 105, + 309, + 506, + 325 + ], + "score": 1.0, + "content": "multi-class classification with deep learning involves training with CE loss, which is more challenging", + "type": "text" + } + ], + "index": 17 + }, + { + "bbox": [ + 105, + 322, + 195, + 334 + ], + "spans": [ + { + "bbox": [ + 105, + 322, + 195, + 334 + ], + "score": 1.0, + "content": "to analyze than MSE.", + "type": "text" + } + ], + "index": 18 + } + ], + "index": 17 + }, + { + "type": "text", + "bbox": [ + 107, + 338, + 504, + 361 + ], + "lines": [ + { + "bbox": [ + 105, + 338, + 505, + 352 + ], + "spans": [ + { + "bbox": [ + 105, + 338, + 505, + 352 + ], + "score": 1.0, + "content": "Lu & Steinerberger (2020) studied the (one-example-per-class) unconstrained22 features model with", + "type": "text" + } + ], + "index": 19 + }, + { + "bbox": [ + 105, + 349, + 144, + 363 + ], + "spans": [ + { + "bbox": [ + 105, + 349, + 144, + 363 + ], + "score": 1.0, + "content": "CE loss:", + "type": "text" + } + ], + "index": 20 + } + ], + "index": 19.5 + }, + { + "type": "interline_equation", + "bbox": [ + 208, + 362, + 402, + 382 + ], + "lines": [ + { + "bbox": [ + 208, + 362, + 402, + 382 + ], + "spans": [ + { + "bbox": [ + 208, + 362, + 402, + 382 + ], + "score": 0.89, + "content": "\\operatorname* { m i n } _ { W , M } \\mathrm { C E } ( W , M ) \\quad \\mathrm { s . t . } \\quad \\| w _ { c } \\| _ { 2 } = \\| \\pmb { \\mu } _ { c } \\| _ { 2 } = 1 .", + "type": "interline_equation", + "image_path": "bb9de1df43981ebb6424b4835a2ff8b51d8638f1c6199b8635568c3173344eee.jpg" + } + ] + } + ], + "index": 21, + "virtual_lines": [ + { + "bbox": [ + 208, + 362, + 402, + 382 + ], + "spans": [], + "index": 21 + } + ] + }, + { + "type": "text", + "bbox": [ + 106, + 386, + 505, + 475 + ], + "lines": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "spans": [ + { + "bbox": [ + 106, + 387, + 505, + 399 + ], + "score": 1.0, + "content": "Since under linear separability the CE loss can be driven arbitrarily close to zero, just by re-scaling the", + "type": "text" + } + ], + "index": 22 + }, + { + "bbox": [ + 105, + 398, + 506, + 410 + ], + "spans": [ + { + "bbox": [ + 105, + 398, + 144, + 410 + ], + "score": 1.0, + "content": "norms of", + "type": "text" + }, + { + "bbox": [ + 144, + 398, + 157, + 408 + ], + "score": 0.49, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 157, + 398, + 174, + 410 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 174, + 398, + 187, + 408 + ], + "score": 0.77, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 188, + 398, + 380, + 410 + ], + "score": 1.0, + "content": ", the authors further imposed a norm constraint on", + "type": "text" + }, + { + "bbox": [ + 381, + 399, + 394, + 409 + ], + "score": 0.88, + "content": "{ \\pmb w } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 395, + 398, + 411, + 410 + ], + "score": 1.0, + "content": "and", + "type": "text" + }, + { + "bbox": [ + 411, + 399, + 424, + 409 + ], + "score": 0.86, + "content": "\\pmb { \\mu } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 424, + 398, + 506, + 410 + ], + "score": 1.0, + "content": ". 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This derivation is suggestive, but it does not identify closed-form dynamics", + "type": "text" + } + ], + "index": 25 + }, + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "spans": [ + { + "bbox": [ + 105, + 430, + 505, + 443 + ], + "score": 1.0, + "content": "which would get gradient flow to such a global minimizer, nor does it address the rate of convergence", + "type": "text" + } + ], + "index": 26 + }, + { + "bbox": [ + 104, + 441, + 505, + 455 + ], + "spans": [ + { + "bbox": [ + 104, + 441, + 318, + 455 + ], + "score": 1.0, + "content": "to Neural Collapse. Additionally, the constraint on", + "type": "text" + }, + { + "bbox": [ + 318, + 443, + 331, + 453 + ], + "score": 0.86, + "content": "\\pmb { \\mu } _ { c }", + "type": "inline_equation" + }, + { + "bbox": [ + 331, + 441, + 505, + 455 + ], + "score": 1.0, + "content": "possesses no immediate or direct analogy", + "type": "text" + } + ], + "index": 27 + }, + { + "bbox": [ + 105, + 453, + 506, + 465 + ], + "spans": [ + { + "bbox": [ + 105, + 453, + 457, + 465 + ], + "score": 1.0, + "content": "to standard deep net training—where procedures often control the norm of the weights", + "type": "text" + }, + { + "bbox": [ + 457, + 453, + 470, + 463 + ], + "score": 0.66, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 471, + 453, + 506, + 465 + ], + "score": 1.0, + "content": ", but not", + "type": "text" + } + ], + "index": 28 + }, + { + "bbox": [ + 106, + 464, + 244, + 475 + ], + "spans": [ + { + "bbox": [ + 106, + 464, + 141, + 475 + ], + "score": 1.0, + "content": "features", + "type": "text" + }, + { + "bbox": [ + 141, + 464, + 152, + 474 + ], + "score": 0.75, + "content": "\\pmb { H }", + "type": "inline_equation" + }, + { + "bbox": [ + 153, + 464, + 227, + 475 + ], + "score": 1.0, + "content": "—nor class-means", + "type": "text" + }, + { + "bbox": [ + 228, + 464, + 241, + 474 + ], + "score": 0.81, + "content": "M", + "type": "inline_equation" + }, + { + "bbox": [ + 241, + 464, + 244, + 475 + ], + "score": 1.0, + "content": ".", + "type": "text" + } + ], + "index": 29 + } + ], + "index": 25.5 + }, + { + "type": "title", + "bbox": [ + 108, + 489, + 263, + 502 + ], + "lines": [ + { + "bbox": [ + 105, + 488, + 264, + 504 + ], + "spans": [ + { + "bbox": [ + 105, + 488, + 264, + 504 + ], + "score": 1.0, + "content": "E.3 E AND WOJTOWYTSCH (2020)", + "type": "text" + } + ], + "index": 30 + } + ], + "index": 30 + }, + { + "type": "text", + "bbox": [ + 105, + 511, + 460, + 523 + ], + "lines": [ + { + "bbox": [ + 105, + 510, + 463, + 525 + ], + "spans": [ + { + "bbox": [ + 105, + 510, + 463, + 525 + ], + "score": 1.0, + "content": "E & Wojtowytsch (2020) also consider the unconstrained features model22 with CE loss,", + "type": "text" + } + ], + "index": 31 + } + ], + "index": 31 + }, + { + "type": "interline_equation", + "bbox": [ + 177, + 529, + 432, + 550 + ], + "lines": [ + { + "bbox": [ + 177, + 529, + 432, + 550 + ], + "spans": [ + { + "bbox": [ + 177, + 529, + 432, + 550 + ], + "score": 0.85, + "content": "\\operatorname* { m i n } _ { W , H } \\quad \\mathrm { C r o s s E n t r o p y } ( W H ) \\quad \\mathrm { s . t . } \\quad \\| W \\| _ { 2 } \\leq 1 , \\ \\| h _ { i , c } \\| _ { 2 } \\leq 1 ,", + "type": "interline_equation", + "image_path": "cfa7372619eb0da0b2383a99cc71bb3580ca4a9497b948ebb3270367e1312b33.jpg" + } + ] + } + ], + "index": 32, + "virtual_lines": [ + { + "bbox": [ + 177, + 529, + 432, + 550 + ], + "spans": [], + "index": 32 + } + ] + }, + { + "type": "text", + "bbox": [ + 104, + 556, + 465, + 568 + ], + "lines": [ + { + "bbox": [ + 105, + 555, + 467, + 570 + ], + "spans": [ + { + "bbox": [ + 105, + 555, + 360, + 570 + ], + "score": 1.0, + "content": "where they adopt a more technical, spectral norm constraint on", + "type": "text" + }, + { + "bbox": [ + 361, + 557, + 374, + 567 + ], + "score": 0.56, + "content": "W", + "type": "inline_equation" + }, + { + "bbox": [ + 374, + 555, + 467, + 570 + ], + "score": 1.0, + "content": "to specify their model.", + "type": "text" + } + ], + "index": 33 + } + ], + "index": 33 + }, + { + "type": "text", + "bbox": [ + 107, + 573, + 506, + 640 + ], + "lines": [ + { + "bbox": [ + 106, + 574, + 505, + 585 + ], + "spans": [ + { + "bbox": [ + 106, + 574, + 505, + 585 + ], + "score": 1.0, + "content": "Building on the results of Chizat & Bach (2018; 2020), E & Wojtowytsch also construct a simple", + "type": "text" + } + ], + "index": 34 + }, + { + "bbox": [ + 105, + 585, + 500, + 597 + ], + "spans": [ + { + "bbox": [ + 105, + 585, + 500, + 597 + ], + "score": 1.0, + "content": "counter-example showing that Neural Collapse need not occur in two-layer, infinite-width networks—", + "type": "text" + } + ], + "index": 35 + }, + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "spans": [ + { + "bbox": [ + 106, + 595, + 505, + 608 + ], + "score": 1.0, + "content": "which have been the focus of intense recent study in the theoretical deep learning community (Mei", + "type": "text" + } + ], + "index": 36 + }, + { + "bbox": [ + 106, + 607, + 505, + 618 + ], + "spans": [ + { + "bbox": [ + 106, + 607, + 505, + 618 + ], + "score": 1.0, + "content": "et al., 2018; Rotskoff & Vanden-Eijnden, 2018; Arora et al., 2019). 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DATASETNETACC.O-ERRORACC.FINAL
MNISTVGG99.2399.59
REsNET99.1699.70
DENSENET99.6299.70
FASHIONVGG92.7692.95
REsNET93.5593.76
DENSENET90.5692.95
SVHNVGG89.3593.91
REsNET85.1892.65
DENSENET95.6195.23
CIFAR10VGG83.1384.54
RESNET75.4376.39
DENSENET91.7791.78
STL10VGG60.4367.24
REsNET59.3560.56
DENSENET58.7460.41
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